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Nasdaq · USD

AUPH

Aurinia Pharmaceuticals Inc.

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Tapewire entity
4463
SEC CIK
0001600620
Parsed reports
183

Last 12 months

Inside the activity.

11 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202630
Mar 202630
Apr 202600
May 202620
Jun 202630
Jul 202600
Aug 202601
Sep 202601
Oct 202600

Latest available

Insider transactions

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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 18, 2023 Filed May 23, 2023 21:16 UTC Exercise / conversionRestricted Stock Units · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001600620-23-000019 · wk-form4_1684876599.xml · derivative · entry 2

MILNE GEORGE M JR · CIK 0001179552 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,733 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:16 UTC Exercise / conversionCommon Stock 8,733 Not disclosed Not disclosed
Disclosure

SEC source: 0001600620-23-000019 · wk-form4_1684876599.xml · nonDerivative · entry 1

MILNE GEORGE M JR · CIK 0001179552 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,733

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 17:18 UTC Exercise / conversionRestricted Stock Units · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001600620-23-000021 · wk-form4_1684876715.xml · derivative · entry 3

Hagan Joseph P · CIK 0001465278 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,733 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 17:18 UTC Exercise / conversionCommon Stock 8,733 Not disclosed Not disclosed
Disclosure

SEC source: 0001600620-23-000021 · wk-form4_1684876715.xml · nonDerivative · entry 1

Hagan Joseph P · CIK 0001465278 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,233

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:22 UTC Exercise / conversionRestricted Stock Units · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001600620-23-000024 · wk-form4_1684876944.xml · derivative · entry 3

Balakrishnan Brinda · CIK 0001868236 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,733 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:22 UTC Exercise / conversionCommon Stock 8,733 Not disclosed Not disclosed
Disclosure

SEC source: 0001600620-23-000024 · wk-form4_1684876944.xml · nonDerivative · entry 1

Balakrishnan Brinda · CIK 0001868236 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,733

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:19 UTC Exercise / conversionRestricted Stock Units · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001600620-23-000022 · wk-form4_1684876777.xml · derivative · entry 4

Jayne David R.W. · CIK 0001838242 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,733 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:19 UTC Exercise / conversionCommon Stock 8,733 Not disclosed Not disclosed
Disclosure

SEC source: 0001600620-23-000022 · wk-form4_1684876777.xml · nonDerivative · entry 1

Jayne David R.W. · CIK 0001838242 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,733

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:17 UTC Exercise / conversionRestricted Stock Units · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001600620-23-000020 · wk-form4_1684876658.xml · derivative · entry 4

Billen Daniel · CIK 0001837593 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,733 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:17 UTC Exercise / conversionCommon Stock 8,733 Not disclosed Not disclosed
Disclosure

SEC source: 0001600620-23-000020 · wk-form4_1684876658.xml · nonDerivative · entry 1

Billen Daniel · CIK 0001837593 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,733

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:16 UTC Exercise / conversionRestricted Stock Units · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001600620-23-000018 · wk-form4_1684876541.xml · derivative · entry 4

MacKay-Dunn R. Hector · CIK 0001838521 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,733 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:16 UTC Exercise / conversionCommon Stock 8,733 Not disclosed Not disclosed
Disclosure

SEC source: 0001600620-23-000018 · wk-form4_1684876541.xml · nonDerivative · entry 1

MacKay-Dunn R. Hector · CIK 0001838521 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,733

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:14 UTC Exercise / conversionRestricted Stock Units · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001600620-23-000017 · wk-form4_1684876480.xml · derivative · entry 4

Leversage Jill · CIK 0001837374 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,733 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
May 18, 2023 Filed May 23, 2023 21:14 UTC Exercise / conversionCommon Stock 8,733 Not disclosed Not disclosed
Disclosure

SEC source: 0001600620-23-000017 · wk-form4_1684876480.xml · nonDerivative · entry 1

Leversage Jill · CIK 0001837374 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,033

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:29 UTC PurchaseCommon Stock 20,000 $8.91 $178,284.00
Disclosure

SEC source: 0001628280-23-006533 · wf-form4_167813818041525.xml · nonDerivative · entry 1

MILNE GEORGE M JR · CIK 0001179552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

F1 · price: The price in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $8.86 to $8.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 16:28 UTC
Habig Scott MichaelChief Commercial Officer
GrantCommon Stock 170,188 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-23-006528 · wf-form4_167813810165437.xml · nonDerivative · entry 1

