Last 12 months
Inside the activity.
0 purchase rows · 43 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 2 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 1 |
| Apr 2026 | 0 | 8 |
| May 2026 | 0 | 20 |
| Jun 2026 | 0 | 2 |
| Jul 2026 | 0 | 1 |
| Aug 2026 | 0 | 7 |
| Sep 2026 | 0 | 2 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 18, 2020 Filed Jun 22, 2020 20:05 UTC |
COLA MICHAEL FDirector · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 84,322 | $0.00 Strike: $2.51 | $0.00 |
DisclosureSEC source: 0001192482-20-000554 · edgar.xml · derivative · entry 1 COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,322 Underlying: Common Stock · 84,322 shares Expires 2030-06-18 F1 · shares: 100% of this stock option will immediately vest on the date that it is granted. Read SEC document |
| June 11, 2020 Filed Jun 11, 2020 21:54 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 28,000 | $2.44 | $68,320.00 |
DisclosureSEC source: 0000919574-20-004039 · ownership.xml · nonDerivative · entry 4 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,128,000 F4 · price: This constitutes the weighted average purchase price. The prices ranged from $2.42 to $2.49. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital (the "SMA") and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of the SMA. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Exchange or for any other purpose. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 01:08 UTC |
Sullivan Christopher RyanInterim CFO
|
PurchaseCommon Stock | 2,954 | $2.28 | $6,729.21 |
DisclosureSEC source: 0001192482-20-000486 · edgar.xml · nonDerivative · entry 1 Sullivan Christopher Ryan · CIK 0001810417 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,954 F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 21:42 UTC |
Harrell James Archie JrChief Commercial Officer
|
PurchaseCommon Stock | 6,391 | $2.28 | $14,558.70 |
DisclosureSEC source: 0001192482-20-000494 · edgar.xml · nonDerivative · entry 2 Harrell James Archie Jr · CIK 0001738462 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,009 F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 01:02 UTC |
NEIL GARRY ARTHURChief Scientific Officer
|
PurchaseCommon Stock | 1,799 | $2.28 | $4,098.12 |
DisclosureSEC source: 0001192482-20-000484 · edgar.xml · nonDerivative · entry 1 NEIL GARRY ARTHUR · CIK 0001586785 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,081 F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:42 UTC |
Harrell James Archie JrChief Commercial Officer
|
PurchaseCommon Stock | 10,000 | $2.50 | $25,000.00 |
DisclosureSEC source: 0001192482-20-000494 · edgar.xml · nonDerivative · entry 1 Harrell James Archie Jr · CIK 0001738462 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,618 Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:54 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 267,806 | $2.52 | $674,871.12 |
DisclosureSEC source: 0000919574-20-004039 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,100,000 F3 · price: This constitutes the weighted average purchase price. The prices ranged from $2.50 to $2.82. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital (the "SMA") and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of the SMA. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Exchange or for any other purpose. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:54 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-004039 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 29,914,285 F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital") as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:54 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 1,753,680 | $2.50 | $4,384,200.00 |
DisclosureSEC source: 0000919574-20-004039 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,914,285 F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital") as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| June 09, 2020 Filed Jun 12, 2020 00:28 UTC |
COLA MICHAEL FDirector · Chief Executive Officer
|
PurchaseCommon Stock | 100,000 | $2.50 | $250,000.00 |
DisclosureSEC source: 0001192482-20-000477 · edgar.xml · nonDerivative · entry 1 COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,746 Read SEC document |
| June 08, 2020 Filed Jun 12, 2020 00:39 UTC |
Miller Joseph MDirector
|
Tax withholdingCommon Stock | 4,472 | $3.22 | $14,399.84 |
DisclosureSEC source: 0001192482-20-000479 · edgar.xml · nonDerivative · entry 1 Miller Joseph M · CIK 0001746372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,582 F1 · shares: Represents shares forfeited to the Issuer in connection with the satisfaction of tax liabilities incurred upon the vesting of restricted stock granted July 12, 2018. Read SEC document |
| April 24, 2020 Filed Apr 27, 2020 21:25 UTC |
Bruhn Suzanne LouiseDirector
|
GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $2.58 | $0.00 |
DisclosureSEC source: 0001578563-20-000022 · primary_doc.xml · derivative · entry 1 Bruhn Suzanne Louise · CIK 0001517790 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2030-04-24 F1 · derivative.exercise_date: The stock option will vest in three substantially equal annual installments on April 24, 2021, 2022 and 2023, subject to the Reporting Person's continued service on each such vesting date. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 18:02 UTC |
Harrell James Archie JrChief Commercial Officer
|
GrantStock Option (Right to Buy) · Derivative | 268,000 | $0.00 Strike: $2.57 | $0.00 |
DisclosureSEC source: 0001578563-20-000014 · primary_doc.xml · derivative · entry 2 Harrell James Archie Jr · CIK 0001738462 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,000 Underlying: Common Stock · 268,000 shares Expires 2030-04-09 F1 · derivative.exercise_date: One-fourth of the shares subject to the stock option will vest on the first anniversary of the date of grant, and the remaining three-fourths of the shares subject to the stock option will vest in equal monthly installments over the following 36 months. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 18:59 UTC |
Pedder SimonDirector · Executive Chairman of the Bd
|
Tax withholdingCommon Stock | 20,901 | $2.57 | $53,715.57 |
