Last 12 months
Inside the activity.
1 purchase rows · 78 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 6 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 1 |
| Feb 2026 | 1 | 25 |
| Mar 2026 | 0 | 1 |
| Apr 2026 | 0 | 1 |
| May 2026 | 0 | 20 |
| Jun 2026 | 0 | 2 |
| Jul 2026 | 0 | 1 |
| Aug 2026 | 0 | 21 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 07, 2017 Filed Jun 9, 2017 23:04 UTC |
Bazemore Robert BDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001140361-17-024616 · doc1.xml · derivative · entry 1 Bazemore Robert B · CIK 0001620152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-06-07 F1 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program. F2 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. Read SEC document |
| June 07, 2017 Filed Jun 12, 2017 16:26 UTC |
Jenkins AnnalisaDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001140361-17-024640 · doc1.xml · derivative · entry 1 Jenkins Annalisa · CIK 0001639481 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-06-07 F1 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program. F2 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. Read SEC document |
| April 18, 2017 Filed Apr 21, 2017 22:57 UTC |
Rosenbaum David P.Chief Development Officer
|
SaleCommon Stock | 2,051 | $11.98 | $24,577.34 |
DisclosureSEC source: 0001140361-17-016463 · doc1.xml · nonDerivative · entry 1 Rosenbaum David P. · CIK 0001611311 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,129 F1 · price: This transaction was executed in multiple trades in prices ranging from $11.90 to $12.15, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F2 · balance_after: Includes 17,985 restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 00:29 UTC |
Rosenbaum David P.SVP, Drug Development
|
SaleCommon Stock | 1,000 | $13.48 | $13,482.30 |
DisclosureSEC source: 0001140361-17-011981 · doc1.xml · nonDerivative · entry 1 Rosenbaum David P. · CIK 0001611311 · SVP, Drug Development 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,277 F1 · shares: Includes 364 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2017. F2 · balance_after: Consists of 1,277 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2017. F3 · ownership.nature: The shares are directly held by the Reporting Person's wife. Read SEC document |
| March 03, 2017 Filed Mar 4, 2017 00:40 UTC |
Caldwell Jeremy SEVP, Chief Scientific Officer
|
SaleCommon Stock | 1,026 | $14.14 | $14,511.85 |
DisclosureSEC source: 0001140361-17-010644 · doc1.xml · nonDerivative · entry 1 Caldwell Jeremy S · CIK 0001626854 · EVP, Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,985 F1 · shares: Consists of 1,026 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2017. F2 · balance_after: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| March 01, 2017 Filed Mar 4, 2017 00:39 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $0.54 | $0.00 |
DisclosureSEC source: 0001140361-17-010643 · doc1.xml · derivative · entry 3 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,874 Underlying: Common Stock · 3,000 shares Expires 2021-08-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 21, 2016 F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| March 01, 2017 Filed Mar 4, 2017 00:39 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
SaleCommon Stock | 3,000 | $13.70 | $41,100.00 |
DisclosureSEC source: 0001140361-17-010643 · doc1.xml · nonDerivative · entry 2 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,450 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 21, 2016 F3 · balance_after: Includes 940 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2017. F2 · balance_after: Includes 17,985 restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| March 01, 2017 Filed Mar 4, 2017 00:39 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
Exercise / conversionCommon Stock | 3,000 | $0.54 | $1,620.00 |
DisclosureSEC source: 0001140361-17-010643 · doc1.xml · nonDerivative · entry 1 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,450 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 21, 2016 F3 · balance_after: Includes 940 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2017. F2 · balance_after: Includes 17,985 restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| February 01, 2017 Filed Feb 4, 2017 00:09 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $0.54 | $0.00 |
DisclosureSEC source: 0001140361-17-004431 · doc1.xml · derivative · entry 3 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,874 Underlying: Common Stock · 3,000 shares Expires 2021-08-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 21, 2016 F2 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| February 01, 2017 Filed Feb 4, 2017 00:09 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
SaleCommon Stock | 3,000 | $12.00 | $36,000.00 |
DisclosureSEC source: 0001140361-17-004431 · doc1.xml · nonDerivative · entry 2 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,510 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 21, 2016 Read SEC document |
