Last 12 months
Inside the activity.
32 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 2 | 0 |
| Jan 2026 | 2 | 0 |
| Feb 2026 | 1 | 0 |
| Mar 2026 | 2 | 0 |
| Apr 2026 | 3 | 0 |
| May 2026 | 4 | 0 |
| Jun 2026 | 5 | 0 |
| Jul 2026 | 8 | 0 |
| Aug 2026 | 2 | 0 |
| Sep 2026 | 3 | 0 |
| 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 |
|---|---|---|---|---|---|---|
| April 24, 2020 Filed Apr 28, 2020 23:19 UTC |
McClung DavidChief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 25,540 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001437749-20-008736 · rdgdoc.xml · derivative · entry 2 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,540 Underlying: Common Stock · 25,540 shares Expires 2030-04-24 F2 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on May 24, 2020 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 23:19 UTC |
McClung DavidChief Financial Officer
|
GrantCommon Stock | 19,312 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-008736 · rdgdoc.xml · nonDerivative · entry 1 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,292 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vest on June 30, 2020. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 23:19 UTC |
Pesta PhilVice President of Operations
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001437749-20-008735 · rdgdoc.xml · derivative · entry 2 Pesta Phil · CIK 0001686095 · Vice President of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2030-04-24 F2 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on May 24, 2020 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. Read SEC document |
| April 24, 2020 Filed Apr 28, 2020 23:19 UTC |
Pesta PhilVice President of Operations
|
GrantCommon Stock | 15,128 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-008735 · rdgdoc.xml · nonDerivative · entry 1 Pesta Phil · CIK 0001686095 · Vice President of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,052 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vest on June 30, 2020. Read SEC document |
| April 24, 2020 Filed Apr 29, 2020 14:36 UTC Amendment |
McClung DavidChief Financial Officer
|
GrantCommon Stock | 19,312 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-008785 · rdgdoc.xml · nonDerivative · entry 1 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,604 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vest on June 30, 2020. F2 · balance_after: The original Form 4 incorrectly reported the number of shares held following the reported transaction. Read SEC document |
| April 22, 2020 Filed Apr 28, 2020 01:00 UTC |
Altman PeterDirector · President and CEO
|
GrantCommon Stock | 400 | $3.41 | $1,365.64 |
DisclosureSEC source: 0001437749-20-008622 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,479 F1 · balance_after: This transaction was executed in multiple trades at prices ranging from $3.39 to $3.45 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 21:30 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 1,200 | $2.90 | $3,480.00 |
DisclosureSEC source: 0001437749-20-006236 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,911 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.75 to $3.59 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 11:30 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 400 | $2.95 | $1,180.00 |
DisclosureSEC source: 0001437749-20-005810 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,711 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.93 to $2.99 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 18, 2020 Filed Mar 19, 2020 20:02 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 3,300 | $2.53 | $8,349.00 |
DisclosureSEC source: 0001437749-20-005680 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,311 F2 · price: This transaction was executed in multiple trades at prices ranging from $2.33 to $2.69 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 20:02 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 200 | $3.66 | $732.00 |
DisclosureSEC source: 0001437749-20-005680 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,011 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.30 to $3.73 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 10:09 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 3,400 | $3.15 | $10,710.00 |
DisclosureSEC source: 0001437749-20-005217 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,811 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.075 to $3.80 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| March 11, 2020 Filed Mar 28, 2020 01:57 UTC |
Duckers EricChief Medical Officer
|
Tax withholdingCommon Stock | 1,205 | $3.60 | $4,338.00 |
DisclosureSEC source: 0001437749-20-006393 · rdgdoc.xml · nonDerivative · entry 2 Duckers Eric · CIK 0001686154 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,177 F3 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs and does not represent a sale by the Reporting Person. F2 · balance_after: This share amount reflects the number of shares beneficially owned as of the filing date of this Form 4. Read SEC document |
| March 11, 2020 Filed Mar 28, 2020 01:56 UTC |
Pesta PhilVice President of Operations
|
Tax withholdingCommon Stock | 2,023 | $3.60 | $7,282.80 |
DisclosureSEC source: 0001437749-20-006392 · rdgdoc.xml · nonDerivative · entry 2 Pesta Phil · CIK 0001686095 · Vice President of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,924 F3 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs and does not represent a sale by the Reporting Person. F2 · balance_after: This share amount reflects the number of shares beneficially owned as of the filing date of this Form 4. Read SEC document |
| March 11, 2020 Filed Mar 28, 2020 01:56 UTC |
Altman PeterDirector · President and CEO
|
Tax withholdingCommon Stock | 4,958 | $3.60 | $17,848.80 |
DisclosureSEC source: 0001437749-20-006391 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,079 F3 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs and does not represent a sale by the Reporting Person. F2 · balance_after: This share amount reflects the number of shares beneficially owned as of the filing date of this Form 4. Read SEC document |
| March 11, 2020 Filed Mar 28, 2020 01:56 UTC |
McClung DavidChief Financial Officer
|
Tax withholdingCommon Stock | 2,582 | $3.60 | $9,295.20 |
