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BioAtla, Inc.

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879
SEC CIK
0001826892
Parsed reports
293

Last 12 months

Inside the activity.

0 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
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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
June 13, 2024 Filed Jun 14, 2024 20:17 UTC GrantCommon Stock 16,500 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-073683 · ownership.xml · nonDerivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,897

F1 · shares: Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest as to 100% of the total number of shares on the earlier of (i) June 13, 2025, and (ii) the next Company annual meeting of stockholders, subject to the reporting person's continued service through the vesting date.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 16:15 UTC GrantCommon Stock 16,500 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-073678 · ownership.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 304,593

F1 · shares: Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest as to 100% of the total number of shares on the earlier of (i) June 13, 2025, and (ii) the next Company annual meeting of stockholders, subject to the reporting person's continued service through the vesting date.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 16:14 UTC GrantCommon Stock 16,500 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-073662 · ownership.xml · nonDerivative · entry 1

Williams Eddie · CIK 0001725276 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,700

F1 · shares: Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest as to 100% of the total number of shares on the earlier of (i) June 13, 2025, and (ii) the next Company annual meeting of stockholders, subject to the reporting person's continued service through the vesting date.

Read SEC document
June 13, 2024 Filed Jun 14, 2024 20:13 UTC
Moran SusanDirector
GrantCommon Stock 16,500 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-073659 · ownership.xml · nonDerivative · entry 1

Moran Susan · CIK 0001835225 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,807

F1 · shares: Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest as to 100% of the total number of shares on the earlier of (i) June 13, 2025, and (ii) the next Company annual meeting of stockholders, subject to the reporting person's continued service through the vesting date.

Read SEC document
May 31, 2024 Filed Jun 1, 2024 00:07 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 572 $1.51 $863.72
Disclosure

SEC source: 0000950170-24-067577 · ownership.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,278

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
May 31, 2024 Filed May 31, 2024 20:09 UTC Tax withholdingCommon Stock 2,181 $1.51 $3,293.31
Disclosure

SEC source: 0000950170-24-067579 · ownership.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 288,093

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
April 30, 2024 Filed May 2, 2024 00:46 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 572 $2.26 $1,292.72
Disclosure

SEC source: 0000950170-24-051521 · ownership.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,850

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
April 30, 2024 Filed May 1, 2024 20:45 UTC Tax withholdingCommon Stock 2,181 $2.26 $4,929.06
Disclosure

SEC source: 0000950170-24-051520 · ownership.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,274

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
March 31, 2024 Filed Apr 1, 2024 21:01 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 572 $3.44 $1,967.68
Disclosure

SEC source: 0000950170-24-039478 · ownership.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,422

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
March 31, 2024 Filed Apr 1, 2024 17:01 UTC Tax withholdingCommon Stock 2,181 $3.44 $7,502.64
Disclosure

SEC source: 0000950170-24-039480 · ownership.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,455

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 21:19 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 572 $2.70 $1,544.40
Disclosure

SEC source: 0001209191-24-004156 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,994

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 16:22 UTC Tax withholdingCommon Stock 2,181 $2.70 $5,888.70
Disclosure

SEC source: 0001209191-24-004161 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 294,636

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
February 16, 2024 Filed Feb 20, 2024 21:19 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 417,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-003507 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,856,283

F1 · shares: Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest as to 25% of the total number of shares on February 16, 2025, and the remainder in equal quarterly installments over the three years thereafter, subject to the reporting person's continued service through the applicable vesting date.

Read SEC document
February 15, 2024 Filed Feb 20, 2024 21:20 UTC
Sievers EricChief Medical Officer
GrantCommon Stock 122,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-003508 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,566

F1 · shares: Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest as to 25% of the total number of shares on February 15, 2025, and the remainder in equal quarterly installments over the three years thereafter, subject to the reporting person's continued service through the applicable vesting date.

Read SEC document
February 15, 2024 Filed Feb 20, 2024 16:22 UTC
WALDRON RICHARD AChief Financial Officer
GrantCommon Stock 106,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-003511 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230,923

F1 · shares: Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest as to 25% of the total number of shares on February 15, 2025, and the remainder in equal quarterly installments over the three years thereafter, subject to the reporting person's continued service through the applicable vesting date.

Read SEC document
February 15, 2024 Filed Feb 20, 2024 21:22 UTC GrantCommon Stock 70,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-003509 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,659

F1 · shares: Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest as to 25% of the total number of shares on February 15, 2025, and the remainder in equal quarterly installments over the three years thereafter, subject to the reporting person's continued service through the applicable vesting date.

