Tapewire

Nasdaq · USD

AXSM

Axsome Therapeutics, Inc.

Export transactions ↓
Tapewire entity
2469
SEC CIK
0001579428
Parsed reports
188

Last 12 months

Inside the activity.

0 purchase rows · 33 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202503
Dec 202505
Jan 202605
Feb 202603
Mar 202600
Apr 202601
May 202603
Jun 202609
Jul 202601
Aug 202602
Sep 202601
Oct 202600

Latest available

Insider transactions

JSON API
Reset

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
June 04, 2021 Filed Jun 8, 2021 20:52 UTC
JEFFS ROGERDirector
GrantStock Option (Right to Buy) · Derivative 7,325 $0.00 Strike: $61.32 $0.00
Disclosure

SEC source: 0001209191-21-038954 · doc4.xml · derivative · entry 1

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,325

Underlying: Common Stock · 7,325 shares

Expires 2031-06-04

F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 4, 2022.

Read SEC document
May 12, 2021 Filed May 13, 2021 11:05 UTC
Coleman MarkDirector
PurchaseCommon Stock 500 $58.15 $29,075.00
Disclosure

SEC source: 0001209191-21-032250 · doc4.xml · nonDerivative · entry 1

Coleman Mark · CIK 0001658379 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 420,998

F1 · ownership.nature: Such shares were purchased by an entity, of which the reporting person has voting and dispositive power, and therefore, the reporting person is deemed to be the indirect beneficial owner of such shares.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:46 UTC
Jacobson Mark L.Chief Operating Officer
GrantRestricted Stock Units · Derivative 22,163 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-010807 · doc4.xml · derivative · entry 2

Jacobson Mark L. · CIK 0001805812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,163

Underlying: Common Stock · 22,163 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.

F3 · derivative.exercise_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 5, 2025. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's Amended and Restated 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 5, 2025. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's Amended and Restated 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:46 UTC
Jacobson Mark L.Chief Operating Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 41,638 $0.00 Strike: $65.02 $0.00
Disclosure

SEC source: 0000899243-21-010807 · doc4.xml · derivative · entry 1

Jacobson Mark L. · CIK 0001805812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,638

Underlying: Common Stock · 41,638 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 5, 2025.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:45 UTC
Coleman MarkDirector
GrantStock Option (Right to Buy) · Derivative 1,201 $0.00 Strike: $65.02 $0.00
Disclosure

SEC source: 0000899243-21-010805 · doc4.xml · derivative · entry 1

Coleman Mark · CIK 0001658379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,201

Underlying: Common Stock · 1,201 shares

Expires 2031-03-04

F1 · shares: Represents 1,201 options elected to be received in lieu of cash compensation earned in 2020. All of such options are immediately exercisable.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:47 UTC
Saad Mark EDirector
GrantStock Option (Right to Buy) · Derivative 1,241 $0.00 Strike: $65.02 $0.00
Disclosure

SEC source: 0000899243-21-010809 · doc4.xml · derivative · entry 1

Saad Mark E · CIK 0001295913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,241

Underlying: Common Stock · 1,241 shares

Expires 2031-03-04

F1 · shares: Represents 1,241 options elected to be received in lieu of cash compensation earned in 2020. All of such options are immediately exercisable.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:45 UTC
JEFFS ROGERDirector
GrantStock Option (Right to Buy) · Derivative 1,463 $0.00 Strike: $65.02 $0.00
Disclosure

SEC source: 0000899243-21-010804 · doc4.xml · derivative · entry 1

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,463

Underlying: Common Stock · 1,463 shares

Expires 2031-03-04

F1 · shares: Represents 1,463 options elected to be received in lieu of cash compensation earned in 2020. All of such options are immediately exercisable.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:45 UTC
TABUTEAU HERRIOTDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GrantRestricted Stock Units · Derivative 51,715 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-010806 · doc4.xml · derivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,715

Underlying: Common Stock · 51,715 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.

