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ARTL

ARTELO BIOSCIENCES, INC.

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8413
SEC CIK
0001621221
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77

Last 12 months

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0 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 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 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, 2024 Filed Mar 2, 2024 01:08 UTC Disposition to issuerStock Option (right to buy) · Derivative 834 Not disclosed Strike: $162.00 Not disclosed
Disclosure

SEC source: 0001640334-24-000334 · primary_doc.xml · derivative · entry 1

EMANUELE ROBERT MARTIN · CIK 0001184991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 834 shares

Expires 2028-08-17

F1 · derivative.exercise_price: This option was granted on August 17, 2018 and was previously reported as covering 12,500 shares at an exercise price of $10.80 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F1 · derivative.underlying_shares: This option was granted on August 17, 2018 and was previously reported as covering 12,500 shares at an exercise price of $10.80 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC GrantStock Option (right to buy) · Derivative 1,083 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 10

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,083

Underlying: Common Stock · 1,083 shares

Expires 2033-08-04

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 9

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2033-06-30

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 8

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2032-06-24

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 7

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2031-07-16

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC GrantStock Option (right to buy) · Derivative 8,000 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 6

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2030-12-04

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC Disposition to issuerStock Option (right to buy) · Derivative 1,083 Not disclosed Strike: $2.01 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 5

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,083 shares

Expires 2033-08-04

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F7 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Vesting Commencement Date, or (ii) the day prior to the date of the annual meeting of the Issuer's stockholders next following the Vesting Commencement Date. "Vesting Commencement Date" shall mean August 4, 2023.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.99 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 4

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2033-06-30

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F6 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's 2018 Plan) through each such applicable vesting date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Vesting Commencement Date, or (ii) the day prior to the date of the annual meeting of the Issuer's stockholders next following the Vesting Commencement Date. "Vesting Commencement Date" shall mean June 30, 2023.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $4.89 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 3

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2032-06-24

F5 · derivative.exercise_price: This option was granted on June 24, 2022 and was previously reported as covering 10,000 shares at an exercise price of $0.326 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F5 · derivative.underlying_shares: This option was granted on June 24, 2022 and was previously reported as covering 10,000 shares at an exercise price of $0.326 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $15.00 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 2

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2031-07-16

F4 · derivative.exercise_price: This option was granted on July 16, 2021 and was previously reported as covering 10,000 shares at an exercise price of $1.00 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F4 · derivative.underlying_shares: This option was granted on July 16, 2021 and was previously reported as covering 10,000 shares at an exercise price of $1.00 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 00:08 UTC Disposition to issuerStock Option (right to buy) · Derivative 8,000 Not disclosed Strike: $9.05 Not disclosed
Disclosure

SEC source: 0001640334-24-000331 · primary_doc.xml · derivative · entry 1

Reyes Gregory · CIK 0001404055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,000 shares

Expires 2030-12-04

F1 · derivative.exercise_price: This option was granted on December 4, 2020 and was previously reported as covering 120,000 shares at an exercise price of $0.6035 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F2 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's 2018 Equity Incentive Plan (the "Plan")) through such applicable vesting date, one forty-eighth (1/48th) of the shares subject to the option shall vest each month on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). "Vesting Commencement Date" shall mean December 4, 2020.

F1 · derivative.underlying_shares: This option was granted on December 4, 2020 and was previously reported as covering 120,000 shares at an exercise price of $0.6035 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC GrantStock Option (right to buy) · Derivative 1,083 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 10

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,083

Underlying: Common Stock · 1,083 shares

Expires 2033-08-04

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 9

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2033-06-30

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 8

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2032-06-24

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 7

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2031-07-16

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC GrantStock Option (right to buy) · Derivative 2,000 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 6

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2031-03-05

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC Disposition to issuerStock Option (right to buy) · Derivative 1,083 Not disclosed Strike: $2.01 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 5