| February 01, 2017 Filed Feb 4, 2017 00:09 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
Exercise / conversionCommon Stock | 3,000 | $0.54 | $1,620.00 |
DisclosureSEC source: 0001140361-17-004431 · doc1.xml · nonDerivative · entry 1 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,510 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 21, 2016 Read SEC document |
| January 26, 2017 Filed Jan 27, 2017 20:32 UTC |
Seeto ReginaldChief Operating Officer
|
GrantStock Option (Right to Buy) · Derivative | 26,511 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-003303 · doc1.xml · derivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,511 Underlying: Common Stock · 26,511 shares Expires 2027-01-26 F1 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 23, 2017 20:54 UTC |
Seeto ReginaldChief Operating Officer
|
GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002607 · doc1.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,621 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:52 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
GrantStock Option (Right to Buy) · Derivative | 79,535 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-002604 · doc1.xml · derivative · entry 2 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,535 Underlying: Common Stock · 79,535 shares Expires 2027-01-19 F2 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:52 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002604 · doc1.xml · nonDerivative · entry 1 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,510 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:53 UTC |
RAAB MICHAELDirector · President & CEO
|
GrantStock Option (Right to Buy) · Derivative | 318,141 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-002606 · doc1.xml · derivative · entry 3 RAAB MICHAEL · CIK 0001321402 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 318,141 Underlying: Common Stock · 318,141 shares Expires 2027-01-19 F3 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:53 UTC |
RAAB MICHAELDirector · President & CEO
|
GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002606 · doc1.xml · nonDerivative · entry 1 RAAB MICHAEL · CIK 0001321402 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,503 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:53 UTC |
Kaufmann MarkChief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 74,233 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-002605 · doc1.xml · derivative · entry 2 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,233 Underlying: Common Stock · 74,233 shares Expires 2027-01-19 F3 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:53 UTC |
Kaufmann MarkChief Financial Officer
|
GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002605 · doc1.xml · nonDerivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,585 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. F2 · balance_after: Includes an aggregate of 2,318 shares acquired under the Issuer's Employee Stock Purchase Plan on February 29, 2016 and August 31, 2016. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:51 UTC |
Caldwell Jeremy SEVP, Chief Scientific Officer
|
GrantStock Option (Right to Buy) · Derivative | 106,047 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-002603 · doc1.xml · derivative · entry 2 Caldwell Jeremy S · CIK 0001626854 · EVP, Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,047 Underlying: Common Stock · 106,047 shares Expires 2027-01-19 F2 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:51 UTC |
Caldwell Jeremy SEVP, Chief Scientific Officer
|
GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002603 · doc1.xml · nonDerivative · entry 1 Caldwell Jeremy S · CIK 0001626854 · EVP, Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,985 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:51 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
GrantStock Option (Right to Buy) · Derivative | 79,535 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-002602 · doc1.xml · derivative · entry 2 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,535 Underlying: Common Stock · 79,535 shares Expires 2027-01-19 F2 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:51 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002602 · doc1.xml · nonDerivative · entry 1 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,985 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:49 UTC |
Korner PaulEVP, Chief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 74,233 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-002600 · doc1.xml · derivative · entry 2 Korner Paul · CIK 0001663000 · EVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,233 Underlying: Common Stock · 74,233 shares Expires 2027-01-19 F2 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:49 UTC |
Korner PaulEVP, Chief Medical Officer
|
GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002600 · doc1.xml · nonDerivative · entry 1 Korner Paul · CIK 0001663000 · EVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,608 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:50 UTC |
Rosenbaum David P.SVP, Drug Development
|
GrantStock Option (Right to Buy) · Derivative | 106,047 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-002601 · doc1.xml · derivative · entry 4 Rosenbaum David P. · CIK 0001611311 · SVP, Drug Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,047 Underlying: Common Stock · 106,047 shares Expires 2027-01-19 F4 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:50 UTC |
Rosenbaum David P.SVP, Drug Development
|
GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002601 · doc1.xml · nonDerivative · entry 1 Rosenbaum David P. · CIK 0001611311 · SVP, Drug Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,129 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| January 05, 2017 Filed Jan 24, 2017 01:48 UTC |
Korner PaulEVP, Chief Medical Officer
|
SaleCommon Stock | 6,130 | $12.95 | $79,383.50 |
DisclosureSEC source: 0001140361-17-002599 · doc1.xml · nonDerivative · entry 1 Korner Paul · CIK 0001663000 · EVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,623 F1 · kind: The shares were automatically sold pursuant to the Issuer's 2014 Equity Incentive Award Plan to cover tax liability upon the vesting of outstanding Restricted Stock Units ("RSUs"). F2 · balance_after: Includes 45,565 RSUs. The reporting person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| December 16, 2016 Filed Dec 21, 2016 01:07 UTC |
Rosenbaum David P.SVP, Drug Development
|
SaleCommon Stock | 900 | $14.48 | $13,035.33 |
DisclosureSEC source: 0001140361-16-090420 · doc1.xml · nonDerivative · entry 1 Rosenbaum David P. · CIK 0001611311 · SVP, Drug Development 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 636 F1 · ownership.nature: The shares are directly held by the Reporting Person's wife. Read SEC document |
| November 30, 2016 Filed Feb 14, 2017 22:38 UTC |
BARRIS PETER J10% owner
|
OtherCommon Stock | 136 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-010563 · doc5.xml · nonDerivative · entry 1 BARRIS PETER J · CIK 0001005561 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 F1 · price: PDB LLC made a pro rata distribution for no consideration of an aggregate of 136 shares of Common Stock of the Issuer to its members on November 30, 2016. F2 · ownership.nature: The Reporting Person is the investment advisor of PDB LLC, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by PDB LLC in which the Reporting Person has no pecuniary interest. Read SEC document |
| November 11, 2016 Filed Nov 16, 2016 01:57 UTC |
Caldwell Jeremy SEVP, Chief Scientific Officer
|
SaleCommon Stock | 2,158 | $15.13 | $32,645.58 |
DisclosureSEC source: 0001140361-16-086883 · doc1.xml · nonDerivative · entry 1 Caldwell Jeremy S · CIK 0001626854 · EVP, Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Consists of 2,158 shares acquired under the Issuer's Employee Stock Purchase Plan on February 29, 2016 and August 31, 2016. Read SEC document |
| October 22, 2016 Filed Oct 26, 2016 19:10 UTC |
Seeto ReginaldChief Operating Officer
|
GrantStock Option (Right to Buy) · Derivative | 168,918 | $0.00 Strike: $13.20 | $0.00 |
DisclosureSEC source: 0001140361-16-083682 · doc1.xml · derivative · entry 2 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,918 Underlying: Common Stock · 168,918 shares Expires 2026-10-22 F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on the first anniversary measured from October 22, 2016, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| October 22, 2016 Filed Oct 26, 2016 19:10 UTC |
Seeto ReginaldChief Operating Officer
|
GrantCommon Stock | 113,636 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-083682 · doc1.xml · nonDerivative · entry 1 Seeto Reginald · CIK 0001688485 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,636 F1 · shares: Restricted Stock Units ("RSUs"). The reporting person is entitled to receive one (1) share of common stock for each one (1) RSU upon the vesting thereof. Read SEC document |
| October 11, 2016 Filed Oct 13, 2016 23:39 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $0.54 | $0.00 |
DisclosureSEC source: 0001140361-16-082730 · doc1.xml · derivative · entry 3 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,874 Underlying: Common Stock · 6,000 shares Expires 2021-08-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 16, 2015. F3 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| October 11, 2016 Filed Oct 13, 2016 23:39 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
SaleCommon Stock | 6,000 | $15.00 | $90,000.00 |
DisclosureSEC source: 0001140361-16-082730 · doc1.xml · nonDerivative · entry 2 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,525 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 16, 2015. F2 · balance_after: Includes an aggregate of 2,105 shares acquired under the Issuer's Employee Stock Purchase Plan on February 29, 2016 and August 31, 2016. Read SEC document |
