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
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 3 |
| Dec 2025 | 0 | 5 |
| Jan 2026 | 0 | 5 |
| Feb 2026 | 0 | 3 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 1 |
| May 2026 | 0 | 3 |
| Jun 2026 | 0 | 9 |
| Jul 2026 | 0 | 1 |
| Aug 2026 | 0 | 2 |
| Sep 2026 | 0 | 1 |
| 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 |
|---|---|---|---|---|---|---|
| July 03, 2019 Filed Jul 5, 2019 11:00 UTC |
JEFFS ROGERDirector
|
Exercise / conversionCommon Stock | 39,948 | $2.85 | $113,851.80 |
DisclosureSEC source: 0001104659-19-039375 · a4.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,620 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 |
| July 03, 2019 Filed Jul 5, 2019 11:00 UTC |
JEFFS ROGERDirector
|
Exercise / conversionCommon Stock | 3,672 | $3.67 | $13,476.24 |
DisclosureSEC source: 0001104659-19-039375 · a4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,672 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 |
| June 26, 2019 Filed Jun 27, 2019 11:18 UTC |
Coleman MarkDirector
|
PurchaseCommon Stock | 15,800 | $23.10 | $364,980.00 |
DisclosureSEC source: 0001179110-19-008149 · edgar.xml · nonDerivative · entry 2 Coleman Mark · CIK 0001658379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,848 F2 · price: The price reported in Column 4 is an average price. These shares were purchased by the reporting person in multiple transactions at prices ranging from $22.90 to $23.25, inclusive. The reporting person undertakes to provide to Axsome Therapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| June 25, 2019 Filed Jun 27, 2019 11:18 UTC |
Coleman MarkDirector
|
PurchaseCommon Stock | 400 | $23.25 | $9,300.00 |
DisclosureSEC source: 0001179110-19-008149 · edgar.xml · nonDerivative · entry 1 Coleman Mark · CIK 0001658379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 653,048 F1 · price: The price reported in Column 4 is an average price. These shares were purchased by the reporting person in multiple transactions at prices ranging from $23.24 to $23.25, inclusive. The reporting person undertakes to provide to Axsome Therapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| June 11, 2019 Filed Jun 12, 2019 11:00 UTC |
Pizzie NickChief Financial Officer
|
PurchaseCommon Stock | 1,920 | $20.80 | $39,936.00 |
DisclosureSEC source: 0001104659-19-034903 · a4.xml · nonDerivative · entry 1 Pizzie Nick · CIK 0001742143 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,920 Read SEC document |
| June 07, 2019 Filed Jun 10, 2019 22:20 UTC |
Coleman MarkDirector
|
GrantStock Option (Right to Buy) · Derivative | 13,000 | $0.00 Strike: $22.03 | $0.00 |
DisclosureSEC source: 0001104659-19-034641 · a4.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 2029-06-07 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 7, 2020. Read SEC document |
| June 07, 2019 Filed Jun 10, 2019 22:21 UTC |
Saad Mark EDirector
|
GrantStock Option (Right to Buy) · Derivative | 13,000 | $0.00 Strike: $22.03 | $0.00 |
DisclosureSEC source: 0001104659-19-034643 · a4.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 2029-06-07 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 7, 2020. Read SEC document |
| June 07, 2019 Filed Jun 10, 2019 22:20 UTC |
JEFFS ROGERDirector
|
GrantStock Option (Right to Buy) · Derivative | 13,000 | $0.00 Strike: $22.03 | $0.00 |
DisclosureSEC source: 0001104659-19-034640 · a4.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 2029-06-07 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 7, 2020. Read SEC document |
| June 07, 2019 Filed Jun 10, 2019 22:20 UTC |
POTTER MYRTLE SDirector
|
GrantStock Option (Right to Buy) · Derivative | 13,000 | $0.00 Strike: $22.03 | $0.00 |
DisclosureSEC source: 0001104659-19-034642 · a4.xml · derivative · entry 1 POTTER MYRTLE S · CIK 0001214130 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires 2029-06-07 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 7, 2020. Read SEC document |
| May 23, 2019 Filed May 24, 2019 11:19 UTC |
Saad Mark EDirector
|
PurchaseCommon Stock | 3,500 | $22.33 | $78,155.00 |
DisclosureSEC source: 0001179110-19-006616 · edgar.xml · nonDerivative · entry 1 Saad Mark E · CIK 0001295913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,002 F1 · price: The price reported in Column 4 is an average price. These shares were purchased by the reporting person in multiple transactions at prices ranging from $22.30 to $22.35, inclusive. The reporting person undertakes to provide to Axsome Therapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| May 13, 2019 Filed May 15, 2019 11:21 UTC |
Coleman MarkDirector
|
PurchaseCommon Stock | 4,650 | $21.44 | $99,696.00 |
DisclosureSEC source: 0001179110-19-006055 · edgar.xml · nonDerivative · entry 1 Coleman Mark · CIK 0001658379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 652,648 F1 · price: The price reported in Column 4 is an average price. These shares were purchased by the reporting person in multiple transactions at prices ranging from $21.42 to $21.49, inclusive. The reporting person undertakes to provide to Axsome Therapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:06 UTC |
Coleman MarkDirector
|
GrantStock Option (Right to Buy) · Derivative | 25,652 | $0.00 Strike: $12.95 | $0.00 |
