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AWHL

Aspira Women's Health Inc.

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7871
SEC CIK
0000926617
Parsed reports
277

Last 12 months

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1 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202610
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 25, 2022 Filed Aug 30, 2022 13:17 UTC
Merchant Minh HoangGeneral Counsel & Secretary
PurchaseCommon Stock 26,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001936532-22-000002 · primary_doc.xml · nonDerivative · entry 1

Merchant Minh Hoang · CIK 0001936532 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,667

F1 · price: Each share of common stock was purchased together with one warrant to purchase one share of common stock (each share and related warrant, a "unit"), at a price of $0.75 per unit.

Read SEC document
August 01, 2022 Filed Aug 1, 2022 20:37 UTC
Sandford NicoleDirector · President and CEO
GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative 5,000 $0.00 Strike: $0.80 $0.00
Disclosure

SEC source: 0001849521-22-000008 · primary_doc.xml · derivative · entry 1

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: COMMON STOCK · 5,000 shares

Expires 2032-08-01

Read SEC document
July 05, 2022 Filed Jul 12, 2022 20:35 UTC GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative 200,000 $0.00 Strike: $0.77 $0.00
Disclosure

SEC source: 0001937660-22-000002 · primary_doc.xml · derivative · entry 1

Phan Ryan Thinh · CIK 0001937660 · CSO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: COMMON STOCK · 200,000 shares

Expires 2032-07-05

F1 · derivative.exercise_date: The employee stock option will vest quarterly over two years in eight equal installments starting on October 1, 2022 and ending on 7/1/2024.

Read SEC document
July 01, 2022 Filed Jul 5, 2022 20:27 UTC
Sandford NicoleDirector · President and CEO
GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative 5,000 $0.00 Strike: $0.73 $0.00
Disclosure

SEC source: 0001849521-22-000007 · primary_doc.xml · derivative · entry 1

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: COMMON STOCK · 5,000 shares

Expires 2032-07-01

Read SEC document
June 23, 2022 Filed Jun 27, 2022 20:49 UTC GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative 83,799 $0.00 Strike: $0.52 $0.00
Disclosure

SEC source: 0001745856-22-000002 · primary_doc.xml · derivative · entry 2

Auerbach Robert D · CIK 0001745856 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,799

Underlying: COMMON STOCK · 83,799 shares

Expires 2032-06-23

F2 · derivative.exercise_date: The employee stock option will vest in two equal installments on September 1, 2022 and December 1, 2022.

Read SEC document
June 23, 2022 Filed Jun 27, 2022 20:49 UTC GrantCommon Stock 54,825 $0.00 $0.00
Disclosure

SEC source: 0001745856-22-000002 · primary_doc.xml · nonDerivative · entry 1

Auerbach Robert D · CIK 0001745856 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,825

F1 · shares: The restricted stock units will vest in two equal installments on September 1, 2022 and December 1, 2022.

Read SEC document
June 23, 2022 Filed Jun 27, 2022 20:20 UTC
Sharma RubyDirector
GrantCommon Stock 114,218 $0.00 $0.00
Disclosure

SEC source: 0001880428-22-000004 · primary_doc.xml · nonDerivative · entry 1

Sharma Ruby · CIK 0001880428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,218

F1 · shares: (1) The restricted stock units will vest in two equal installments on September 1, 2022 and December 1, 2022.

Read SEC document
June 01, 2022 Filed Jun 1, 2022 21:26 UTC
Sandford NicoleDirector · President and CEO
GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative 5,000 $0.00 Strike: $0.56 $0.00
Disclosure

SEC source: 0001849521-22-000006 · primary_doc.xml · derivative · entry 1

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: COMMON STOCK · 5,000 shares

Expires 2032-06-01

Read SEC document
May 16, 2022 Filed May 17, 2022 21:02 UTC
Sandford NicoleDirector · President and CEO
PurchaseCommon Stock 98,000 $0.76 $74,891.60
Disclosure

SEC source: 0001849521-22-000005 · primary_doc.xml · nonDerivative · entry 1

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,160

F1 · price: The purchase price reported in column 4 is a weighted average purchase price. The shares were purchased in multiple transactions at prices ranging from $0.745 to $0.779 per share. The reporting person undertakes to provide to Aspira Women's Health Inc., any security holder of Aspira Women's Health Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