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,083 shares

Expires 2033-08-04

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F7 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Vesting Commencement Date, or (ii) the day prior to the date of the annual meeting of the Issuer's stockholders next following the Vesting Commencement Date. "Vesting Commencement Date" shall mean August 4, 2023.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.99 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 4

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2033-06-30

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F6 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Vesting Commencement Date, or (ii) the day prior to the date of the annual meeting of the Issuer's stockholders next following the Vesting Commencement Date. "Vesting Commencement Date" shall mean June 30, 2023.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $4.89 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 3

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2032-06-24

F5 · derivative.exercise_price: This option was granted on June 24, 2022 and was previously reported as covering 10,000 shares at an exercise price of $0.326 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F5 · derivative.underlying_shares: This option was granted on June 24, 2022 and was previously reported as covering 10,000 shares at an exercise price of $0.326 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $15.00 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 2

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2031-07-16

F4 · derivative.exercise_price: This option was granted on July 16, 2021 and was previously reported as covering 10,000 shares at an exercise price of $1.00 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F4 · derivative.underlying_shares: This option was granted on July 16, 2021 and was previously reported as covering 10,000 shares at an exercise price of $1.00 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:53 UTC Disposition to issuerStock Option (right to buy) · Derivative 2,000 Not disclosed Strike: $22.80 Not disclosed
Disclosure

SEC source: 0001640334-24-000335 · primary_doc.xml · derivative · entry 1

FAVORITO TAMARA A · CIK 0001288232 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2031-03-05

F1 · derivative.exercise_price: This option was granted on March 5, 2021 and was previously reported as covering 30,000 shares at an exercise price of $1.52 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F3 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F2 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's 2018 Equity Incentive Plan (the "Plan")) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the one (1) year anniversary of the Vesting Commencement Date, one third (1/3rd) of the shares subject to the option shall vest on the two (2) year anniversary of the Vesting Commencement Date, one third (1/3rd) of the shares subject to the option shall vest on the three (3) year anniversary of the Vesting Commencement Date, such that the option shall be fully vested on the three (3) year anniversary of the Vesting Commencement Date. "Vesting Commencement Date" shall mean March 5, 2021.

F1 · derivative.underlying_shares: This option was granted on March 5, 2021 and was previously reported as covering 30,000 shares at an exercise price of $1.52 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC GrantStock Option (right to buy) · Derivative 1,083 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 12

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,083

Underlying: Common Stock · 1,083 shares

Expires 2033-08-04

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 11

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2033-06-30

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 10

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2032-06-24

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 9

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2031-07-16

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC GrantStock Option (right to buy) · Derivative 10,634 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 8

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,634

Underlying: Common Stock · 10,634 shares

Expires 2031-02-12

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC GrantStock Option (right to buy) · Derivative 1,767 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 7

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,767

Underlying: Common Stock · 1,767 shares

Expires 2029-08-29

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC Disposition to issuerStock Option (right to buy) · Derivative 1,083 Not disclosed Strike: $2.01 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 6

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,083 shares

Expires 2033-08-04

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F7 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Vesting Commencement Date, or (ii) the day prior to the date of the annual meeting of the Issuer's stockholders next following the Vesting Commencement Date. "Vesting Commencement Date" shall mean August 4, 2023.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.99 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 5

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2033-06-30

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F6 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's 2018 Equity Incentive Plan (the "Plan")) through each such applicable vesting date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Vesting Commencement Date, or (ii) the day prior to the date of the annual meeting of the Issuer's stockholders next following the Vesting Commencement Date. "Vesting Commencement Date" shall mean June 30, 2023.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $4.89 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 4

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2032-06-24

F5 · derivative.exercise_price: This option was granted on June 24, 2022 and was previously reported as covering 10,000 shares at an exercise price of $0.326 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F5 · derivative.underlying_shares: This option was granted on June 24, 2022 and was previously reported as covering 10,000 shares at an exercise price of $0.326 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $15.00 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 3

