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Nasdaq · USD

ATOS

ATOSSA THERAPEUTICS, INC.

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7556
SEC CIK
0001488039
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96

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
Feb 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
May 12, 2026 Filed May 14, 2026 20:24 UTC
Cigler TessaDirector
GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-224125 · ownership.xml · nonDerivative · entry 1

Cigler Tessa · CIK 0002015142 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest on the first anniversary of May 12, 2026.

Read SEC document
May 12, 2026 Filed May 14, 2026 22:32 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-224521 · ownership.xml · nonDerivative · entry 1

Steinhart Richard I · CIK 0001293789 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest on the first anniversary of May 12, 2026.

Read SEC document
May 12, 2026 Filed May 14, 2026 20:27 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-224148 · ownership.xml · nonDerivative · entry 1

Chen Shu-Chih · CIK 0001552127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest on the first anniversary of May 12, 2026.

Read SEC document
May 12, 2026 Filed May 14, 2026 20:26 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-224140 · ownership.xml · nonDerivative · entry 1

Remmel H. Lawrence · CIK 0001551817 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,683

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest on the first anniversary of May 12, 2026.

Read SEC document
May 12, 2026 Filed May 14, 2026 20:25 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-224135 · ownership.xml · nonDerivative · entry 1

Finn Jonathan · CIK 0001981595 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,666

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest on the first anniversary of May 12, 2026.

Read SEC document
May 12, 2026 Filed May 14, 2026 20:25 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-224133 · ownership.xml · nonDerivative · entry 1

Galli Stephen J · CIK 0001551951 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,006

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest on the first anniversary of May 12, 2026.

Read SEC document
March 27, 2026 Filed Mar 31, 2026 16:57 UTC
QUAY STEVEN CDirector · President & CEO
GrantCommon Stock 65,000 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-134861 · ownership.xml · nonDerivative · entry 1

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,038

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three equal annual installments on the first three anniversaries of March 26, 2026.

F2 · balance_after: On February 2, 2026, the Issuer effected a one-for-fifteen reverse stock split of its Common Stock (the "Reverse Stock Split"). The number of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.

Read SEC document
March 26, 2026 Filed Mar 30, 2026 19:22 UTC
Daniel Mark JamesChief Financial Officer
GrantCommon Stock 63,000 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-132644 · ownership.xml · nonDerivative · entry 1

Daniel Mark James · CIK 0002092593 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,000

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three equal annual installments on the first three anniversaries of March 26, 2026.

Read SEC document
January 20, 2026 Filed Jan 22, 2026 14:11 UTC
QUAY STEVEN CDirector · President & CEO
GrantStock Options (right to buy) · Derivative 950,000 $0.60 Strike: $0.60 $572,850.00
Disclosure

SEC source: 0001193125-26-019273 · ownership.xml · derivative · entry 3

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 950,000

Underlying: Common Stock · 950,000 shares

Expires 2026-01-20

F3 · derivative.exercise_date: The options shall vest on a quarterly basis over 24 months following January 20, 2026, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date. The options were issued on January 20, 2026, with an exercise price of $0.603, representing the closing stock price on January 20, 2026.

Read SEC document
January 20, 2026 Filed Jan 22, 2026 14:11 UTC
QUAY STEVEN CDirector · President & CEO
GrantCommon Stock 325,203 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-019273 · ownership.xml · nonDerivative · entry 1

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 339,101

F1 · security: Represents the acquisition of restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest one year from the Transaction date.

Read SEC document
January 20, 2026 Filed Jan 30, 2026 08:30 UTC Amendment
QUAY STEVEN CDirector · President & CEO
GrantStock Options (right to buy) · Derivative 950,000 $0.60 Strike: $0.60 $572,850.00
Disclosure

SEC source: 0001193125-26-030571 · ownership.xml · derivative · entry 3

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 950,000

Underlying: Common Stock · 950,000 shares

Expires 2026-01-20

F4 · derivative.exercise_date: The options shall vest on a quarterly basis over 24 months following January 20, 2026, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date. The options were issued on January 20, 2026, with an exercise price of $0.603, representing the closing stock price on January 20, 2026.

Read SEC document
January 20, 2026 Filed Jan 30, 2026 08:30 UTC Amendment
QUAY STEVEN CDirector · President & CEO
GrantCommon Stock 331,674 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-030571 · ownership.xml · nonDerivative · entry 1

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 345,572

F1 · security: Represents the acquisition of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest one year from the Transaction Date.