Read SEC document
January 31, 2024 Filed Feb 2, 2024 01:30 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 657 $1.92 $1,261.44
Disclosure

SEC source: 0001209191-24-002592 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,566

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
January 31, 2024 Filed Feb 1, 2024 20:32 UTC Tax withholdingCommon Stock 2,181 $1.92 $4,187.52
Disclosure

SEC source: 0001209191-24-002594 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 296,817

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
December 31, 2023 Filed Jan 4, 2024 01:17 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 555 $2.46 $1,365.30
Disclosure

SEC source: 0001209191-24-000596 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,223

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
December 31, 2023 Filed Jan 4, 2024 01:18 UTC GrantCommon Stock 5,995 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000601 · doc4.xml · nonDerivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,397

F1 · shares: The reporting person has elected to receive fully vested shares of the Issuer's common stock in lieu of cash retainer fees payable for service on the Issuer's Board of Directors and any committees thereof. The number of shares issued represents the quotient of (A) the amount of such fees divided by (B) the Issuer's closing stock price on the date such fees would otherwise be paid, rounded up to the nearest whole share.

Read SEC document
December 31, 2023 Filed Jan 3, 2024 20:17 UTC Tax withholdingCommon Stock 1,791 $2.46 $4,405.86
Disclosure

SEC source: 0001209191-24-000598 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 298,998

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
December 31, 2023 Filed Jan 3, 2024 20:20 UTC GrantCommon Stock 4,827 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000603 · doc4.xml · nonDerivative · entry 1

Williams Eddie · CIK 0001725276 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,200

F1 · shares: The reporting person has elected to receive fully vested shares of the Issuer's common stock in lieu of cash retainer fees payable for service on the Issuer's Board of Directors and any committees thereof. The number of shares issued represents the quotient of (A) the amount of such fees divided by (B) the Issuer's closing stock price on the date such fees would otherwise be paid, rounded up to the nearest whole share.

Read SEC document
December 26, 2023 Filed Dec 26, 2023 19:43 UTC PurchaseCommon Stock 4,000 $2.33 $9,320.00
Disclosure

SEC source: 0001209191-23-059720 · doc4.xml · nonDerivative · entry 1

MCBRINN SYLVIA · CIK 0001284666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,125

F1 · price: The range of prices for the shares of Common Stock is from $2.325 to $2.33. The Reporting Person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities purchased at each separate price.

Read SEC document
December 20, 2023 Filed Dec 20, 2023 23:27 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 50,000 $2.14 $106,910.00
Disclosure

SEC source: 0001209191-23-059387 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,439,283

F1 · price: The range of prices for the shares of Common Stock is from $2.02 to $2.215. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities purchased at each separate price.

Read SEC document
December 19, 2023 Filed Dec 20, 2023 01:24 UTC PurchaseCommon Stock 20,000 $2.05 $41,048.00
Disclosure

SEC source: 0001209191-23-059284 · doc4.xml · nonDerivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,459

F1 · price: The range of prices for the shares of Common Stock is from $2.005 to $2.07. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities purchased at each separate price.

Read SEC document
December 19, 2023 Filed Dec 19, 2023 21:33 UTC PurchaseCommon Stock 7,495 $2.04 $15,262.07
Disclosure

SEC source: 0001209191-23-059164 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,659

F1 · price: The range of prices for the shares of Common Stock is from $2.02 to $2.04. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities purchased at each separate price.

F2 · balance_after: Includes shares purchased under the Issuer's ESPP Plan.

Read SEC document
November 30, 2023 Filed Dec 1, 2023 21:45 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 554 $1.77 $980.58
Disclosure

SEC source: 0001209191-23-057084 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,778

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
November 30, 2023 Filed Dec 1, 2023 16:46 UTC Tax withholdingCommon Stock 1,791 $1.77 $3,170.07
Disclosure

SEC source: 0001209191-23-057086 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,789

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 01:17 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 555 $1.47 $815.85
Disclosure

SEC source: 0001209191-23-054063 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,332

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
October 31, 2023 Filed Nov 1, 2023 21:17 UTC Tax withholdingCommon Stock 1,791 $1.47 $2,632.77
Disclosure

SEC source: 0001209191-23-054062 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 302,580

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 01:16 UTC Tax withholdingCommon Stock 194 $1.47 $285.18
Disclosure

SEC source: 0001209191-23-054061 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,162

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 12:26 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $1.47 $1,425.90
Disclosure

SEC source: 0001209191-23-054073 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,923

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 16:28 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $1.47 $4,245.36
Disclosure