Read SEC document
May 16, 2022 Filed May 18, 2022 13:22 UTC
Palmieri Valerie BarberDirector · Executive Chair
PurchaseCommon Stock 43,994 $0.57 $24,918.20
Disclosure

SEC source: 0001623017-22-000001 · primary_doc.xml · nonDerivative · entry 1

Palmieri Valerie Barber · CIK 0001623017 · Director · Executive Chair

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,088

F1 · price: The purchase price reported in column 4 is a weighted average purchase price. The shares were purchased in multiple transactions at prices ranging from $0.4928 to $0.6000 per share. The reporting person undertakes to provide to Aspira Women's Health Inc., any security holder of Aspira Women's Health Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

Read SEC document
May 02, 2022 Filed May 3, 2022 20:37 UTC
Sandford NicoleDirector · President and CEO
GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative 5,000 $0.00 Strike: $0.70 $0.00
Disclosure

SEC source: 0001849521-22-000004 · primary_doc.xml · derivative · entry 1

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: COMMON STOCK · 5,000 shares

Expires 2032-05-02

Read SEC document
April 01, 2022 Filed Apr 4, 2022 22:57 UTC
Sandford NicoleDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0001849521-22-000003 · primary_doc.xml · derivative · entry 1

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2032-04-01

Read SEC document
March 31, 2022 Filed Apr 5, 2022 00:44 UTC GrantEmployee Stock Option (Right to Buy) · Derivative 93,977 $0.00 Strike: $1.04 $0.00
Disclosure

SEC source: 0001381123-22-000001 · primary_doc.xml · derivative · entry 3

Jordan Veronica GH · CIK 0001381123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,977

Underlying: Common Stock · 93,977 shares

Expires 2032-03-31

F2 · derivative.exercise_date: The employee stock option will vest in four equal installments on April 1, 2022, June 1, 2022, September 1, 2022 and December 1, 2022.

Read SEC document
March 31, 2022 Filed Apr 5, 2022 00:44 UTC GrantCommon Stock 11,516 $0.00 $0.00
Disclosure

SEC source: 0001381123-22-000001 · primary_doc.xml · nonDerivative · entry 2

Jordan Veronica GH · CIK 0001381123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 361,175

F1 · shares: The restricted stock units will vest in four equal installments on April 1, 2022, June 1, 2022, September 1, 2022 and December 1, 2022.

Read SEC document
March 31, 2022 Filed Apr 5, 2022 00:44 UTC GrantCommon Stock 62,140 $0.00 $0.00
Disclosure

SEC source: 0001381123-22-000001 · primary_doc.xml · nonDerivative · entry 1

Jordan Veronica GH · CIK 0001381123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,659

F1 · shares: The restricted stock units will vest in four equal installments on April 1, 2022, June 1, 2022, September 1, 2022 and December 1, 2022.

Read SEC document
March 31, 2022 Filed Apr 5, 2022 00:29 UTC GrantCommon Stock 99,671 $0.00 $0.00
Disclosure

SEC source: 0001911051-22-000002 · primary_doc.xml · nonDerivative · entry 1

Fralick Celeste Rachelle · CIK 0001911051 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,671

F1 · shares: The restricted stock units will vest in four equal installments on April 1, 2022, June 1, 2022, September 1, 2022 and December 1, 2022.

Read SEC document
March 31, 2022 Filed Apr 5, 2022 00:23 UTC GrantEmployee Stock Option (Right to Buy) · Derivative 110,305 $0.00 Strike: $1.04 $0.00
Disclosure

SEC source: 0001162956-22-000001 · primary_doc.xml · derivative · entry 2

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,305

Underlying: Common Stock · 110,305 shares

Expires 2032-03-31

F2 · derivative.exercise_date: The employee stock option will vest in four equal installments on April 1, 2022, June 1, 2022, September 1, 2022 and December 1, 2022.