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 5, 2025.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 5, 2025. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's Amended and Restated 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:45 UTC
TABUTEAU HERRIOTDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GrantEmployee Stock Option (Right to Buy) · Derivative 97,155 $0.00 Strike: $65.02 $0.00
Disclosure

SEC source: 0000899243-21-010806 · doc4.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,155

Underlying: Common Stock · 97,155 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 5, 2025.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:48 UTC
Pizzie NickChief Financial Officer
GrantRestricted Stock Units · Derivative 19,208 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-010811 · doc4.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,208

Underlying: Common Stock · 19,208 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.

F3 · derivative.exercise_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 5, 2025. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's Amended and Restated 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 5, 2025. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's Amended and Restated 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:48 UTC
Pizzie NickChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 36,086 $0.00 Strike: $65.02 $0.00
Disclosure

SEC source: 0000899243-21-010811 · doc4.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,086

Underlying: Common Stock · 36,086 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 5, 2025.

Read SEC document
August 19, 2020 Filed Aug 21, 2020 00:43 UTC
Coleman MarkDirector
GiftCommon Stock 397,998 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-009208 · edgar.xml · nonDerivative · entry 2

Coleman Mark · CIK 0001658379 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Whale Island, LP

Disclosed balance after: 397,998

F1 · kind: The reporting person transferred these shares to a family limited partnership, Whale Island LP, of which the reporting person is the sole general partner and of which the reporting person and his three children are the sole limited partners. Each of the reporting person's children have a 1% pecuniary interest in Whale Island LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
August 19, 2020 Filed Aug 21, 2020 00:43 UTC
Coleman MarkDirector
GiftCommon Stock 397,998 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-009208 · edgar.xml · nonDerivative · entry 1

Coleman Mark · CIK 0001658379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,700

F1 · kind: The reporting person transferred these shares to a family limited partnership, Whale Island LP, of which the reporting person is the sole general partner and of which the reporting person and his three children are the sole limited partners. Each of the reporting person's children have a 1% pecuniary interest in Whale Island LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
June 29, 2020 Filed Jun 30, 2020 12:20 UTC
Coleman MarkDirector
PurchaseCommon Stock 650 $78.50 $51,025.00
Disclosure

SEC source: 0001104659-20-078441 · a4.xml · nonDerivative · entry 1

Coleman Mark · CIK 0001658379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,698

F1 · balance_after: 250,000 shares were previously transferred to the reporting person's former spouse for no consideration pursuant to a property settlement agreement entered into in connection with a divorce proceeding. The reporting person no longer reports as beneficially owned any securities owned by his former spouse.

Read SEC document
June 29, 2020 Filed Jun 30, 2020 12:19 UTC
Pizzie NickChief Financial Officer
PurchaseCommon Stock 777 $76.64 $59,549.28
Disclosure

SEC source: 0001104659-20-078440 · a4.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,217

F1 · shares: 777 shares were purchased by the Reporting Person's IRA.

Read SEC document
June 05, 2020 Filed Jun 5, 2020 22:40 UTC
Coleman MarkDirector
GrantStock Option (Right to Buy) · Derivative 13,000 $0.00 Strike: $77.38 $0.00
Disclosure

SEC source: 0001179110-20-007056 · edgar.xml · derivative · entry 1

Coleman Mark · CIK 0001658379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 5, 2021.

Read SEC document
June 05, 2020 Filed Jun 5, 2020 22:42 UTC
Saad Mark EDirector
GrantStock Option (Right to Buy) · Derivative 13,000 $0.00 Strike: $77.38 $0.00
Disclosure

SEC source: 0001179110-20-007058 · edgar.xml · derivative · entry 1

Saad Mark E · CIK 0001295913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 5, 2021.

