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BioAtla, Inc.

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879
SEC CIK
0001826892
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293

Last 12 months

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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
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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
July 31, 2023 Filed Aug 1, 2023 21:40 UTC Tax withholdingCommon Stock 194 $2.99 $580.06
Disclosure

SEC source: 0001209191-23-044046 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,744

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
June 30, 2023 Filed Jul 3, 2023 21:43 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 555 $3.00 $1,665.00
Disclosure

SEC source: 0001209191-23-040664 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,527

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
June 30, 2023 Filed Jul 3, 2023 17:42 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $3.00 $2,910.00
Disclosure

SEC source: 0001209191-23-040662 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,780

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
June 30, 2023 Filed Jul 3, 2023 21:45 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $3.00 $8,664.00
Disclosure

SEC source: 0001209191-23-040669 · 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: 1,400,835

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
June 30, 2023 Filed Jul 3, 2023 17:43 UTC Tax withholdingCommon Stock 1,791 $3.00 $5,373.00
Disclosure

SEC source: 0001209191-23-040666 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 309,744

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
June 30, 2023 Filed Jul 3, 2023 21:44 UTC Tax withholdingCommon Stock 194 $3.00 $582.00
Disclosure

SEC source: 0001209191-23-040667 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,938

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
June 30, 2023 Filed Jul 5, 2023 21:26 UTC GrantCommon Stock 4,916 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-041218 · doc4.xml · nonDerivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,726

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
June 30, 2023 Filed Jul 5, 2023 17:25 UTC GrantCommon Stock 3,958 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-041217 · doc4.xml · nonDerivative · entry 1

Williams Eddie · CIK 0001725276 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,388

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
June 14, 2023 Filed Jun 15, 2023 22:40 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001209191-23-037546 · doc4.xml · derivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-06-14

F1 · derivative.exercise_date: 100% of the total number of shares subject to the option shall vest and become exercisable on the earlier of (a) June 14, 2024 or (b) the day before the next annual meeting of stockholders, subject to the reporting person continuing to provide services through the vesting date.

Read SEC document
June 14, 2023 Filed Jun 15, 2023 18:38 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001209191-23-037545 · doc4.xml · derivative · entry 1

MCBRINN SYLVIA · CIK 0001284666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-06-14

F1 · derivative.exercise_date: 100% of the total number of shares subject to the option shall vest and become exercisable on the earlier of (a) June 14, 2024 or (b) the day before the next annual meeting of stockholders, subject to the reporting person continuing to provide services through the vesting date.

Read SEC document
June 14, 2023 Filed Jun 15, 2023 22:35 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001209191-23-037544 · doc4.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-06-14

F1 · derivative.exercise_date: 100% of the total number of shares subject to the option shall vest and become exercisable on the earlier of (a) June 14, 2024 or (b) the day before the next annual meeting of stockholders, subject to the reporting person continuing to provide services through the vesting date.

Read SEC document
June 14, 2023 Filed Jun 15, 2023 18:43 UTC GrantStock Option (Right to Buy) · Derivative 5,895 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001209191-23-037549 · doc4.xml · derivative · entry 2

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,895

Underlying: Common Stock · 5,895 shares

Expires 2033-06-14

F2 · derivative.exercise_date: Fully vested and exercisable.

Read SEC document
June 14, 2023 Filed Jun 15, 2023 18:43 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001209191-23-037549 · doc4.xml · derivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-06-14

F1 · derivative.exercise_date: 100% of the total number of shares subject to the option shall vest and become exercisable on the earlier of (a) June 14, 2024 or (b) the day before the next annual meeting of stockholders, subject to the reporting person continuing to provide services through the vesting date.

Read SEC document
June 14, 2023 Filed Jun 15, 2023 18:42 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001209191-23-037548 · doc4.xml · derivative · entry 1

Williams Eddie · CIK 0001725276 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-06-14

F1 · derivative.exercise_date: 100% of the total number of shares subject to the option shall vest and become exercisable on the earlier of (a) June 14, 2024 or (b) the day before the next annual meeting of stockholders, subject to the reporting person continuing to provide services through the vesting date.