DisclosureSEC source: 0001104659-19-016569 · a4.xml · derivative · entry 1 Coleman Mark · CIK 0001658379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,652 Underlying: Common Stock · 25,652 shares Expires 2029-03-18 F1 · shares: Represents 25,652 options elected to be received in lieu of cash compensation earned in 2018. All of such options are immediately exercisable. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 11:05 UTC |
Coleman MarkDirector
|
PurchaseCommon Stock | 5,100 | $12.18 | $62,118.00 |
DisclosureSEC source: 0001104659-19-016423 · a4.xml · nonDerivative · entry 1 Coleman Mark · CIK 0001658379 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,100 F1 · price: The price reported in Column 4 is an average price. These shares were purchased by the reporting person in multiple transactions at prices ranging from $12.09 to $12.53, inclusive. The reporting person undertakes to provide to Axsome Therapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (1) to this Form 4. F2 · 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 19, 2019 Filed Mar 21, 2019 20:06 UTC |
JEFFS ROGERDirector
|
GrantStock Option (Right to Buy) · Derivative | 34,866 | $0.00 Strike: $12.95 | $0.00 |
DisclosureSEC source: 0001104659-19-016570 · a4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,866 Underlying: Common Stock · 34,866 shares Expires 2029-03-18 F1 · shares: Represents 34,866 options elected to be received in lieu of cash compensation earned in 2018. All of such options are immediately exercisable. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:07 UTC |
Saad Mark EDirector
|
GrantStock Option (Right to Buy) · Derivative | 29,387 | $0.00 Strike: $12.95 | $0.00 |
DisclosureSEC source: 0001104659-19-016572 · a4.xml · derivative · entry 1 Saad Mark E · CIK 0001295913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,387 Underlying: Common Stock · 29,387 shares Expires 2029-03-18 F1 · shares: Represents 29,387 options elected to be received in lieu of cash compensation earned in 2018. All of such options are immediately exercisable. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:07 UTC |
TABUTEAU HERRIOTDirector · Chief Executive Officer · 10% owner
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 319,212 | $0.00 Strike: $12.95 | $0.00 |
DisclosureSEC source: 0001104659-19-016573 · a4.xml · derivative · entry 1 TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,212 Underlying: Common Stock · 319,212 shares Expires 2029-03-18 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 19, 2023. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:07 UTC |
Pizzie NickChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 75,102 | $0.00 Strike: $12.95 | $0.00 |
DisclosureSEC source: 0001104659-19-016571 · a4.xml · derivative · entry 1 Pizzie Nick · CIK 0001742143 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,102 Underlying: Common Stock · 75,102 shares Expires 2029-03-18 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 19, 2023. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 11:05 UTC |
Pizzie NickChief Financial Officer
|
PurchaseCommon Stock | 5,340 | $12.58 | $67,177.20 |
DisclosureSEC source: 0001104659-19-016424 · a4.xml · nonDerivative · entry 2 Pizzie Nick · CIK 0001742143 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,340 F2 · price: The price reported in Column 4 is an average price. These shares were purchased by the reporting person in multiple transactions at prices ranging from $12.57 to $12.59, inclusive. The reporting person undertakes to provide to Axsome Therapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 11:05 UTC |
Pizzie NickChief Financial Officer
|
PurchaseCommon Stock | 60 | $12.69 | $761.40 |
DisclosureSEC source: 0001104659-19-016424 · a4.xml · nonDerivative · entry 1 Pizzie Nick · CIK 0001742143 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By UTMA account Disclosed balance after: 60 F1 · ownership.direct: Represents 60 shares of common stock purchased by the reporting person as custodian for his son's UTMA account. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 19, 2018 Filed Jun 20, 2018 21:00 UTC |
Pizzie NickChief Financial Officer
|
PurchaseCommon Stock | 30,600 | $3.10 | $94,860.00 |
DisclosureSEC source: 0001104659-18-041289 · a4.xml · nonDerivative · entry 2 Pizzie Nick · CIK 0001742143 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,000 Read SEC document |
| June 19, 2018 Filed Jun 20, 2018 21:00 UTC |
Pizzie NickChief Financial Officer
|
PurchaseCommon Stock | 400 | $3.05 | $1,220.00 |
DisclosureSEC source: 0001104659-18-041289 · a4.xml · nonDerivative · entry 1 Pizzie Nick · CIK 0001742143 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400 Read SEC document |
| June 01, 2018 Filed Jun 6, 2018 00:21 UTC |
Coleman MarkDirector
|
GrantStock Options (right to buy) · Derivative | 13,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001104659-18-038401 · a4.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 2028-06-01 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 1, 2019. Read SEC document |
| June 01, 2018 Filed Jun 6, 2018 00:21 UTC |
Saad Mark EDirector
|
GrantStock Options (right to buy) · Derivative | 13,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001104659-18-038399 · a4.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 2028-06-01 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 1, 2019. Read SEC document |