Read SEC document
June 05, 2020 Filed Jun 5, 2020 22:41 UTC
JEFFS ROGERDirector
GrantStock Option (Right to Buy) · Derivative 13,000 $0.00 Strike: $77.38 $0.00
Disclosure

SEC source: 0001179110-20-007057 · edgar.xml · derivative · entry 1

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 5, 2021.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:19 UTC
Jacobson Mark L.Chief Operating Officer
GrantRestricted Stock Units · Derivative 18,645 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-004010 · edgar.xml · derivative · entry 2

Jacobson Mark L. · CIK 0001805812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,645

Underlying: Common Stock · 18,645 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.

F3 · derivative.exercise_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:19 UTC
Jacobson Mark L.Chief Operating Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 60,880 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001179110-20-004010 · edgar.xml · derivative · entry 1

Jacobson Mark L. · CIK 0001805812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,880

Underlying: Common Stock · 60,880 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 17, 2024.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:17 UTC
Coleman MarkDirector
GrantStock Option (Right to Buy) · Derivative 3,308 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001179110-20-004007 · edgar.xml · derivative · entry 1

Coleman Mark · CIK 0001658379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,308

Underlying: Common Stock · 3,308 shares

Expires 2030-03-16

F1 · shares: Represents 3,308 options elected to be received in lieu of cash compensation earned in 2019. All of such options are immediately exercisable.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:17 UTC
Saad Mark EDirector
GrantStock Option (Right to Buy) · Derivative 3,789 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001179110-20-004006 · edgar.xml · derivative · entry 1

Saad Mark E · CIK 0001295913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,789

Underlying: Common Stock · 3,789 shares

Expires 2030-03-16

F1 · shares: Represents 3,789 options elected to be received in lieu of cash compensation earned in 2019. All of such options are immediately exercisable.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:18 UTC
JEFFS ROGERDirector
GrantStock Option (Right to Buy) · Derivative 4,496 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001179110-20-004008 · edgar.xml · derivative · entry 1

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,496

Underlying: Common Stock · 4,496 shares

Expires 2030-03-16

F1 · shares: Represents 4,496 options elected to be received in lieu of cash compensation earned in 2019. All of such options are immediately exercisable.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:20 UTC
TABUTEAU HERRIOTDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GrantRestricted Stock Units · Derivative 51,691 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-004012 · edgar.xml · derivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,691

Underlying: Common Stock · 51,691 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.

F3 · derivative.exercise_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:20 UTC
TABUTEAU HERRIOTDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GrantEmployee Stock Option (Right to Buy) · Derivative 168,776 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001179110-20-004012 · edgar.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,776

Underlying: Common Stock · 168,776 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 17, 2024.

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:19 UTC
Marek David CChief Commercial Officer
GrantRestricted Stock Units · Derivative 16,533 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-004009 · edgar.xml · derivative · entry 2

Marek David C · CIK 0001556914 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,533

Underlying: Common Stock · 16,533 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.

F3 · derivative.exercise_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:19 UTC
Marek David CChief Commercial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 53,984 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001179110-20-004009 · edgar.xml · derivative · entry 1

Marek David C · CIK 0001556914 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,984

Underlying: Common Stock · 53,984 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 17, 2024.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:19 UTC
Pizzie NickChief Financial Officer
GrantRestricted Stock Units · Derivative 18,645 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-004011 · edgar.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,645

Underlying: Common Stock · 18,645 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.

F3 · derivative.exercise_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:19 UTC
Pizzie NickChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 60,880 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001179110-20-004011 · edgar.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,880

Underlying: Common Stock · 60,880 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 17, 2024.

Read SEC document
March 17, 2020 Filed Dec 23, 2020 23:08 UTC Amendment
Jacobson Mark L.Chief Operating Officer
GrantRestricted Stock Units · Derivative 14,767 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-139275 · tm2039202-2_4seq1.xml · derivative · entry 2

Jacobson Mark L. · CIK 0001805812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,767

Underlying: Common Stock · 14,767 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.