Habig Scott Michael · CIK 0001938159 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,719

F1 · shares: Represents grant of Restricted Stock Units (RSUs) payable solely in common stock of the Issuer that vest in three (3) equal annual installments on the first, second and third anniversary of the grant date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · balance_after: The reporting person has reported prior awards of RSUs in Table II of Form 4. The total reported in Column 5 includes the 170,188 newly awarded RSUs and 137,531 RSUs previously reported in Table II, which vests in three (3) equal annual installments beginning August 1, 2023 and 5,000 shares of common stock.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:27 UTC
Greenleaf PeterDirector · Chief Executive Officer
SaleCommon Stock 32,750 $8.94 $292,785.00
Disclosure

SEC source: 0001628280-23-006526 · wf-form4_167813805672591.xml · nonDerivative · entry 2

Greenleaf Peter · CIK 0001363683 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982,968

F5 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:27 UTC
Greenleaf PeterDirector · Chief Executive Officer
GrantCommon Stock 667,407 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-23-006526 · wf-form4_167813805672591.xml · nonDerivative · entry 1

Greenleaf Peter · CIK 0001363683 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,015,718

F1 · shares: Represents grant of Restricted Stock Units (RSUs) payable solely in common stock of the Issuer that vest in three (3) equal annual installments on the first, second and third anniversary of the grant date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · balance_after: Includes shares of common stock acquired by the reporting person pursuant to the Issuer's 2021 Employee Share Purchase Plan as follows: 1,221 shares of common stock were acquired on May 31, 2022 and 1,883 shares of common stock were acquired on November 30, 2022.

F4 · balance_after: The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 667,407 newly awarded RSUs, 312,240 RSUs previously reported in Table II, which vests in three (3) equal annual installments beginning March 2, 2022 (Prior RSUs), and 32,967 shares of common stock. On March 2, 2023, 104,080 of Prior RSUs vested and 208,160 of Prior RSUs remained unvested.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:29 UTC
Miller Joseph MChief Financial Officer
SaleCommon Stock 11,296 $8.94 $100,986.24
Disclosure

SEC source: 0001628280-23-006531 · wf-form4_167813814945028.xml · nonDerivative · entry 2

Miller Joseph M · CIK 0001746372 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,214

F5 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:29 UTC
Miller Joseph MChief Financial Officer
GrantCommon Stock 229,421 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-23-006531 · wf-form4_167813814945028.xml · nonDerivative · entry 1

Miller Joseph M · CIK 0001746372 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,510

F1 · shares: Represents grant of Restricted Stock Units (RSUs) payable solely in common stock of the Issuer that vest in three (3) equal annual installments on the first, second and third anniversary of the grant date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · balance_after: Includes shares of common stock acquired by the reporting person pursuant to the Issuer's 2021 Employee Share Purchase Plan as follows: 743 shares of common stock were acquired on May 31, 2022 and 1,656 shares of common stock were acquired on November 30, 2022.

F4 · balance_after: The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 229,421 newly awarded RSUs, 104,080 RSUs previously reported in Table II, which vests in three (3) equal annual installments beginning March 2, 2022 (Prior RSUs), and 6,610 shares of common stock. On March 2, 2023, 34,693 of Prior RSUs vested and 69,387 of Prior RSUs remained unvested.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:29 UTC
Donley Matthew MaxwellEVP, Ops & Strategy
GrantCommon Stock 271,134 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-23-006532 · wf-form4_167813816425740.xml · nonDerivative · entry 1

Donley Matthew Maxwell · CIK 0001636642 · EVP, Ops & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,141

F1 · shares: Represents grant of Restricted Stock Units (RSUs) payable solely in common stock of the Issuer that vest in three (3) equal annual installments on the first, second and third anniversary of the grant date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · balance_after: The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 271,134 newly awarded RSUs, 104,080 RSUs previously reported in Table II, which vests in three (3) equal annual installments beginning March 2, 2022 (Prior RSUs), and 27,927 shares of common stock. On March 2, 2023, 34,693 of Prior RSUs vested and 69,387 of Prior RSUs remained unvested.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:29 UTC
Robertson Stephen P.EVP, General Counsel
SaleCommon Stock 19,402 $8.94 $173,453.88
Disclosure

SEC source: 0001628280-23-006530 · wf-form4_167813813532555.xml · nonDerivative · entry 2