Read SEC document
June 14, 2023 Filed Jun 15, 2023 22:41 UTC
Moran SusanDirector
GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.55 $0.00
Disclosure

SEC source: 0001209191-23-037547 · doc4.xml · derivative · entry 1

Moran Susan · CIK 0001835225 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-06-14

F1 · derivative.exercise_date: 100% of the total number of shares subject to the option shall vest and become exercisable on the earlier of (a) June 14, 2024 or (b) the day before the next annual meeting of stockholders, subject to the reporting person continuing to provide services through the vesting date.

Read SEC document
May 31, 2023 Filed Jun 2, 2023 00:25 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 554 $3.15 $1,745.10
Disclosure

SEC source: 0001209191-23-033471 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,082

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, 2023 Filed Jun 1, 2023 20:25 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $3.15 $3,055.50
Disclosure

SEC source: 0001209191-23-033472 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,750

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, 2023 Filed Jun 2, 2023 00:26 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $3.15 $9,097.20
Disclosure

SEC source: 0001209191-23-033473 · 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: 1,403,723

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, 2023 Filed Jun 1, 2023 20:24 UTC Tax withholdingCommon Stock 1,791 $3.15 $5,641.65
Disclosure

SEC source: 0001209191-23-033470 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 311,535

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, 2023 Filed Jun 2, 2023 00:23 UTC Tax withholdingCommon Stock 194 $3.15 $611.10
Disclosure

SEC source: 0001209191-23-033469 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,132

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, 2023 Filed May 2, 2023 22:02 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 555 $3.37 $1,870.35
Disclosure

SEC source: 0001209191-23-026659 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,636

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
April 30, 2023 Filed May 2, 2023 18:03 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $3.37 $3,268.90
Disclosure

SEC source: 0001209191-23-026660 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,720

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, 2023 Filed May 2, 2023 22:04 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $3.37 $9,732.56
Disclosure

SEC source: 0001209191-23-026662 · 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: 1,406,611

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, 2023 Filed May 2, 2023 18:01 UTC Tax withholdingCommon Stock 1,791 $3.37 $6,035.67
Disclosure

SEC source: 0001209191-23-026658 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,326

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, 2023 Filed May 2, 2023 22:00 UTC Tax withholdingCommon Stock 194 $3.37 $653.78
Disclosure

SEC source: 0001209191-23-026656 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,326

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, 2023 Filed Apr 4, 2023 00:02 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 555 $2.68 $1,487.40
Disclosure

SEC source: 0001209191-23-022428 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,191

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, 2023 Filed Apr 3, 2023 20:03 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $2.68 $2,599.60
Disclosure

SEC source: 0001209191-23-022430 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,690

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, 2023 Filed Apr 4, 2023 00:04 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $2.68 $7,739.84
Disclosure

SEC source: 0001209191-23-022431 · 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: 1,409,499

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, 2023 Filed Apr 3, 2023 20:01 UTC
Smith Scott AndrewDirector · Former President
Tax withholdingCommon Stock 1,791 $2.68 $4,799.88
Disclosure

SEC source: 0001209191-23-022427 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director · Former President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,117

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, 2023 Filed Apr 4, 2023 00:00 UTC Tax withholdingCommon Stock 189 $2.68 $506.52
Disclosure

SEC source: 0001209191-23-022426 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,520

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, 2023 Filed May 16, 2023 01:11 UTC GrantCommon Stock 5,503 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-029631 · doc4.xml · nonDerivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,810

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
March 31, 2023 Filed May 15, 2023 21:12 UTC GrantCommon Stock 4,430 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-029632 · doc4.xml · nonDerivative · entry 1

Williams Eddie · CIK 0001725276 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,430

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
March 29, 2023 Filed Mar 30, 2023 23:17 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 40,800 $2.47 $100,861.68
Disclosure

SEC source: 0001209191-23-021720 · 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: 1,412,387

F1 · price: The range of prices for the shares of Common Stock is from $2.45 to $2.50. 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
March 28, 2023 Filed Mar 29, 2023 21:20 UTC PurchaseCommon Stock 20,000 $2.40 $47,970.00
Disclosure

SEC source: 0001209191-23-021543 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,709

F1 · price: The range of prices for the shares of Common Stock is from $2.39 to $2.40. 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
March 28, 2023 Filed Jan 19, 2024 16:21 UTC PurchaseCommon Stock 4,000 $2.35 $9,400.00
Disclosure

SEC source: 0001209191-24-001929 · doc4.xml · nonDerivative · entry 1

MCBRINN SYLVIA · CIK 0001284666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,125