F3 · derivative.exercise_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 17, 2020 Filed Dec 23, 2020 23:08 UTC Amendment
Jacobson Mark L.Chief Operating Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 48,237 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001104659-20-139275 · tm2039202-2_4seq1.xml · derivative · entry 1

Jacobson Mark L. · CIK 0001805812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,237

Underlying: Common Stock · 48,237 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 17, 2024.

Read SEC document
March 17, 2020 Filed Dec 23, 2020 23:08 UTC Amendment
Pizzie NickChief Financial Officer
GrantRestricted Stock Units · Derivative 14,767 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-139274 · tm2039202-1_4seq1.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,767

Underlying: Common Stock · 14,767 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.

F3 · derivative.exercise_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

F3 · derivative.expiration_date: 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on March 17, 2024. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant.

Read SEC document
March 17, 2020 Filed Dec 23, 2020 23:08 UTC Amendment
Pizzie NickChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 48,237 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001104659-20-139274 · tm2039202-1_4seq1.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,237

Underlying: Common Stock · 48,237 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 17, 2024.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC
JEFFS ROGERDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 34,866 $0.00 Strike: $12.95 $0.00
Disclosure

SEC source: 0001179110-20-000546 · edgar.xml · derivative · entry 9

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,866 shares

Expires 2029-03-18

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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC
JEFFS ROGERDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 11,000 $0.00 Strike: $4.95 $0.00
Disclosure

SEC source: 0001179110-20-000546 · edgar.xml · derivative · entry 8

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,000 shares

Expires 2027-03-14

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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC
JEFFS ROGERDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 5,193 $0.00 Strike: $8.02 $0.00
Disclosure

SEC source: 0001179110-20-000546 · edgar.xml · derivative · entry 7

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,193 shares

Expires 2026-05-26

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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC
JEFFS ROGERDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 9,127 $0.00 Strike: $9.00 $0.00
Disclosure

SEC source: 0001179110-20-000546 · edgar.xml · derivative · entry 6

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,127 shares

Expires 2025-11-18

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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC
JEFFS ROGERDirector
Exercise / conversionCommon Stock 34,866 $12.95 $451,514.70
Disclosure

SEC source: 0001179110-20-000546 · edgar.xml · nonDerivative · entry 4

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,806

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 · shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC
JEFFS ROGERDirector
Exercise / conversionCommon Stock 11,000 $4.95 $54,450.00
Disclosure

SEC source: 0001179110-20-000546 · edgar.xml · nonDerivative · entry 3

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,940

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 · shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC
JEFFS ROGERDirector
Exercise / conversionCommon Stock 5,193 $8.02 $41,647.86
Disclosure

SEC source: 0001179110-20-000546 · edgar.xml · nonDerivative · entry 2

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,940

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 · shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 21:08 UTC
JEFFS ROGERDirector
Exercise / conversionCommon Stock 9,127 $9.00 $82,143.00
Disclosure

SEC source: 0001179110-20-000546 · edgar.xml · nonDerivative · entry 1

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,747

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 · shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
October 10, 2019 Filed Oct 15, 2019 20:45 UTC
TABUTEAU HERRIOTDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GrantEmployee Stock Option (Right to Buy) · Derivative 68,837 $0.00 Strike: $17.61 $0.00
Disclosure

SEC source: 0001179110-19-011013 · edgar.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,837

Underlying: Common Stock · 68,837 shares

Expires 2029-10-09

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on October 10, 2023; provided, that the vesting of the option will be accelerated such that 100% of the option will become fully vested upon the achievement of certain clinical, operational, and/or other milestones (approved by the compensation committee) prior to, on, or about December 31, 2019.