Read SEC document
March 31, 2022 Filed Apr 5, 2022 00:23 UTC GrantCommon Stock 72,937 $0.00 $0.00
Disclosure

SEC source: 0001162956-22-000001 · primary_doc.xml · nonDerivative · entry 1

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 496,129

F1 · shares: The restricted stock units will vest in four equal installments on April 1, 2022, June 1, 2022, September 1, 2022 and December 1, 2022.

Read SEC document
March 31, 2022 Filed Apr 4, 2022 22:30 UTC
Sandford NicoleDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $1.04 $0.00
Disclosure

SEC source: 0001849521-22-000002 · primary_doc.xml · derivative · entry 2

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-03-31

F2 · derivative.exercise_date: The option vests in four equal annual installments beginning on March 31, 2023.

Read SEC document
March 31, 2022 Filed Apr 4, 2022 22:30 UTC
Sandford NicoleDirector · President and CEO
GrantCommon Stock 23,033 $0.00 $0.00
Disclosure

SEC source: 0001849521-22-000002 · primary_doc.xml · nonDerivative · entry 1

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,435

F1 · shares: The restricted stock units will vest in four equal installments on April 1, 2022, June 1, 2022, September 1, 2022 and December 1, 2022.

Read SEC document
March 31, 2022 Filed Apr 4, 2022 22:16 UTC
Beechey Robert HarryChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 150,000 $0.00 Strike: $1.04 $0.00
Disclosure

SEC source: 0001725914-22-000002 · primary_doc.xml · derivative · entry 1

Beechey Robert Harry · CIK 0001725914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-03-31

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on March 31, 2023.

Read SEC document
March 01, 2022 Filed Mar 1, 2022 21:38 UTC
Sandford NicoleDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $1.05 $0.00
Disclosure

SEC source: 0001849521-22-000001 · primary_doc.xml · derivative · entry 1

Sandford Nicole · CIK 0001849521 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2032-03-01

Read SEC document
June 24, 2021 Filed Sep 16, 2021 22:14 UTC GrantEmployee Stock Option (Right To Buy) · Derivative 502 $0.00 Strike: $5.90 $0.00
Disclosure

SEC source: 0001162956-21-000003 · primary_doc.xml · derivative · entry 2

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502

Underlying: Common Stock · 502 shares

Expires 2031-06-24

F2 · derivative.exercise_date: The employee stock option will vest in two equal installments on September 1, 2021 and December 1, 2021

Read SEC document
June 24, 2021 Filed Sep 16, 2021 22:14 UTC GrantCommon Stock 330 $0.00 $0.00
Disclosure

SEC source: 0001162956-21-000003 · primary_doc.xml · nonDerivative · entry 1

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 423,192

F1 · shares: The restricted stock units will vest in two equal installments on September 1, 2021 and December 1, 2021.

Read SEC document
May 06, 2021 Filed Sep 16, 2021 22:06 UTC GrantEmployee Stock Option (Right To Buy) · Derivative 720 $0.00 Strike: $4.92 $0.00
Disclosure

SEC source: 0001162956-21-000002 · primary_doc.xml · derivative · entry 2

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 720

Underlying: Common Stock · 720 shares

Expires 2031-05-06

F2 · derivative.exercise_date: The employee stock option will vest in three equal installments on June 1, 2021, September 1, 2021 and December 1, 2021

Read SEC document
May 06, 2021 Filed Sep 16, 2021 22:06 UTC GrantCommon Stock 423 $0.00 $0.00
Disclosure

SEC source: 0001162956-21-000002 · primary_doc.xml · nonDerivative · entry 1

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 422,862

F1 · shares: The restricted stock units will vest in three equal installments on June 1, 2021, September 1, 2021 and December 1, 2021.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 22:12 UTC GrantCommon Stock 15,902 $0.00 $0.00
Disclosure

SEC source: 0001849521-21-000001 · primary_doc.xml · nonDerivative · entry 1

Sandford Nicole · CIK 0001849521 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,402

F1 · shares: The shares of common stock represent restricted stock units with contingent right to receive one share of common stock of Aspira Women's Health Inc. for each restricted stock unit. The restricted stock units will vest in four equal installments on April 1, 2021, June 1, 2021, September 1, 2021 and December 1, 2021.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 22:03 UTC GrantCommon Stock 14,728 $0.00 $0.00
Disclosure