Robertson Stephen P. · CIK 0001837798 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,364

F5 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:29 UTC
Robertson Stephen P.EVP, General Counsel
GrantCommon Stock 204,810 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-23-006530 · wf-form4_167813813532555.xml · nonDerivative · entry 1

Robertson Stephen P. · CIK 0001837798 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,766

F1 · shares: Represents grant of Restricted Stock Units (RSUs) payable solely in common stock of the Issuer that vest in three (3) equal annual installments on the first, second and third anniversary of the grant date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · balance_after: Includes shares of common stock acquired by the reporting person pursuant to the Issuer's 2021 Employee Share Purchase Plan as follows: 2,016 shares of common stock were acquired on May 31, 2022 and 178 shares of common stock were acquired on November 30, 2022.

F4 · balance_after: The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 204,810 newly awarded RSUs, 104,080 RSUs previously reported in Table II, which vests in three (3) equal annual installments beginning March 2, 2022 (Prior RSUs), and 11,682 shares of common stock. On March 2, 2023, 34,693 of Prior RSUs vested and 69,387 of Prior RSUs remained unvested.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:28 UTC
Knappertz VolkerEVP, Research and Development
GrantCommon Stock 191,462 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-006527 · wf-form4_167813808294932.xml · nonDerivative · entry 1

Knappertz Volker · CIK 0001754122 · EVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,274

F1 · shares: Represents grant of Restricted Stock Units (RSUs) payable solely in common stock of the Issuer that vest in three (3) equal annual installments on the first, second and third anniversary of the grant date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · balance_after: The reporting person has reported prior awards of RSUs in Table II of Form 4. The total reported in Column 5 includes the 191,462 newly awarded RSUs and 152,812 RSUs previously reported in Table II, which vests in three (3) equal annual installments beginning August 1, 2023.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 21:28 UTC
Martin Michael RobertChief Business Officer
GrantCommon Stock 107,202 Not disclosed Not disclosed
Disclosure

SEC source: 0001628280-23-006529 · wf-form4_167813811794255.xml · nonDerivative · entry 1

Martin Michael Robert · CIK 0001837647 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,162

F1 · shares: Represents grant of Restricted Stock Units (RSUs) payable solely in common stock of the Issuer that vest in three (3) equal annual installments on the first, second and third anniversary of the grant date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · balance_after: The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes the 107,202 newly awarded RSUs, 62,448 RSUs previously reported in Table II, which vests in three (3) equal annual installments beginning March 2, 2022 (Prior RSUs), and 89,512 shares of common stock. On March 2, 2023, 20,816 of Prior RSUs vested and 41,632 of Prior RSUs remained unvested.

Read SEC document
March 02, 2023 Filed Feb 22, 2024 21:15 UTC Amendment
Greenleaf PeterDirector · Chief Executive Officer
SaleCommon Stock 33,047 $8.78 $290,152.66
Disclosure

SEC source: 0001600620-24-000013 · wk-form4a_1708636492.xml · nonDerivative · entry 1

Greenleaf Peter · CIK 0001363683 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 982,671

F1 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
March 02, 2023 Filed Feb 22, 2024 21:19 UTC Amendment
Robertson Stephen P.EVP, General Counsel
SaleCommon Stock 19,644 $8.78 $172,474.32
Disclosure

SEC source: 0001600620-24-000015 · wk-form4a_1708636769.xml · nonDerivative · entry 1

Robertson Stephen P. · CIK 0001837798 · EVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 303,122

F1 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
March 02, 2023 Filed Feb 22, 2024 21:17 UTC Amendment
Miller Joseph MChief Financial Officer
SaleCommon Stock 11,398 $8.78 $100,074.44
Disclosure

SEC source: 0001600620-24-000014 · wk-form4a_1708636621.xml · nonDerivative · entry 1

Miller Joseph M · CIK 0001746372 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 331,112

F1 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
November 21, 2022 Filed Nov 23, 2022 21:04 UTC
Donley Matthew MaxwellEx VP, Internal Operations
PurchaseCommon Stock 10,000 $4.66 $46,600.00
Disclosure

SEC source: 0001628280-22-030745 · wf-form4_166923742713580.xml · nonDerivative · entry 1

Donley Matthew Maxwell · CIK 0001636642 · Ex VP, Internal Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,927