| October 11, 2016 Filed Oct 13, 2016 23:39 UTC |
Jacobs Jeffrey WSVP, Technical Operations
|
Exercise / conversionCommon Stock | 6,000 | $0.54 | $3,240.00 |
DisclosureSEC source: 0001140361-16-082730 · doc1.xml · nonDerivative · entry 1 Jacobs Jeffrey W · CIK 0001611193 · SVP, Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,525 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 16, 2015. F2 · balance_after: Includes an aggregate of 2,105 shares acquired under the Issuer's Employee Stock Purchase Plan on February 29, 2016 and August 31, 2016. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 00:31 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 2,500 | $0.00 Strike: $3.42 | $0.00 |
DisclosureSEC source: 0001140361-16-080765 · doc1.xml · derivative · entry 8 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2022-11-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. F2 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 00:31 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 1,060 | $0.00 Strike: $1.08 | $0.00 |
DisclosureSEC source: 0001140361-16-080765 · doc1.xml · derivative · entry 7 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,060 shares Expires 2021-04-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. F2 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 00:31 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
SaleCommon Stock | 3,560 | $12.00 | $42,720.00 |
DisclosureSEC source: 0001140361-16-080765 · doc1.xml · nonDerivative · entry 5 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 00:31 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionCommon Stock | 2,500 | $3.42 | $8,550.00 |
DisclosureSEC source: 0001140361-16-080765 · doc1.xml · nonDerivative · entry 4 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,560 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. Read SEC document |
| September 23, 2016 Filed Sep 27, 2016 00:31 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionCommon Stock | 1,060 | $1.08 | $1,144.80 |
DisclosureSEC source: 0001140361-16-080765 · doc1.xml · nonDerivative · entry 3 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,060 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. Read SEC document |
| September 22, 2016 Filed Sep 27, 2016 00:31 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 1,440 | $0.00 Strike: $1.08 | $0.00 |
DisclosureSEC source: 0001140361-16-080765 · doc1.xml · derivative · entry 6 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,060 Underlying: Common Stock · 1,440 shares Expires 2021-04-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. F2 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| September 22, 2016 Filed Sep 27, 2016 00:31 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
SaleCommon Stock | 1,440 | $12.00 | $17,280.00 |
DisclosureSEC source: 0001140361-16-080765 · doc1.xml · nonDerivative · entry 2 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. Read SEC document |
| September 22, 2016 Filed Sep 27, 2016 00:31 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionCommon Stock | 1,440 | $1.08 | $1,555.20 |
DisclosureSEC source: 0001140361-16-080765 · doc1.xml · nonDerivative · entry 1 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,440 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. Read SEC document |
| September 19, 2016 Filed Sep 21, 2016 23:52 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 2,500 | $0.00 Strike: $1.08 | $0.00 |
DisclosureSEC source: 0001140361-16-080481 · doc1.xml · derivative · entry 4 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 shares Expires 2021-04-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| September 19, 2016 Filed Sep 21, 2016 23:52 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 2,500 | $0.00 Strike: $1.08 | $0.00 |
DisclosureSEC source: 0001140361-16-080481 · doc1.xml · derivative · entry 3 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,500 shares Expires 2020-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| September 19, 2016 Filed Sep 21, 2016 23:52 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
SaleCommon Stock | 6,859 | $11.21 | $76,880.47 |
DisclosureSEC source: 0001140361-16-080481 · doc1.xml · nonDerivative · entry 2 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.04 to $11.26, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 in this footnote. Read SEC document |
| September 19, 2016 Filed Sep 21, 2016 23:52 UTC |
GRAMMER ELIZABETH ASVP, General Counsel
|
Exercise / conversionCommon Stock | 5,000 | $1.08 | $5,400.00 |
DisclosureSEC source: 0001140361-16-080481 · doc1.xml · nonDerivative · entry 1 GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,859 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 19, 2016. F2 · balance_after: Includes an aggregate of 1,859 shares acquired under the Issuer's Employee Stock Purchase Plan on February 29, 2016. 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.