SEC source: 0001833022-21-000001 · primary_doc.xml · nonDerivative · entry 1

Brooks Sandra Elaine · CIK 0001833022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,728

F1 · shares: The shares of common stock represent restricted stock units with contingent right to receive one share of common stock of Aspira Women's Health Inc. for each restricted stock unit. The restricted stock units will vest in four equal installments on April 1, 2021, June 1, 2021, September 1, 2021 and December 1, 2021.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 21:57 UTC
Beechey Robert HarryChief Financial Officer
GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative 150,000 $0.00 Strike: $7.40 $0.00
Disclosure

SEC source: 0001725914-21-000001 · primary_doc.xml · derivative · entry 1

Beechey Robert Harry · CIK 0001725914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common stock · 150,000 shares

Expires 2031-03-19

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on March 19, 2022.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 21:51 UTC
Palmieri Valerie BarberDirector · President and CEO
GrantEMPLOYEE STOCK OPTION (RIGHT TO BUY) · Derivative 450,000 $0.00 Strike: $7.40 $0.00
Disclosure

SEC source: 0001623017-21-000001 · primary_doc.xml · derivative · entry 1

Palmieri Valerie Barber · CIK 0001623017 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2031-03-19

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on March 19, 2022.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 21:39 UTC GrantCommon Stock 15,680 $0.00 $0.00
Disclosure

SEC source: 0001232953-21-000001 · primary_doc.xml · nonDerivative · entry 1

COCOZZA NANCY G · CIK 0001232953 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,632

F1 · shares: The shares of common stock represent restricted stock units with contingent right to receive one share of common stock of Aspira Women's Health Inc. for each restricted stock unit. The restricted stock units will vest in four equal installments on April 1, 2021, June 1, 2021, September 1, 2021 and December 1, 2021.

F2 · balance_after: Total reflects the adjustment of 16,554 shares of common stock previously reported as part of a restricted stock unit grant made on March 19, 2020.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 21:25 UTC GrantCommon Stock 16,442 $0.00 $0.00
Disclosure

SEC source: 0001381123-21-000001 · primary_doc.xml · nonDerivative · entry 1

Jordan Veronica GH · CIK 0001381123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,519

F1 · shares: The shares of common stock represent restricted stock units with contingent right to receive one share of common stock of Aspira Women's Health Inc. for each restricted stock unit. The restricted stock units will vest in four equal installments on April 1, 2021, June 1, 2021, September 1, 2021 and December 1, 2021.

F2 · balance_after: Total reflects the adjustment of 17,617 shares of common stock previously reported as part of a restricted stock unit grant made on March 19, 2020.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 21:03 UTC GrantEmployee Stock Option (Right to Buy) · Derivative 15,412 $0.00 Strike: $7.40 $0.00
Disclosure

SEC source: 0001162956-21-000001 · primary_doc.xml · derivative · entry 2

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,412

Underlying: Common Stock · 15,412 shares

Expires 2031-03-19

F3 · derivative.exercise_date: The employee stock option will vest in four equal installments on April 1, 2021, June 1, 2021, September 1, 2021 and December 1, 2021.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 21:03 UTC GrantCommon Stock 9,205 $0.00 $0.00
Disclosure

SEC source: 0001162956-21-000001 · primary_doc.xml · nonDerivative · entry 1

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 422,439

F1 · shares: The shares of common stock represent restricted stock units with the contingent right to receive one share of common stock of Aspira Women's Health Inc. for each restricted stock unit. The restricted stock units will vest in four equal installments on April 1, 2021, June 1, 2021, September 1, 2021 and December 1, 2021.

F2 · balance_after: Total reflects the adjustment of 21,246 shares of common stock previously reported as part of a restricted stock unit grant made on March 19, 2020.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 21:15 UTC GrantCommon Stock 4,031 $0.00 $0.00
Disclosure

SEC source: 0001255627-21-000001 · primary_doc.xml · nonDerivative · entry 1

SCHREIBER DAVID · CIK 0001255627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,521

F1 · shares: The shares of common stock represent restricted stock units with contingent right to receive one share of common stock of Aspira Women's Health Inc. for each restricted stock unit. The restricted stock units will vest in two equal installments on April 1, 2021 and June 1, 2021.