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2031-07-16

F4 · derivative.exercise_price: This option was granted on July 16, 2021 and was previously reported as covering 10,000 shares at an exercise price of $1.00 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F4 · derivative.underlying_shares: This option was granted on July 16, 2021 and was previously reported as covering 10,000 shares at an exercise price of $1.00 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC Disposition to issuerStock Option (right to buy) · Derivative 10,634 Not disclosed Strike: $39.90 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 2

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,634 shares

Expires 2031-02-12

F3 · derivative.exercise_price: This option was granted on February 12, 2021 and was previously reported as covering 159,500 shares at an exercise price of $2.66 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F3 · derivative.underlying_shares: This option was granted on February 12, 2021 and was previously reported as covering 159,500 shares at an exercise price of $2.66 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 23:09 UTC Disposition to issuerStock Option (right to buy) · Derivative 1,767 Not disclosed Strike: $29.85 Not disclosed
Disclosure

SEC source: 0001640334-24-000329 · primary_doc.xml · derivative · entry 1

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,767 shares

Expires 2029-08-29

F1 · derivative.exercise_price: This option was granted on August 29, 2019 and was previously reported as covering 26,500 shares at an exercise price of $1.99 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F1 · derivative.underlying_shares: This option was granted on August 29, 2019 and was previously reported as covering 26,500 shares at an exercise price of $1.99 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
GrantStock Option (right to buy) · Derivative 1,083 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 12

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,083

Underlying: Common Stock · 1,083 shares

Expires 2033-08-04

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 11

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2033-06-30

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 10

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2032-06-24

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
GrantStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 9

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667

Underlying: Common Stock · 667 shares

Expires 2031-07-16

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
GrantStock Option (right to buy) · Derivative 9,634 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 8

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,634

Underlying: Common Stock · 9,634 shares

Expires 2031-02-12

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
GrantStock Option (right to buy) · Derivative 1,484 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 7

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,484

Underlying: Common Stock · 1,484 shares

Expires 2029-08-29

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F8 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
Disposition to issuerStock Option (right to buy) · Derivative 1,083 Not disclosed Strike: $2.01 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 6

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,083 shares

Expires 2033-08-04

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F7 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Vesting Commencement Date, or (ii) the day prior to the date of the annual meeting of the Issuer's stockholders next following the Vesting Commencement Date. "Vesting Commencement Date" shall mean August 4, 2023.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $1.99 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 5

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2033-06-30

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F6 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's 2018 Equity Incentive Plan (the "Plan")) through each such applicable vesting date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Vesting Commencement Date, or (ii) the day prior to the date of the annual meeting of the Issuer's stockholders next following the Vesting Commencement Date. "Vesting Commencement Date" shall mean June 30, 2023.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $4.89 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 4

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2032-06-24

F5 · derivative.exercise_price: This option was granted on June 24, 2022 and was previously reported as covering 10,000 shares at an exercise price of $0.326 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F5 · derivative.underlying_shares: This option was granted on June 24, 2022 and was previously reported as covering 10,000 shares at an exercise price of $0.326 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
Disposition to issuerStock Option (right to buy) · Derivative 667 Not disclosed Strike: $15.00 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 3

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 667 shares

Expires 2031-07-16

F4 · derivative.exercise_price: This option was granted on July 16, 2021 and was previously reported as covering 10,000 shares at an exercise price of $1.00 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F4 · derivative.underlying_shares: This option was granted on July 16, 2021 and was previously reported as covering 10,000 shares at an exercise price of $1.00 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

Read SEC document
February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
Disposition to issuerStock Option (right to buy) · Derivative 9,634 Not disclosed Strike: $39.90 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 2

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,634 shares

Expires 2031-02-12

F3 · derivative.exercise_price: This option was granted on February 12, 2021 and was previously reported as covering 144,500 shares at an exercise price of $2.66 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F3 · derivative.underlying_shares: This option was granted on February 12, 2021 and was previously reported as covering 144,500 shares at an exercise price of $2.66 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