| June 01, 2018 Filed Jun 6, 2018 00:21 UTC |
JEFFS ROGERDirector
|
GrantStock Options (right to buy) · Derivative | 13,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001104659-18-038400 · a4.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 2028-06-01 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 1, 2019. Read SEC document |
| June 01, 2018 Filed Jun 6, 2018 00:20 UTC |
POTTER MYRTLE SDirector
|
GrantStock Options (right to buy) · Derivative | 4,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001104659-18-038398 · a4.xml · derivative · entry 2 POTTER MYRTLE S · CIK 0001214130 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 4,000 shares Expires 2027-06-15 F2 · derivative.exercise_date: The option will vest 1/3 on June 16, 2018, 1/3 on June 16, 2019 and 1/3 on June 16, 2020. Read SEC document |
| June 01, 2018 Filed Jun 6, 2018 00:20 UTC |
POTTER MYRTLE SDirector
|
GrantStock Options (right to buy) · Derivative | 13,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001104659-18-038398 · a4.xml · derivative · entry 1 POTTER MYRTLE S · CIK 0001214130 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,000 Underlying: Common Stock · 13,000 shares Expires 2028-06-01 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 1, 2019. Read SEC document |
| May 16, 2018 Filed May 29, 2018 21:32 UTC |
Pizzie NickChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 132,000 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001104659-18-036457 · a4.xml · derivative · entry 1 Pizzie Nick · CIK 0001742143 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,000 Underlying: Common Stock · 132,000 shares Expires 2028-05-16 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 |
| March 12, 2018 Filed Apr 5, 2018 14:05 UTC |
Coleman MarkDirector
|
GrantStock Option (Right to Buy) · Derivative | 27,297 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0001104659-18-022602 · a4.xml · derivative · entry 1 Coleman Mark · CIK 0001658379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,297 Underlying: Common Stock · 27,297 shares Expires 2028-03-11 F1 · shares: Represents 27,297 options elected to be received in lieu of cash compensation earned in 2017. All of such options are immediately exercisable. Read SEC document |
| March 12, 2018 Filed Apr 5, 2018 14:05 UTC |
Saad Mark EDirector
|
GrantStock Option (Right to Buy) · Derivative | 32,602 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0001104659-18-022601 · a4.xml · derivative · entry 1 Saad Mark E · CIK 0001295913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,602 Underlying: Common Stock · 32,602 shares Expires 2028-03-11 F1 · shares: Represents 32,602 options elected to be received in lieu of cash compensation earned in 2017. All of such options are immediately exercisable. Read SEC document |
| March 12, 2018 Filed Apr 5, 2018 14:05 UTC |
JEFFS ROGERDirector
|
GrantStock Option (Right to Buy) · Derivative | 39,948 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0001104659-18-022603 · a4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,948 Underlying: Common Stock · 39,948 shares Expires 2028-03-11 F1 · shares: Represents 39,948 options elected to be received in lieu of cash compensation earned in 2017. All of such options are immediately exercisable. Read SEC document |
| March 12, 2018 Filed Apr 5, 2018 14:05 UTC |
TABUTEAU HERRIOTDirector · Chief Executive Officer · 10% owner
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 187,628 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0001104659-18-022600 · a4.xml · derivative · entry 1 TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,628 Underlying: Common Stock · 187,628 shares Expires 2028-03-11 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 12, 2022. Read SEC document |
| August 04, 2017 Filed Aug 8, 2017 16:25 UTC |
Golubieski JohnChief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 132,000 | $0.00 Strike: $5.90 | $0.00 |
DisclosureSEC source: 0001104659-17-050277 · a4.xml · derivative · entry 1 Golubieski John · CIK 0001610695 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,000 Underlying: Common Stock · 132,000 shares Expires 2027-08-04 F1 · derivative.exercise_date: The option will vest in equal annual installments over four years such that the option will be fully vested on August 4, 2021. Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 20:23 UTC |
POTTER MYRTLE SDirector
|
GrantStock Option (Right to Buy) · Derivative | 8,197 | $0.00 Strike: $4.10 | $0.00 |
DisclosureSEC source: 0001104659-17-040183 · a4.xml · derivative · entry 2 POTTER MYRTLE S · CIK 0001214130 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,197 Underlying: Common Stock · 8,197 shares Expires 2027-06-15 F2 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 16, 2018. Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 20:23 UTC |
POTTER MYRTLE SDirector
|
GrantStock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $4.10 | $0.00 |
DisclosureSEC source: 0001104659-17-040183 · a4.xml · derivative · entry 1 POTTER MYRTLE S · CIK 0001214130 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 Underlying: Common Stock · 22,000 shares Expires 2027-06-15 F1 · derivative.exercise_date: The option will vest in equal annual installments over three years such that the option will be fully vested on June 16, 2020. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 20:31 UTC |