DisclosureSEC source: 0001578563-20-000016 · primary_doc.xml · nonDerivative · entry 1 Pedder Simon · CIK 0001316736 · Director · Executive Chairman of the Bd 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,833 F1 · shares: Represents shares forfeited to the Issuer in connection with the satisfaction of tax liabilities incurred upon the vesting of restricted stock granted May 24, 2019. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 22:30 UTC |
Miller Joseph MChief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 375,000 | $0.00 Strike: $2.57 | $0.00 |
DisclosureSEC source: 0001578563-20-000015 · primary_doc.xml · derivative · entry 2 Miller Joseph M · CIK 0001746372 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375,000 Underlying: Common Stock · 375,000 shares Expires 2030-04-09 F2 · derivative.exercise_date: One-fourth of the shares subject to the stock option will vest on the first anniversary of the date of grant, and the remaining three-fourths of the shares subject to the stock option will vest in equal monthly installments over the following 36 months. Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 20:59 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 4,280 | $2.16 | $9,244.80 |
DisclosureSEC source: 0000919574-20-002783 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 832,194 F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") client of Armistice Capital, LLC ("Armistice Capital") and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such SMA. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 31, 2020 Filed Mar 31, 2020 21:58 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 26,611 | $2.33 | $62,003.63 |
DisclosureSEC source: 0000919574-20-002662 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 827,914 F6 · price: This constitutes the weighted average purchase price. The prices range from $2.25 to $2.35. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") client of Armistice Capital, LLC ("Armistice Capital") and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such SMA. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 17:23 UTC |
Hacksell UliDirector
|
GrantStock Option (Right to Buy) · Derivative | 2,007 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001578563-20-000009 · primary_doc.xml · derivative · entry 2 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,007 Underlying: Common Stock · 2,007 shares Expires 2030-03-31 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 21:59 UTC |
Persson MagnusDirector
|
GrantStock Option (Right to Buy) · Derivative | 4,866 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001578563-20-000010 · primary_doc.xml · derivative · entry 1 Persson Magnus · CIK 0001653222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,866 Underlying: Common Stock · 4,866 shares Expires 2030-03-31 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 20:49 UTC |
Gutry PhilDirector
|
GrantStock Option (Right to Buy) · Derivative | 4,310 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001578563-20-000008 · primary_doc.xml · derivative · entry 1 Gutry Phil · CIK 0001653224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,310 Underlying: Common Stock · 4,310 shares Expires 2030-03-31 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| March 30, 2020 Filed Mar 31, 2020 21:58 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 49,303 | $2.35 | $115,862.05 |
DisclosureSEC source: 0000919574-20-002662 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 801,303 F5 · price: This constitutes the weighted average purchase price. The prices range from $2.27 to $2.45. The Reporting Person will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") client of Armistice Capital, LLC ("Armistice Capital") and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such SMA. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 21:58 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 36,000 | $2.43 | $87,480.00 |
DisclosureSEC source: 0000919574-20-002662 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 752,000 F4 · price: This constitutes the weighted average purchase price. The prices range from $2.36 to $2.49. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") client of Armistice Capital, LLC ("Armistice Capital") and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such SMA. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 20:47 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 1,374 | $2.52 | $3,462.48 |
DisclosureSEC source: 0000919574-20-002556 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 716,000 F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") client of Armistice Capital, LLC ("Armistice Capital") and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such SMA. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 20, 2020 Filed Mar 24, 2020 20:47 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 9,626 | $2.50 | $24,065.00 |
DisclosureSEC source: 0000919574-20-002556 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 714,626 F1 · ownership.nature: The reported securities are directly owned by a separately managed account ("SMA") client of Armistice Capital, LLC ("Armistice Capital") and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such SMA. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 19, 2020 Filed Mar 19, 2020 22:39 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 1,567 | $2.60 | $4,074.20 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 5 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 705,000 F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Exchange or for any other purpose. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 22:39 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 8,433 | $1.91 | $16,107.03 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 4 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 703,433 F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Exchange or for any other purpose. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 22:39 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.91 | $38,200.00 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 695,000 F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Exchange or for any other purpose. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 22:39 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 28,160,605 F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital") as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 22:39 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 1,951,219 | $2.05 | $3,999,998.95 |