F2 · shares: The original Form 4, filed on January 22, 2026, is being amended by this Form 4 amendment solely to correct an administrative error regarding the number of RSUs acquired.

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October 14, 2025 Filed Oct 21, 2025 16:10 UTC
Daniel Mark JamesChief Financial Officer
GrantStock Option (right to buy) · Derivative 578,000 $0.00 Strike: $1.03 $0.00
Disclosure

SEC source: 0001193125-25-245114 · ownership.xml · derivative · entry 1

Daniel Mark James · CIK 0002092593 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 578,000

Underlying: Common Stock · 578,000 shares

Expires 2035-10-14

F1 · derivative.exercise_date: The options shall vest with respect to 25% on October 14, 2026, with the remaining 75% to vest in equal quarterly installments over the follwing three years, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date.

Read SEC document
May 21, 2025 Filed May 22, 2025 18:27 UTC
QUAY STEVEN CDirector · President & CEO
PurchaseCommon Stock 11,239 $0.88 $9,886.95
Disclosure

SEC source: 0000950170-25-076523 · ownership.xml · nonDerivative · entry 1

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,898

F1 · price: The price reported represents the weighted average purchase price per share. The shares were purchased in multiple transactions at prices ranging from $0.8794 to $0.9100. Upon request by the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of share purchased at each separate price.

Read SEC document
May 15, 2025 Filed May 16, 2025 16:05 UTC
QUAY STEVEN CDirector · President & CEO
GrantStock Option (right to buy) · Derivative 1,366,062 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0000950170-25-073520 · ownership.xml · derivative · entry 1

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,366,062

Underlying: Common Stock · 1,366,062 shares

Expires 2035-05-15

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 24 months following May 15, 2025, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date. The options were issued on May 15, 2025, with an exercise price of $0.99, representing the closing stock price on May 15, 2025.

Read SEC document
May 15, 2025 Filed May 16, 2025 20:05 UTC
Cigler TessaDirector
GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0000950170-25-073515 · ownership.xml · derivative · entry 1

Cigler Tessa · CIK 0002015142 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-05-15

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following May 15, 2025, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued on May 15, 2025 with an exercise price of $0.99, representing the closing stock price on May 15, 2025.

Read SEC document
May 15, 2025 Filed May 16, 2025 16:05 UTC
Rees HeatherChief Financial Officer
GrantStock Option (right to buy) · Derivative 543,785 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0000950170-25-073518 · ownership.xml · derivative · entry 1

Rees Heather · CIK 0001997454 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 543,785

Underlying: Common Stock · 543,785 shares

Expires 2035-05-15

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 24 months following May 15, 2025, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date. The options were issued on May 15, 2025, with an exercise price of $0.99, representing the closing stock price on May 15, 2025.

Read SEC document
May 15, 2025 Filed May 16, 2025 20:05 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0000950170-25-073522 · ownership.xml · derivative · entry 1

Finn Jonathan · CIK 0001981595 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-05-15

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following May 15, 2025, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued on May 15, 2025 with an exercise price of $0.99, representing the closing stock price on May 15, 2025.

Read SEC document
May 15, 2025 Filed May 16, 2025 20:05 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0000950170-25-073517 · ownership.xml · derivative · entry 1

Galli Stephen J · CIK 0001551951 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-05-15

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following May 15, 2025, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued on May 15, 2025 with an exercise price of $0.99, representing the closing stock price on May 15, 2025.

Read SEC document
May 15, 2025 Filed May 16, 2025 20:05 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0000950170-25-073521 · ownership.xml · derivative · entry 1

Chen Shu-Chih · CIK 0001552127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-05-15

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following May 15, 2025, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued on May 15, 2025 with an exercise price of $0.99, representing the closing stock price on May 15, 2025.

Read SEC document
May 15, 2025 Filed May 16, 2025 20:05 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0000950170-25-073516 · ownership.xml · derivative · entry 1

Remmel H. Lawrence · CIK 0001551817 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-05-15

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following May 15, 2025, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued on May 15, 2025 with an exercise price of $0.99, representing the closing stock price on May 15, 2025.

Read SEC document
May 15, 2025 Filed May 16, 2025 20:05 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0000950170-25-073513 · ownership.xml · derivative · entry 1

Steinhart Richard I · CIK 0001293789 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-05-15

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following May 15, 2025, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued on May 15, 2025 with an exercise price of $0.99, representing the closing stock price on May 15, 2025.