F2 · balance_after: Total reflects the adjustment of 17,528 shares of common stock previously reported as part of a restricted stock unit grant made on March 19, 2020.

Read SEC document
September 08, 2020 Filed Sep 10, 2020 21:35 UTC SaleCommon Stock 50,000 $2.78 $139,000.00
Disclosure

SEC source: 0001255627-20-000002 · primary_doc.xml · nonDerivative · entry 1

SCHREIBER DAVID · CIK 0001255627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,018

F1 · shares: The proceeds are intended to cover tax liability for restricted stock units of Aspira Women's Health Inc. received in 2020.

F2 · price: The sale reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.75 to $2.85 per share. The reporting person undertakes to provide to Aspira Women's Health Inc., any security holder of Aspira Women's Health Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.

Read SEC document
July 01, 2020 Filed Jul 6, 2020 21:25 UTC PurchaseCommon Stock, par value $0.001 2,285,715 $3.50 $8,000,002.50
Disclosure

SEC source: 0000905148-20-000769 · form4.xml · nonDerivative · entry 1

SCHULER JACK W · CIK 0001021412 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 25,394,517

F1 · ownership.nature: These shares of common stock are directly held by the Jack W. Schuler Living Trust. Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
June 09, 2020 Filed Jun 12, 2020 01:32 UTC OtherWarrants (Right to buy) · Derivative 730,560 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0000905148-20-000694 · form4.xml · derivative · entry 2

SCHULER JACK W · CIK 0001021412 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 730,560 shares

Expires 2020-06-09

F1 · ownership.nature: These shares of common stock are directly held by the Jack W. Schuler Living Trust. Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
June 09, 2020 Filed Jun 12, 2020 01:32 UTC OtherCommon Stock, par value $0.001 730,560 $1.80 $1,315,008.00
Disclosure

SEC source: 0000905148-20-000694 · form4.xml · nonDerivative · entry 1

SCHULER JACK W · CIK 0001021412 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 23,108,802

F1 · ownership.nature: These shares of common stock are directly held by the Jack W. Schuler Living Trust. Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
June 08, 2020 Filed Jun 10, 2020 17:03 UTC OtherWarrants to acquire Common Stock · Derivative 463,298 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0001104659-20-072060 · tm2022328d2_4.xml · derivative · entry 4

FEINBERG LARRY N · CIK 0000926475 · 10% owner

ORACLE PARTNERS LP · CIK 0000941901 · 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: 0

Underlying: Common Stock · 463,298 shares

Expires 2020-06-08

F6 · derivative.expiration_date: The original Warrant expiration date was 2/17/2022, which date was accelerated by the Issuer to 6/8/2020 upon notice to the Reporting Persons.

F1 · ownership.nature: These securities are owned by Oracle Partners, LP. ("Partners").

F4 · ownership.nature: Larry N. Feinberg serves as the managing member of Oracle Associates, LLC, the general partner of Partners, Institutional Partners and Ten Fund, and accordingly, may be deemed to be the indirect beneficial owner of the shares beneficially owned by Partners, Institutional Partners and Ten Fund. Mr. Feinberg is the sole shareholder, director and president of Oracle Investment Management, Inc., which serves as investment manager to Partners, Institutional Partners and Ten Fund, and accordingly, may be deemed to be the beneficial owner of the shares beneficially owned by Partners, Institutional Partners and Ten Fund.

F5 · ownership.nature: Each of the Reporting Persons identified in this statement disclaims beneficial ownership of the securities described in this statement, except to the extent of their individual respective pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that any of the Reporting Persons identified in this statement are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement other than those directly beneficially owned by them.

Read SEC document
June 08, 2020 Filed Jun 10, 2020 17:03 UTC OtherCommon Stock 463,298 $1.80 $833,936.40
Disclosure

SEC source: 0001104659-20-072060 · tm2022328d2_4.xml · nonDerivative · entry 1

FEINBERG LARRY N · CIK 0000926475 · 10% owner

ORACLE PARTNERS LP · CIK 0000941901 · 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: 6,137,052

F1 · ownership.nature: These securities are owned by Oracle Partners, LP. ("Partners").