DisclosureSEC source: 0000919574-20-002505 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,160,605 F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital") as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 23:19 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002471 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,621,828 F5 · kind: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F5 · price: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F3 · ownership.nature: Steven Boyd ("Mr. Boyd") may be deemed to indirectly beneficially own 26,209,386 Shares in his capacity as the Managing Member of Armistice Capital, the investment manager of the Master Fund. Mr. Boyd may also be deemed to directly own 412,442 Shares as a result of an in-kind distribution of Shares made by the Master Fund as described in footnote 5 below. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 23:19 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
OtherCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002471 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,209,386 F5 · kind: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F5 · price: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F2 · ownership.nature: The reported Shares may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), a Delaware limited liability company, as the investment manager of the Master Fund. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 23:19 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
OtherCommon Stock | 3,455,129 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-002471 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,209,386 F5 · kind: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F5 · price: The reported transaction was an in-kind distribution of Shares by the Master Fund to certain of its direct and indirect investors. For the avoidance of doubt, no Shares were sold by any of the reporting persons. F1 · ownership.direct: The reported shares of the issuer's common stock (the "Shares") are directly owned by Armistice Capital Master Fund Ltd. (the "Master Fund"), a Cayman Islands corporation. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 22:43 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 275,000 | $3.98 | $1,094,500.00 |
DisclosureSEC source: 0000919574-20-000751 · ownership.xml · nonDerivative · entry 3 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 675,000 F2 · ownership.nature: The reported securities are directly owned by a separately managed account client of Armistice Capital, and may be deemed to be indirectly beneficially owned by Armistice Capital as the investment manager of such separately managed account. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Exchange Act or for any other purpose. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 22:43 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-20-000751 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 29,664,515 F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 22:43 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
PurchaseCommon Stock | 981,282 | $3.98 | $3,905,502.36 |
DisclosureSEC source: 0000919574-20-000751 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,664,515 F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"), and may be deemed to be indirectly beneficially owned by Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund. The reported securities may also be deemed to be indirectly beneficially owned by Steven Boyd as Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 21:38 UTC |
BARER SOL JDirector
|
GrantStock Option (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001104659-20-011266 · tm206826d1_4.xml · derivative · entry 1 BARER SOL J · CIK 0001247015 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2030-02-03 F1 · derivative.exercise_date: The stock option will vest over over three years, with one-third of such option vesting on each of the first, second and third anniversaries of the date of grant. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 21:38 UTC |
COLA MICHAEL FDirector · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 1,200,000 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001104659-20-011268 · tm206826d3_4.xml · derivative · entry 2 COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 Underlying: Common Stock · 1,200,000 shares Expires 2030-02-03 F2 · derivative.exercise_date: The stock option will vest over four years, with the first 25% vesting on the first anniversary of the grant date, and the remainder vesting in equal monthly installments, subject to the reporting person's continued service on each such vesting date. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 21:38 UTC |
COLA MICHAEL FDirector · Chief Executive Officer
|
GrantCommon Stock | 75,746 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-011268 · tm206826d3_4.xml · nonDerivative · entry 1 COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,746 F1 · price: Received in exchange for 2,267,859 shares of Aevi Genomic Medicine, Inc. ("Aevi") common stock in connection with the merger of Aevi into a wholly owned subsidiary of the issuer pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Aevi, Genie Merger Sub, Inc., Second Merger Sub, LLC and the issuer. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 21:38 UTC |
NEIL GARRY ARTHURChief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 800,000 | $0.00 Strike: $3.98 | $0.00 |
DisclosureSEC source: 0001104659-20-011267 · tm206826d2_4.xml · derivative · entry 2 NEIL GARRY ARTHUR · CIK 0001586785 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800,000 Underlying: Common Stock · 800,000 shares Expires 2030-02-03 F2 · derivative.exercise_date: The stock option will vest over four years, with the first 25% vesting on the first anniversary of the grant date, and the remainder vesting in equal monthly installments, subject to the reporting person's continued service on each such vesting date. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 21:38 UTC |