Read SEC document
March 26, 2025 Filed Mar 28, 2025 20:00 UTC PurchaseCommon Stock 10,000 $0.70 $7,000.00
Disclosure

SEC source: 0000950170-25-046742 · ownership.xml · nonDerivative · entry 1

Remmel H. Lawrence · CIK 0001551817 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,257

F1 · balance_after: Reflects a reverse stock split of the Issuer's common stock at a ratio of 12:1 effective April 2018. The Reporting Person disclaims beneficial ownership of 11 shares of common stock owned by his spouse except to the extent of his pecuniary interest in the shares.

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June 27, 2024 Filed Jul 1, 2024 16:00 UTC
QUAY STEVEN CDirector · President & CEO
GrantStock Option (right to buy) · Derivative 1,795,100 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0000950170-24-079559 · ownership.xml · derivative · entry 1

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,795,100

Underlying: Common Stock · 1,795,100 shares

Expires 2034-06-27

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 24 months following June 27, 2024, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date. The options were issued at approximately 9:30 a.m. (ET) on June 27, 2024, with an exercise price of $1.05, representing the most recently reported closing stock price on June 26, 2024.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 20:00 UTC
Cigler TessaDirector
GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0000950170-24-079557 · ownership.xml · derivative · entry 1

Cigler Tessa · CIK 0002015142 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-06-27

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following June 27, 2024, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued at approximately 9:30 a.m. (ET) on June 27, 2024 with an exercise price of $1.05, representing the most recently reported closing stock price on June 26, 2024.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 16:00 UTC
Rees HeatherSVP, Finance and Accounting
GrantStock Option (right to buy) · Derivative 577,700 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0000950170-24-079560 · ownership.xml · derivative · entry 1

Rees Heather · CIK 0001997454 · SVP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 577,700

Underlying: Common Stock · 577,700 shares

Expires 2034-06-27

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 24 months following June 27, 2024, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date. The options were issued at approximately 9:30 a.m. (ET) on June 27, 2024, with an exercise price of $1.05, representing the most recently reported closing stock price on June 26, 2024.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 20:00 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0000950170-24-079565 · ownership.xml · derivative · entry 1

Finn Jonathan · CIK 0001981595 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-06-27

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following June 27, 2024, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued at approximately 9:30 a.m. (ET) on June 27, 2024 with an exercise price of $1.05, representing the most recently reported closing stock price on June 26, 2024.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 20:00 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0000950170-24-079562 · ownership.xml · derivative · entry 1

Remmel H. Lawrence · CIK 0001551817 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-06-27

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following June 27, 2024, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued at approximately 9:30 a.m. (ET) on June 27, 2024 with an exercise price of $1.05, representing the most recently reported closing stock price on June 26, 2024.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 20:00 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0000950170-24-079563 · ownership.xml · derivative · entry 1

Steinhart Richard I · CIK 0001293789 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-06-27

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following June 27, 2024, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued at approximately 9:30 a.m. (ET) on June 27, 2024 with an exercise price of $1.05, representing the most recently reported closing stock price on June 26, 2024.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 20:00 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0000950170-24-079558 · ownership.xml · derivative · entry 1

Galli Stephen J · CIK 0001551951 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-06-27

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following June 27, 2024, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued at approximately 9:30 a.m. (ET) on June 27, 2024 with an exercise price of $1.05, representing the most recently reported closing stock price on June 26, 2024.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 20:00 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0000950170-24-079561 · ownership.xml · derivative · entry 1

Chen Shu-Chih · CIK 0001552127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-06-27

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over 12 months following June 27, 2024, subject to the Reporting Person's continued service through each applicable vesting date. The options were issued at approximately 9:30 a.m. (ET) on June 27, 2024 with an exercise price of $1.05, representing the most recently reported closing stock price on June 26, 2024.

Read SEC document
April 10, 2024 Filed Apr 11, 2024 20:05 UTC PurchaseCommon Stock 25,000 $1.77 $44,250.00
Disclosure

SEC source: 0000950170-24-043690 · ownership.xml · nonDerivative · entry 1

Finn Jonathan · CIK 0001981595 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

F1 · price: The price reported represents the weighted average purchase price per share. The shares were purchased in multiple transactions at prices ranging from $1.74 to $1.78. Upon request from the staff of the U.S. Securities and Exchange Commission, the Issuer or a security holder of the Issuer, The Reporting Person will provide full information regarding the number of shares purchased at each separate price.