F1 · balance_after: Includes 1,703 common stock of the Issuer acquired by the reporting person on May 31, 2022 pursuant to the Company's 2021 Employee Stock Purchase Plan.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 16:31 UTC
Habig Scott MichaelChief Commercial Officer
PurchaseCommon Stock 5,000 $5.02 $25,075.00
Disclosure

SEC source: 0001628280-22-029866 · wf-form4_166846148591533.xml · nonDerivative · entry 1

Habig Scott Michael · CIK 0001938159 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Read SEC document
November 07, 2022 Filed Nov 9, 2022 21:05 UTC
Martin Michael RobertChief Business Officer
PurchaseCommon Stock 30,000 $5.16 $154,800.00
Disclosure

SEC source: 0001628280-22-029215 · wf-form4_166802789941411.xml · nonDerivative · entry 1

Martin Michael Robert · CIK 0001837647 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,512

F1 · price: The price in column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $4.98 to $5.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

Read SEC document
August 01, 2022 Filed Aug 1, 2022 16:13 UTC
Habig Scott MichaelChief Commercial Officer
GrantRestricted Stock Units · Derivative 137,531 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-019949 · wf-form4_165938478001230.xml · derivative · entry 2

Habig Scott Michael · CIK 0001938159 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,531

Underlying: Common Shares · 137,531 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in three (3) equal annual installments beginning August 1, 2023.

F2 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in three (3) equal annual installments beginning August 1, 2023.

F2 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in three (3) equal annual installments beginning August 1, 2023.

Read SEC document
August 01, 2022 Filed Aug 1, 2022 16:13 UTC
Habig Scott MichaelChief Commercial Officer
GrantStock Option (right to buy) · Derivative 231,203 $0.00 Strike: $8.18 $0.00
Disclosure

SEC source: 0001628280-22-019949 · wf-form4_165938478001230.xml · derivative · entry 1

Habig Scott Michael · CIK 0001938159 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,203

Underlying: Common Stock · 231,203 shares

Expires 2032-08-01

F1 · derivative.exercise_date: One-third of the shares subject to the option vests twelve months from the grant date, and the remainder vests in twenty-four equal monthly installments thereafter.

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August 01, 2022 Filed Aug 1, 2022 20:13 UTC
Knappertz VolkerEVP, Research and Development
GrantRestricted Stock Units · Derivative 152,812 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-019950 · wf-form4_165938480733710.xml · derivative · entry 2

Knappertz Volker · CIK 0001754122 · EVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,812

Underlying: Common Shares · 152,812 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in three (3) equal annual installments beginning August 1, 2023.

F2 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in three (3) equal annual installments beginning August 1, 2023.

F2 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in three (3) equal annual installments beginning August 1, 2023.

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August 01, 2022 Filed Aug 1, 2022 20:13 UTC
Knappertz VolkerEVP, Research and Development
GrantStock Option (right to buy) · Derivative 256,892 $0.00 Strike: $8.18 $0.00
Disclosure

SEC source: 0001628280-22-019950 · wf-form4_165938480733710.xml · derivative · entry 1

Knappertz Volker · CIK 0001754122 · EVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,892

Underlying: Common Stock · 256,892 shares

Expires 2032-08-01

F1 · derivative.exercise_date: One-third of the shares subject to the option vests twelve months from the grant date, and the remainder vests in twenty-four equal monthly installments thereafter.

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May 18, 2022 Filed May 20, 2022 20:10 UTC GrantStock Option (right to buy) · Derivative 14,612 $0.00 Strike: $11.45 $0.00
Disclosure

SEC source: 0001628280-22-015035 · wf-form4_165307739688602.xml · derivative · entry 2

MILNE GEORGE M JR · CIK 0001179552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,612

Underlying: Common Stock · 14,612 shares

Expires 2032-05-18

F2 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on June 18, 2022.

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May 18, 2022 Filed May 20, 2022 20:10 UTC GrantRestricted Stock Unit · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015035 · wf-form4_165307739688602.xml · derivative · entry 1

MILNE GEORGE M JR · CIK 0001179552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,733

Underlying: Common Shares · 8,733 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

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May 18, 2022 Filed May 20, 2022 16:07 UTC GrantStock Option (right to buy) · Derivative 14,612 $0.00 Strike: $11.45 $0.00
Disclosure

SEC source: 0001628280-22-015028 · wf-form4_165307722519945.xml · derivative · entry 2

Hagan Joseph P · CIK 0001465278 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,612

Underlying: Common Stock · 14,612 shares

Expires 2032-05-18

F2 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on June 18, 2022.