SEC source: 0001209191-23-054075 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,389,283

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
September 30, 2023 Filed Oct 2, 2023 22:02 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 554 $1.70 $941.80
Disclosure

SEC source: 0001209191-23-051178 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,887

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
September 30, 2023 Filed Oct 2, 2023 18:06 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $1.70 $1,649.00
Disclosure

SEC source: 0001209191-23-051184 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,893

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
September 30, 2023 Filed Oct 2, 2023 22:07 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $1.70 $4,909.60
Disclosure

SEC source: 0001209191-23-051187 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,392,171

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
September 30, 2023 Filed Oct 2, 2023 18:03 UTC Tax withholdingCommon Stock 1,791 $1.70 $3,044.70
Disclosure

SEC source: 0001209191-23-051180 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 304,371

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
September 30, 2023 Filed Oct 2, 2023 22:04 UTC Tax withholdingCommon Stock 194 $1.70 $329.80
Disclosure

SEC source: 0001209191-23-051182 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,356

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
September 30, 2023 Filed Oct 3, 2023 22:22 UTC GrantCommon Stock 8,676 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-051691 · doc4.xml · nonDerivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,402

F1 · shares: The reporting person has elected to receive fully vested shares of the Issuer's common stock in lieu of cash retainer fees payable for service on the Issuer's Board of Directors and any committees thereof. The number of shares issued represents the quotient of (A) the amount of such fees divided by (B) the Issuer's closing stock price on the date such fees would otherwise be paid, rounded up to the nearest whole share.

Read SEC document
September 30, 2023 Filed Oct 3, 2023 18:23 UTC GrantCommon Stock 6,985 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-051692 · doc4.xml · nonDerivative · entry 1

Williams Eddie · CIK 0001725276 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,373

F1 · shares: The reporting person has elected to receive fully vested shares of the Issuer's common stock in lieu of cash retainer fees payable for service on the Issuer's Board of Directors and any committees thereof. The number of shares issued represents the quotient of (A) the amount of such fees divided by (B) the Issuer's closing stock price on the date such fees would otherwise be paid, rounded up to the nearest whole share.

Read SEC document
September 08, 2023 Filed Sep 13, 2023 18:55 UTC PurchaseCommon Stock 2,000 $2.54 $5,080.00
Disclosure

SEC source: 0001209191-23-049347 · doc4.xml · nonDerivative · entry 1

MCBRINN SYLVIA · CIK 0001284666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,125

Read SEC document
August 31, 2023 Filed Sep 2, 2023 00:02 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 555 $2.51 $1,393.05
Disclosure

SEC source: 0001209191-23-048032 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,441

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

Read SEC document
August 31, 2023 Filed Sep 1, 2023 20:06 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $2.51 $2,434.70
Disclosure

SEC source: 0001209191-23-048035 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,863

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

F2 · balance_after: Includes shares purchased under the Issuer's ESPP Plan.

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August 31, 2023 Filed Sep 2, 2023 00:01 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $2.51 $7,248.88
Disclosure

SEC source: 0001209191-23-048031 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,395,059

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

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August 31, 2023 Filed Sep 1, 2023 20:03 UTC Tax withholdingCommon Stock 1,791 $2.51 $4,495.41
Disclosure

SEC source: 0001209191-23-048033 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,162

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

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August 31, 2023 Filed Sep 2, 2023 00:04 UTC Tax withholdingCommon Stock 194 $2.51 $486.94
Disclosure

SEC source: 0001209191-23-048034 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,550

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

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July 31, 2023 Filed Aug 1, 2023 21:42 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 554 $2.99 $1,656.46
Disclosure

SEC source: 0001209191-23-044049 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,996

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

F2 · balance_after: Includes shares purchased under the Issuer's ESPP Plan.

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July 31, 2023 Filed Aug 1, 2023 17:44 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $2.99 $2,900.30
Disclosure

SEC source: 0001209191-23-044051 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,833

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

F2 · balance_after: Includes shares purchased under the Issuer's ESPP Plan.

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July 31, 2023 Filed Aug 1, 2023 21:44 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $2.99 $8,635.12
Disclosure

SEC source: 0001209191-23-044052 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,397,947

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

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July 31, 2023 Filed Aug 1, 2023 17:41 UTC Tax withholdingCommon Stock 1,791 $2.99 $5,355.09
Disclosure

SEC source: 0001209191-23-044048 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307,953

F1 · kind: This transaction is not a sale of shares by the Reporting Person. Instead, this represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the vesting and net settlement of previously reported restricted stock units.

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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.