Read SEC document
March 09, 2024 Filed Mar 15, 2024 00:35 UTC
Cigler TessaDirector
GrantStock Option (right to buy) · Derivative 20,834 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0000950170-24-031815 · ownership.xml · derivative · entry 1

Cigler Tessa · CIK 0002015142 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,834

Underlying: Common Stock · 20,834 shares

Expires 2034-03-09

F1 · derivative.exercise_date: The options shall vest in four equal quarterly installments following March 9, 2024, subject to the Reporting Person's continued service through each applicable date.

Read SEC document
November 15, 2023 Filed Nov 15, 2023 22:03 UTC Amendment GrantStock Option (right to buy) · Derivative 62,500 $0.00 Strike: $0.65 $0.00
Disclosure

SEC source: 0001437749-23-032191 · rdgdoc.xml · derivative · entry 1

Finn Jonathan · CIK 0001981595 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock · 62,500 shares

Expires 2033-11-15

F1 · derivative.exercise_date: The options shall vest in four equal quarterly installments following November 15, 2023.

Read SEC document
November 15, 2023 Filed Nov 15, 2023 21:05 UTC GrantStock Option (right to buy) · Derivative 62,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001437749-23-032166 · rdgdoc.xml · derivative · entry 1

Finn Jonathan · CIK 0001981595 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock · 62,500 shares

Expires 2033-11-15

F1 · derivative.exercise_date: The options shall vest in four equal quarterly installments following November 15, 2023.

Read SEC document
November 15, 2023 Filed Nov 17, 2023 21:01 UTC
WEAVER GREGORY LDirector · Former EVP, CFO, & Director
SaleCommon Stock 50,000 $0.65 $32,500.00
Disclosure

SEC source: 0001437749-23-032461 · rdgdoc.xml · nonDerivative · entry 1

WEAVER GREGORY L · CIK 0001251779 · Director · Former EVP, CFO, & Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55

Read SEC document
June 20, 2023 Filed Jun 21, 2023 00:15 UTC
WEAVER GREGORY LDirector · EVP & CFO
PurchaseCommon Stock 50,000 $0.97 $48,500.00
Disclosure

SEC source: 0001437749-23-017896 · rdgdoc.xml · nonDerivative · entry 1

WEAVER GREGORY L · CIK 0001251779 · Director · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,055

F1 · price: The price reported represents the weighted average purchase price per share. The shares were purchased in multiple transactions at prices ranging from $0.93 to $0.99. Upon request from the staff of the U.S. Securities and Exchange Commission, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price.

F2 · balance_after: Includes shares of common stock purchased on November 21, 2013, which were previously reported on a Form 4 filed by the Reporting Person on November 22, 2013 but erroneously omitted in subsequent filings.

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June 01, 2023 Filed Jun 5, 2023 13:00 UTC
WEAVER GREGORY LDirector · EVP & CFO
GrantStock Option (right to buy) · Derivative 2,600,000 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001437749-23-016569 · rdgdoc.xml · derivative · entry 1

WEAVER GREGORY L · CIK 0001251779 · Director · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,600,000

Underlying: Common Stock · 2,600,000 shares

Expires 2033-06-01

F1 · derivative.exercise_date: The options shall vest with respect to 25% on the one year anniversary of June 1, 2023, and the remainder shall vest in equal quarterly installments over the following three years, subject to the reporting person's continued service through each applicable vesting date.

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May 04, 2023 Filed May 5, 2023 23:36 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001437749-23-012871 · rdgdoc.xml · derivative · entry 1

Remmel H. Lawrence · CIK 0001551817 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2033-05-04

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. The options were issued at approximately 9:50 a.m. (ET) on May 4, 2023, with an exercise price of $0.662, representing the most recently reported closing stock price on May 3, 2023.

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May 04, 2023 Filed May 5, 2023 23:36 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001437749-23-012872 · rdgdoc.xml · derivative · entry 1

WEAVER GREGORY L · CIK 0001251779 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2033-05-04

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. The options were issued at approximately 9:50 a.m. (ET) on May 4, 2023, with an exercise price of $0.662, representing the most recently reported closing stock price on May 3, 2023.

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May 04, 2023 Filed May 5, 2023 23:35 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001437749-23-012870 · rdgdoc.xml · derivative · entry 1

Steinhart Richard I · CIK 0001293789 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2033-05-04

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. The options were issued at approximately 9:50 a.m. (ET) on May 4, 2023, with an exercise price of $0.662, representing the most recently reported closing stock price on May 3, 2023.