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May 18, 2022 Filed May 20, 2022 16:07 UTC GrantRestricted Stock Unit · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015028 · wf-form4_165307722519945.xml · derivative · entry 1

Hagan Joseph P · CIK 0001465278 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,733

Underlying: Common Shares · 8,733 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

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May 18, 2022 Filed May 20, 2022 20:09 UTC GrantStock Option (right to buy) · Derivative 14,612 $0.00 Strike: $11.45 $0.00
Disclosure

SEC source: 0001628280-22-015032 · wf-form4_165307732544689.xml · derivative · entry 2

Walbert Timothy P · CIK 0001349376 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,612

Underlying: Common Stock · 14,612 shares

Expires 2032-05-18

F2 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on June 18, 2022.

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May 18, 2022 Filed May 20, 2022 20:09 UTC GrantRestricted Stock Unit · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015032 · wf-form4_165307732544689.xml · derivative · entry 1

Walbert Timothy P · CIK 0001349376 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,733

Underlying: Common Shares · 8,733 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:09 UTC GrantStock Option (right to buy) · Derivative 14,612 $0.00 Strike: $11.45 $0.00
Disclosure

SEC source: 0001628280-22-015034 · wf-form4_165307737333111.xml · derivative · entry 2

MacKay-Dunn R. Hector · CIK 0001838521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,612

Underlying: Common Stock · 14,612 shares

Expires 2032-05-18

F2 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on June 18, 2022.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:09 UTC GrantRestricted Stock Unit · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015034 · wf-form4_165307737333111.xml · derivative · entry 1

MacKay-Dunn R. Hector · CIK 0001838521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,733

Underlying: Common Shares · 8,733 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:08 UTC GrantStock Option (right to buy) · Derivative 14,612 $0.00 Strike: $11.45 $0.00
Disclosure

SEC source: 0001628280-22-015030 · wf-form4_165307726912108.xml · derivative · entry 2

Leversage Jill · CIK 0001837374 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,612

Underlying: Common Stock · 14,612 shares

Expires 2032-05-18

F2 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on June 18, 2022.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:08 UTC GrantRestricted Stock Unit · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015030 · wf-form4_165307726912108.xml · derivative · entry 1

Leversage Jill · CIK 0001837374 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,733

Underlying: Common Shares · 8,733 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:09 UTC GrantStock Option (right to buy) · Derivative 14,612 $0.00 Strike: $11.45 $0.00
Disclosure

SEC source: 0001628280-22-015033 · wf-form4_165307735548328.xml · derivative · entry 2

Billen Daniel · CIK 0001837593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,612

Underlying: Common Stock · 14,612 shares

Expires 2032-05-18

F2 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on June 18, 2022.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:09 UTC GrantRestricted Stock Unit · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015033 · wf-form4_165307735548328.xml · derivative · entry 1

Billen Daniel · CIK 0001837593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,733

Underlying: Common Shares · 8,733 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:07 UTC GrantStock Option (right to buy) · Derivative 14,612 $0.00 Strike: $11.45 $0.00
Disclosure

SEC source: 0001628280-22-015029 · wf-form4_165307725344576.xml · derivative · entry 2

Balakrishnan Brinda · CIK 0001868236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,612

Underlying: Common Stock · 14,612 shares

Expires 2032-05-18

F2 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on June 18, 2022.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:07 UTC GrantRestricted Stock Unit · Derivative 8,733 $0.00 $0.00
Disclosure

SEC source: 0001628280-22-015029 · wf-form4_165307725344576.xml · derivative · entry 1

Balakrishnan Brinda · CIK 0001868236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,733

Underlying: Common Shares · 8,733 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuers common stock. The RSUs will vest and be delivered to the Reporting Person one year from date of grant.

Read SEC document
May 18, 2022 Filed May 20, 2022 20:08 UTC GrantStock Option (right to buy) · Derivative 14,612 $0.00 Strike: $11.45 $0.00
Disclosure

SEC source: 0001628280-22-015031 · wf-form4_165307729475114.xml · derivative · entry 2

Jayne David R.W. · CIK 0001838242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,612

Underlying: Common Stock · 14,612 shares

Expires 2032-05-18

F2 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on June 18, 2022.

Read SEC document

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