F4 · ownership.nature: Larry N. Feinberg serves as the managing member of Oracle Associates, LLC, the general partner of Partners, Institutional Partners and Ten Fund, and accordingly, may be deemed to be the indirect beneficial owner of the shares beneficially owned by Partners, Institutional Partners and Ten Fund. Mr. Feinberg is the sole shareholder, director and president of Oracle Investment Management, Inc., which serves as investment manager to Partners, Institutional Partners and Ten Fund, and accordingly, may be deemed to be the beneficial owner of the shares beneficially owned by Partners, Institutional Partners and Ten Fund.

F5 · ownership.nature: Each of the Reporting Persons identified in this statement disclaims beneficial ownership of the securities described in this statement, except to the extent of their individual respective pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that any of the Reporting Persons identified in this statement are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement other than those directly beneficially owned by them.

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June 05, 2020 Filed Jun 10, 2020 00:28 UTC OtherWarrants to acquire Common Stock · Derivative 11,250 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0001294046-20-000002 · primary_doc.xml · derivative · entry 2

Burns James S · CIK 0001294046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,250 shares

Expires 2020-06-09

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June 05, 2020 Filed Jun 10, 2020 00:28 UTC OtherCommon Stock 11,250 $1.80 $20,250.00
Disclosure

SEC source: 0001294046-20-000002 · primary_doc.xml · nonDerivative · entry 1

Burns James S · CIK 0001294046 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,461

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June 05, 2020 Filed Jun 10, 2020 00:25 UTC OtherWarrants to acquire Common Stock · Derivative 5,021 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0001562762-20-000219 · certent-form4.xml · derivative · entry 2

Jordan Veronica GH · CIK 0001381123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,021 shares

Expires 2020-06-09

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June 05, 2020 Filed Jun 10, 2020 00:25 UTC OtherCommon Stock 5,021 $1.80 $9,037.80
Disclosure

SEC source: 0001562762-20-000219 · certent-form4.xml · nonDerivative · entry 1

Jordan Veronica GH · CIK 0001381123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,694

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June 05, 2020 Filed Jun 10, 2020 00:40 UTC
Palmieri Valerie BarberDirector · President and CEO
OtherWarrants to acquire Common Stock · Derivative 7,531 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0001623017-20-000003 · primary_doc.xml · derivative · entry 2

Palmieri Valerie Barber · CIK 0001623017 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,531 shares

Expires 2020-06-09

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June 05, 2020 Filed Jun 10, 2020 00:40 UTC
Palmieri Valerie BarberDirector · President and CEO
OtherCommon Stock 7,531 $1.80 $13,555.80
Disclosure

SEC source: 0001623017-20-000003 · primary_doc.xml · nonDerivative · entry 1

Palmieri Valerie Barber · CIK 0001623017 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,094

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June 02, 2020 Filed Jun 5, 2020 01:54 UTC OtherWarrants to acquire stock · Derivative 5,210 $0.13 Strike: $1.80 $651.25
Disclosure

SEC source: 0001162956-20-000002 · primary_doc.xml · derivative · entry 2

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,210 shares

Expires 2020-06-08

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June 02, 2020 Filed Jun 5, 2020 01:54 UTC OtherCommon Stock 5,210 $1.80 $9,378.00
Disclosure

SEC source: 0001162956-20-000002 · primary_doc.xml · nonDerivative · entry 1

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 434,480

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June 02, 2020 Filed Jun 10, 2020 00:44 UTC Amendment OtherWarrants to acquire Common Stock · Derivative 5,021 $0.00 Strike: $1.80 $0.00
Disclosure

SEC source: 0001162956-20-000003 · primary_doc.xml · derivative · entry 2

LAFRANCE JAMES T · CIK 0001162956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,021 shares

Expires 2020-06-08

F1 · derivative.underlying_shares: This amendment is being filed to correct an error in the number of shares of common stock and warrants previously reported, which were inadvertently over-reported in the original Form 4 filing as a result of a transposition of the numbers.

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