Read SEC document
October 10, 2019 Filed Oct 15, 2019 16:42 UTC
Marek David CChief Commercial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 25,813 $0.00 Strike: $17.61 $0.00
Disclosure

SEC source: 0001179110-19-011011 · edgar.xml · derivative · entry 1

Marek David C · CIK 0001556914 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,813

Underlying: Common Stock · 25,813 shares

Expires 2029-10-09

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on October 10, 2023; provided, that the vesting of the option will be accelerated such that 100% of the option will become fully vested upon the achievement of certain clinical, operational, and/or other milestones (approved by the compensation committee) prior to, on, or about December 31, 2019.

Read SEC document
October 10, 2019 Filed Oct 15, 2019 20:43 UTC
Pizzie NickChief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 25,813 $0.00 Strike: $17.61 $0.00
Disclosure

SEC source: 0001179110-19-011012 · edgar.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,813

Underlying: Common Stock · 25,813 shares

Expires 2029-10-09

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on October 10, 2023; provided, that the vesting of the option will be accelerated such that 100% of the option will become fully vested upon the achievement of certain clinical, operational, and/or other milestones (approved by the compensation committee) prior to, on, or about December 31, 2019.

Read SEC document
September 26, 2019 Filed Sep 30, 2019 11:16 UTC
Pizzie NickChief Financial Officer
PurchaseCommon Stock 2,180 $24.80 $54,064.00
Disclosure

SEC source: 0001104659-19-051908 · a4.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,440

F1 · shares: 2,000 shares were purchased by the Reporting Person's Roth IRA and 180 shares were purchased by the Reporting Person's IRA.

Read SEC document
September 04, 2019 Filed Sep 6, 2019 19:01 UTC
Marek David CChief Commercial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 125,000 $0.00 Strike: $24.28 $0.00
Disclosure

SEC source: 0001104659-19-049141 · a4.xml · derivative · entry 1

Marek David C · CIK 0001556914 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2029-09-04

F1 · derivative.exercise_date: The reporting person was granted stock options pursuant to the Issuer's 2015 Omnibus Incentive Plan. The stock options vest 25% on the first anniversary of the date of grant and 75% in equal increments on a quarterly basis for three years thereafter.

Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC
JEFFS ROGERDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 13,000 $0.00 Strike: $3.45 $0.00
Disclosure

SEC source: 0001104659-19-039375 · a4.xml · derivative · entry 7

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,000 shares

Expires 2028-06-01

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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC
JEFFS ROGERDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 39,948 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001104659-19-039375 · a4.xml · derivative · entry 6

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 39,948 shares

Expires 2028-03-11

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.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC
JEFFS ROGERDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 3,672 $0.00 Strike: $3.67 $0.00
Disclosure

SEC source: 0001104659-19-039375 · a4.xml · derivative · entry 5

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,344

Underlying: Common Stock · 3,672 shares

Expires 2024-09-15

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.

F2 · derivative.exercise_date: Reflects a partial option exercise by the Reporting Person. This option was granted on September 16, 2014. 3,672 shares subject to the option became fully vested and exercisable on September 16, 2015. The remaining 7,344 shares subject to the option, which were not exercised by the Reporting Person, became fully vested and exercisable in equal annual installments on the second and third anniversaries of the date of grant.

F1 · derivative.underlying_shares: The Reporting Person has elected to exercise and hold the shares at this time.

F2 · balance_after: Reflects a partial option exercise by the Reporting Person. This option was granted on September 16, 2014. 3,672 shares subject to the option became fully vested and exercisable on September 16, 2015. The remaining 7,344 shares subject to the option, which were not exercised by the Reporting Person, became fully vested and exercisable in equal annual installments on the second and third anniversaries of the date of grant.

Read SEC document
July 03, 2019 Filed Jul 5, 2019 11:00 UTC
JEFFS ROGERDirector
Exercise / conversionCommon Stock 13,000 $3.45 $44,850.00
Disclosure

SEC source: 0001104659-19-039375 · a4.xml · nonDerivative · entry 3

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,620

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 · shares: The Reporting Person has elected to exercise and hold the shares at this time.

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.