Read SEC document
February 28, 2023 Filed Mar 1, 2023 23:30 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 554 $2.98 $1,650.92
Disclosure

SEC source: 0001209191-23-014288 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,746

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 28, 2023 Filed Mar 1, 2023 18:32 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 970 $2.98 $2,890.60
Disclosure

SEC source: 0001209191-23-014292 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,660

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 28, 2023 Filed Mar 1, 2023 23:34 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 2,888 $2.89 $8,346.32
Disclosure

SEC source: 0001209191-23-014295 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,371,587

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 28, 2023 Filed Mar 1, 2023 18:33 UTC
Smith Scott AndrewDirector · Former President
Tax withholdingCommon Stock 1,791 $2.98 $5,337.18
Disclosure

SEC source: 0001209191-23-014294 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director · Former President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,908

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 28, 2023 Filed Mar 1, 2023 23:31 UTC Tax withholdingCommon Stock 229 $2.98 $682.42
Disclosure

SEC source: 0001209191-23-014290 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,709

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 10, 2023 Filed Mar 1, 2023 23:34 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
GrantEmployee Stock Option (right to buy) · Derivative 850,000 $0.00 Strike: $3.65 $0.00
Disclosure

SEC source: 0001209191-23-014295 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

Underlying: Common Stock · 850,000 shares

Expires 2033-02-10

F3 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued service to the company through the applicable vesting dates.

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February 10, 2023 Filed Mar 1, 2023 18:33 UTC
Smith Scott AndrewDirector · Former President
GrantEmployee Stock Option (right to buy) · Derivative 350,000 $0.00 Strike: $3.65 $0.00
Disclosure

SEC source: 0001209191-23-014294 · doc4.xml · derivative · entry 2

Smith Scott Andrew · CIK 0001614975 · Director · Former President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2033-02-10

F2 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued service to the company through the applicable vesting dates.

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February 09, 2023 Filed Mar 1, 2023 23:30 UTC
Sievers EricChief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 240,000 $0.00 Strike: $3.95 $0.00
Disclosure

SEC source: 0001209191-23-014288 · doc4.xml · derivative · entry 2

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2033-02-09

F2 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued service to the company through the applicable vesting dates.

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February 09, 2023 Filed Mar 1, 2023 18:32 UTC
WALDRON RICHARD AChief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 210,000 $0.00 Strike: $3.95 $0.00
Disclosure

SEC source: 0001209191-23-014292 · doc4.xml · derivative · entry 2

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

Underlying: Common Stock · 210,000 shares

Expires 2033-02-09

F2 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued service to the company through the applicable vesting dates.

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February 09, 2023 Filed Mar 1, 2023 23:31 UTC GrantEmployee Stock Option (right to buy) · Derivative 135,000 $0.00 Strike: $3.95 $0.00
Disclosure

SEC source: 0001209191-23-014290 · doc4.xml · derivative · entry 2

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 135,000 shares

Expires 2033-02-09

F2 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued service to the company through the applicable vesting dates.

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January 31, 2023 Filed Feb 3, 2023 00:08 UTC
Sievers EricChief Medical Officer
Tax withholdingCommon Stock 654 $3.79 $2,478.66
Disclosure

SEC source: 0001209191-23-006430 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,300

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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January 31, 2023 Filed Feb 2, 2023 19:10 UTC
WALDRON RICHARD AChief Financial Officer
Tax withholdingCommon Stock 1,144 $3.79 $4,335.76
Disclosure

SEC source: 0001209191-23-006435 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,630

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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January 31, 2023 Filed Feb 3, 2023 00:12 UTC
SHORT JAY M PHDDirector · Chief Executive Officer · 10% owner
Tax withholdingCommon Stock 3,517 $3.79 $13,329.43
Disclosure

SEC source: 0001209191-23-006438 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,374,475

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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January 31, 2023 Filed Feb 2, 2023 19:09 UTC
Smith Scott AndrewDirector · President
Tax withholdingCommon Stock 2,181 $3.79 $8,265.99
Disclosure

SEC source: 0001209191-23-006433 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,699

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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January 31, 2023 Filed Feb 3, 2023 00:04 UTC Tax withholdingCommon Stock 229 $3.79 $867.91
Disclosure

SEC source: 0001209191-23-006424 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,938

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.