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February 28, 2024 Filed Mar 2, 2024 01:05 UTC
Kelly StevenDirector
Disposition to issuerStock Option (right to buy) · Derivative 1,484 Not disclosed Strike: $29.85 Not disclosed
Disclosure

SEC source: 0001640334-24-000333 · primary_doc.xml · derivative · entry 1

Kelly Steven · CIK 0001339478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,484 shares

Expires 2029-08-29

F1 · derivative.exercise_price: This option was granted on August 29, 2019 and was previously reported as covering 22,250 shares at an exercise price of $1.99 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F1 · derivative.underlying_shares: This option was granted on August 29, 2019 and was previously reported as covering 22,250 shares at an exercise price of $1.99 per share, but was adjusted to reflect a 1-for-15 reverse stock split that occurred on August 10, 2022.

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February 28, 2024 Filed Mar 1, 2024 19:10 UTC
Gorgas Gregory D.Director · Pres, CEO, CFO, Treas & Sec
GrantStock Option (right to buy) · Derivative 85,000 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000332 · primary_doc.xml · derivative · entry 10

Gorgas Gregory D. · CIK 0001526251 · Director · Pres, CEO, CFO, Treas & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2033-02-01

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F9 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

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February 28, 2024 Filed Mar 1, 2024 19:10 UTC
Gorgas Gregory D.Director · Pres, CEO, CFO, Treas & Sec
GrantStock Option (right to buy) · Derivative 90,334 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000332 · primary_doc.xml · derivative · entry 9

Gorgas Gregory D. · CIK 0001526251 · Director · Pres, CEO, CFO, Treas & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,334

Underlying: Common Stock · 90,334 shares

Expires 2031-12-03

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F9 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

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February 28, 2024 Filed Mar 1, 2024 19:10 UTC
Gorgas Gregory D.Director · Pres, CEO, CFO, Treas & Sec
GrantStock Option (right to buy) · Derivative 38,340 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000332 · primary_doc.xml · derivative · entry 8

Gorgas Gregory D. · CIK 0001526251 · Director · Pres, CEO, CFO, Treas & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,340

Underlying: Common Stock · 38,340 shares

Expires 2031-03-05

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F9 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

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February 28, 2024 Filed Mar 1, 2024 19:10 UTC
Gorgas Gregory D.Director · Pres, CEO, CFO, Treas & Sec
GrantStock Option (right to buy) · Derivative 55,634 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000332 · primary_doc.xml · derivative · entry 7

Gorgas Gregory D. · CIK 0001526251 · Director · Pres, CEO, CFO, Treas & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,634

Underlying: Common Stock · 55,634 shares

Expires 2031-02-12

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F9 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

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February 28, 2024 Filed Mar 1, 2024 19:10 UTC
Gorgas Gregory D.Director · Pres, CEO, CFO, Treas & Sec
GrantStock Option (right to buy) · Derivative 5,000 Not disclosed Strike: $1.55 Not disclosed
Disclosure

SEC source: 0001640334-24-000332 · primary_doc.xml · derivative · entry 6

Gorgas Gregory D. · CIK 0001526251 · Director · Pres, CEO, CFO, Treas & Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2029-08-29

F2 · price: The Reporting Person agreed to certain amendments of their outstanding stock option pursuant to the terms of a repricing and revesting offer approved by the Issuer's Compensation Committee of the Board of Directors (the "Offer") relating to a one-time offer by the Issuer to reprice and adjust the vesting of certain Eligible Options (as defined in the Offer).

F9 · derivative.exercise_date: Pursuant to the Offer, and subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's Plan) through each such applicable vesting date, one third (1/3rd) of the shares subject to the option shall vest on the first anniversary of the Amendment Date, and one thirty-sixth (1/36th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Amendment Date (or, if there is no such day, the last day of the month). "Amendment Date" shall mean February 28, 2024.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.