JEFFS ROGERDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 35,194 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-020391 · a4.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,194 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. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 20:31 UTC |
JEFFS ROGERDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 7,344 | $0.00 Strike: $3.67 | $0.00 |
DisclosureSEC source: 0001104659-17-020391 · a4.xml · derivative · entry 3 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,672 Underlying: Common Stock · 7,344 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. F1 · derivative.exercise_date: This option was granted on September 16, 2014 and is currently vested and exercisable with respect to 7,344 shares underlying the option. The remaining 3,672 shares underlying the unvested portion of the option will be fully vested on September 16, 2017. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 20:31 UTC |
JEFFS ROGERDirector
|
Exercise / conversionCommon Stock | 35,194 | $4.95 | $174,210.30 |
DisclosureSEC source: 0001104659-17-020391 · a4.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,912 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. Read SEC document |
| March 29, 2017 Filed Mar 30, 2017 20:31 UTC |
JEFFS ROGERDirector
|
Exercise / conversionCommon Stock | 7,344 | $3.67 | $26,952.48 |
DisclosureSEC source: 0001104659-17-020391 · a4.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,718 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. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:55 UTC |
Coleman MarkDirector
|
GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-017637 · a4.xml · derivative · entry 2 Coleman Mark · CIK 0001658379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2027-03-14 F2 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, March 15, 2018. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:55 UTC |
Coleman MarkDirector
|
GrantStock Option (Right to Buy) · Derivative | 26,456 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-017637 · a4.xml · derivative · entry 1 Coleman Mark · CIK 0001658379 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,456 Underlying: Common Stock · 26,456 shares Expires 2027-03-14 F1 · shares: Represents 11,000 options granted as compensation for service during 2016 and 15,456 options elected to be received in lieu of cash compensation earned in 2016. All of such options are immediately exercisable. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 17:00 UTC |
Ames ConstanceVice President, Finance
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-017643 · a4.xml · derivative · entry 1 Ames Constance · CIK 0001658296 · Vice President, Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-03-14 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 15, 2021. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:55 UTC |
Saad Mark EDirector
|
GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-017639 · a4.xml · derivative · entry 2 Saad Mark E · CIK 0001295913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2027-03-14 F2 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, March 15, 2018. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:55 UTC |
Saad Mark EDirector
|
GrantStock Option (Right to Buy) · Derivative | 31,346 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-017639 · a4.xml · derivative · entry 1 Saad Mark E · CIK 0001295913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,346 Underlying: Common Stock · 31,346 shares Expires 2027-03-14 F1 · shares: Represents 11,000 options granted as compensation for service during 2016 and 20,346 options elected to be received in lieu of cash compensation earned in 2016. All of such options are immediately exercisable. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 21:03 UTC |
JEFFS ROGERDirector
|
GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-017645 · a4.xml · derivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2027-03-14 F2 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, March 15, 2018. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 21:03 UTC |
JEFFS ROGERDirector
|
GrantStock Option (Right to Buy) · Derivative | 35,194 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-017645 · a4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,194 Underlying: Common Stock · 35,194 shares Expires 2027-03-14 F1 · shares: Represents 11,000 options granted as compensation for service during 2016 and 24,194 options elected to be received in lieu of cash compensation earned in 2016. All of such options are immediately exercisable. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 21:04 UTC |
TABUTEAU HERRIOTDirector · Chief Executive Officer · 10% owner
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 149,000 | $0.00 Strike: $4.95 | $0.00 |
DisclosureSEC source: 0001104659-17-017647 · a4.xml · derivative · entry 1 TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,000 Underlying: Common Stock · 149,000 shares Expires 2027-03-14 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 15, 2021. 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.