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May 04, 2023 Filed May 5, 2023 23:35 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001437749-23-012869 · rdgdoc.xml · derivative · entry 1

Chen Shu-Chih · CIK 0001552127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2033-05-04

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. The options were issued at approximately 9:50 a.m. (ET) on May 4, 2023, with an exercise price of $0.662, representing the most recently reported closing stock price on May 3, 2023.

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May 04, 2023 Filed May 5, 2023 23:35 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $0.66 $0.00
Disclosure

SEC source: 0001437749-23-012868 · rdgdoc.xml · derivative · entry 1

Galli Stephen J · CIK 0001551951 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2033-05-04

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. The options were issued at approximately 9:50 a.m. (ET) on May 4, 2023, with an exercise price of $0.662, representing the most recently reported closing stock price on May 3, 2023.

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March 02, 2023 Filed Mar 6, 2023 16:11 UTC
QUAY STEVEN CDirector · President & CEO
GrantStock Option (right to buy) · Derivative 1,873,100 $0.00 Strike: $0.72 $0.00
Disclosure

SEC source: 0001437749-23-005533 · rdgdoc.xml · derivative · entry 1

QUAY STEVEN C · CIK 0001008227 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,873,100

Underlying: Common Stock · 1,873,100 shares

Expires 2033-03-02

F1 · derivative.exercise_date: The option will vest and become exercisable on a quarterly basis over 24 months from the grant-date.

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March 02, 2023 Filed Mar 6, 2023 21:10 UTC
Guse KyleCFO, Gen Counsel and Secretary
GrantStock Option (right to buy) · Derivative 557,900 $0.00 Strike: $0.72 $0.00
Disclosure

SEC source: 0001437749-23-005531 · rdgdoc.xml · derivative · entry 1

Guse Kyle · CIK 0001566618 · CFO, Gen Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 557,900

Underlying: Common Stock · 557,900 shares

Expires 2033-03-02

F1 · derivative.exercise_date: The option will vest and become exercisable on a quarterly basis over 24 months from the grant-date.

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May 13, 2022 Filed May 16, 2022 22:24 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.93 $0.00
Disclosure

SEC source: 0001437749-22-012713 · rdgdoc.xml · derivative · entry 1

Chen Shu-Chih · CIK 0001552127 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-05-13

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. Option grant was issued at 9:30 a.m. (ET) on May 13, 2022, with an exercise price of $0.93, representing the most recently reported closing stock price on May 12, 2022.

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May 13, 2022 Filed May 16, 2022 22:21 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.93 $0.00
Disclosure

SEC source: 0001437749-22-012711 · rdgdoc.xml · derivative · entry 1

Remmel H. Lawrence · CIK 0001551817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-05-13

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. Option grant was issued at 9:30 a.m. (ET) on May 13, 2022, with an exercise price of $0.93, representing the most recently reported closing stock price on May 12, 2022.

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May 13, 2022 Filed May 16, 2022 22:23 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.93 $0.00
Disclosure

SEC source: 0001437749-22-012712 · rdgdoc.xml · derivative · entry 1

Galli Stephen J · CIK 0001551951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-05-13

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. Option grant was issued at 9:30 a.m. (ET) on May 13, 2022, with an exercise price of $0.93, representing the most recently reported closing stock price on May 12, 2022.

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May 13, 2022 Filed May 16, 2022 22:20 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.93 $0.00
Disclosure

SEC source: 0001437749-22-012710 · rdgdoc.xml · derivative · entry 1

Steinhart Richard I · CIK 0001293789 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 50,000 shares

Expires 2032-05-13

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. Option grant was issued at 9:30 a.m. (ET) on May 13, 2022, with an exercise price of $0.93, representing the most recently reported closing stock price on May 12, 2022.

Read SEC document
May 13, 2022 Filed May 16, 2022 22:19 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.93 $0.00
Disclosure

SEC source: 0001437749-22-012709 · rdgdoc.xml · derivative · entry 1

WEAVER GREGORY L · CIK 0001251779 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-05-13

F1 · derivative.exercise_date: The options shall vest on a quarterly basis over the next 12 months. Option grant was issued at 9:30 a.m. (ET) on May 13, 2022, with an exercise price of $0.93, representing the most recently reported closing stock price on May 12, 2022.

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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.