NEIL GARRY ARTHURChief Medical Officer
|
GrantCommon Stock | 72,282 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-011267 · tm206826d2_4.xml · nonDerivative · entry 1 NEIL GARRY ARTHUR · CIK 0001586785 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,282 F1 · price: Received in exchange for 2,164,150 shares of Aevi Genomic Medicine, Inc. ("Aevi") common stock in connection with the merger of Aevi into a wholly owned subsidiary of the issuer pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Aevi, Genie Merger Sub, Inc., Second Merger Sub, LLC and the issuer. Read SEC document |
| January 24, 2020 Filed Jan 25, 2020 00:14 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
ConversionSeries B Convertible Preferred Stock · Derivative | 600,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-000567 · ownership.xml · derivative · entry 5 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,257,143 Underlying: Common Stock · 3,000,000 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. F3 · derivative.exercise_price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F3 · price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F3 · derivative.expiration_date: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"). Read SEC document |
| January 24, 2020 Filed Jan 25, 2020 00:14 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
ConversionCommon Stock | 3,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-000567 · ownership.xml · nonDerivative · entry 2 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,683,233 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. F3 · kind: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F3 · price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"). Read SEC document |
| January 22, 2020 Filed Jan 25, 2020 00:14 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
ConversionSeries B Convertible Preferred Stock · Derivative | 1,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-000567 · ownership.xml · derivative · entry 4 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,857,143 Underlying: Common Stock · 5,000,000 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. F3 · derivative.exercise_price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F3 · price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F3 · derivative.expiration_date: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"). Read SEC document |
| January 22, 2020 Filed Jan 25, 2020 00:14 UTC |
ARMISTICE CAPITAL, LLCDirector · 10% owner
Armistice Capital Master Fund Ltd.10% owner
Boyd StevenDirector · 10% owner
|
ConversionCommon Stock | 5,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000919574-20-000567 · ownership.xml · nonDerivative · entry 1 ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner Boyd Steven · CIK 0001706140 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,683,233 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. F3 · kind: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F3 · price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons into common stock of the issuer. These transactions are exempt from Section 16(b) of the Act pursuant to Rule 16b-6(b) promulgated under the Act. Reference is made to the Series B Non-Voting Convertible Preferred Stock Purchase Warrant, dated December 27, 2018, between the Master Fund and the issuer, attached as Exhibit 4.1 to the issuer's 8-K dated December 27, 2018, which is incorporated herein by reference. F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands corporation (the "Master Fund"). Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 19:34 UTC |
Hacksell UliDirector
|
GrantStock Option (Right to Buy) · Derivative | 11,016 | $0.00 Strike: $5.39 | $0.00 |
DisclosureSEC source: 0001578563-20-000003 · primary_doc.xml · derivative · entry 2 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,106 Underlying: Common Stock · 1,106 shares Expires 2029-12-31 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 21:56 UTC |
Gutry PhilDirector
|
GrantStock Option (Right to Buy) · Derivative | 2,375 | $0.00 Strike: $5.39 | $0.00 |
DisclosureSEC source: 0001578563-20-000001 · primary_doc.xml · derivative · entry 1 Gutry Phil · CIK 0001653224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,375 Underlying: Common Stock · 2,375 shares Expires 2029-12-31 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 01:07 UTC |
Persson MagnusDirector
|
GrantStock Option (Right to Buy) · Derivative | 2,682 | $0.00 Strike: $5.39 | $0.00 |
DisclosureSEC source: 0001578563-20-000004 · primary_doc.xml · derivative · entry 1 Persson Magnus · CIK 0001653222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,682 Underlying: Common Stock · 2,682 shares Expires 2029-12-31 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| December 10, 2019 Filed Dec 11, 2019 16:28 UTC |
Harrell James Archie JrChief Commercial Officer
|
PurchaseCommon Stock | 3,064 | $2.85 | $8,724.74 |
DisclosureSEC source: 0001578563-19-000038 · primary_doc.xml · nonDerivative · entry 1 Harrell James Archie Jr · CIK 0001738462 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,618 F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan. Read SEC document |
| December 10, 2019 Filed Dec 11, 2019 21:41 UTC |
Miller Joseph MChief Financial Officer
|
PurchaseCommon Stock | 2,598 | $2.85 | $7,397.81 |
DisclosureSEC source: 0001578563-19-000039 · primary_doc.xml · nonDerivative · entry 1 Miller Joseph M · CIK 0001746372 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,777 F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan. Read SEC document |
| December 10, 2019 Filed Dec 11, 2019 21:15 UTC |
Calias PericlesChief Scientific Officer
|
PurchaseCommon Stock | 2,913 | $2.85 | $8,294.77 |
DisclosureSEC source: 0001578563-19-000037 · primary_doc.xml · nonDerivative · entry 1 Calias Pericles · CIK 0001746282 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,462 F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan. 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.