DisclosureSEC source: 0001437749-20-006390 · rdgdoc.xml · nonDerivative · entry 2 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,292 F3 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs and does not represent a sale by the Reporting Person. F2 · balance_after: This share amount reflects the number of shares beneficially owned as of the filing date of this Form 4. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:19 UTC |
PFENNIGER RICHARD C JRDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-002227 · rdgdoc.xml · derivative · entry 2 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 567 shares Expires not disclosed 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F4 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. F4 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:19 UTC |
PFENNIGER RICHARD C JRDirector
|
Exercise / conversionCommon Stock | 567 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-20-002227 · rdgdoc.xml · nonDerivative · entry 1 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,870 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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. F2 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:18 UTC |
KRASNO RICHARD MDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-002225 · rdgdoc.xml · derivative · entry 2 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 567 shares Expires not disclosed 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F4 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 RSUs remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. F4 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 RSUs remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:18 UTC |
KRASNO RICHARD MDirector
|
Exercise / conversionCommon Stock | 567 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-20-002225 · rdgdoc.xml · nonDerivative · entry 1 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,315 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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. F2 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:19 UTC |
FERNANDEZ FERNANDO LDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-002226 · rdgdoc.xml · derivative · entry 2 FERNANDEZ FERNANDO L · CIK 0001214346 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 567 shares Expires not disclosed 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F4 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 RSUs remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. F4 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 RSUs remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. Read SEC document |
| January 13, 2020 Filed Feb 11, 2020 02:19 UTC |
FERNANDEZ FERNANDO LDirector
|
Exercise / conversionCommon Stock | 567 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-20-002226 · rdgdoc.xml · nonDerivative · entry 1 FERNANDEZ FERNANDO L · CIK 0001214346 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,315 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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. F2 · price: The converted RSU corresponds to a 1:1 common stock issuance. Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 20:51 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 4,000 | $3.67 | $14,676.00 |
DisclosureSEC source: 0001437749-20-000142 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,411 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.59 to $3.6899 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| October 18, 2019 Filed Oct 21, 2019 20:54 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 200 | $4.34 | $868.00 |
DisclosureSEC source: 0001437749-19-020333 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,411 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.344 to $4.345 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| October 09, 2019 Filed Oct 11, 2019 11:21 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 200 | $3.99 | $798.00 |
DisclosureSEC source: 0001437749-19-019931 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,211 Read SEC document |
| October 04, 2019 Filed Oct 5, 2019 00:22 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 700 | $3.64 | $2,545.90 |
DisclosureSEC source: 0001437749-19-019734 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,011 F2 · price: This transaction was executed in multiple trades at prices ranging from $3.44 to $4.07 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| October 03, 2019 Filed Oct 5, 2019 00:22 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 5,000 | $3.45 | $17,225.00 |
DisclosureSEC source: 0001437749-19-019734 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,311 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.41 to $3.49 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 27, 2019 Filed Mar 28, 2020 01:57 UTC |
Duckers EricChief Medical Officer
|
GrantCommon Stock | 2,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-006393 · rdgdoc.xml · nonDerivative · entry 1 Duckers Eric · CIK 0001686154 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,382 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vest on January 29, 2020. F2 · balance_after: This share amount reflects the number of shares beneficially owned as of the filing date of this Form 4. Read SEC document |
| August 27, 2019 Filed Mar 28, 2020 01:56 UTC |
Pesta PhilVice President of Operations
|
GrantCommon Stock | 4,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-006392 · rdgdoc.xml · nonDerivative · entry 1 Pesta Phil · CIK 0001686095 · Vice President of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,947 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vest on January 29, 2020. F2 · balance_after: This share amount reflects the number of shares beneficially owned as of the filing date of this Form 4. Read SEC document |
| August 27, 2019 Filed Mar 28, 2020 01:56 UTC |
Altman PeterDirector · President and CEO
|
GrantCommon Stock | 12,126 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-006391 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,037 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vest on January 29, 2020. F2 · balance_after: This share amount reflects the number of shares beneficially owned as of the filing date of this Form 4. Read SEC document |
| August 27, 2019 Filed Mar 28, 2020 01:56 UTC |
McClung DavidChief Financial Officer
|
GrantCommon Stock | 6,315 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-006390 · rdgdoc.xml · nonDerivative · entry 1 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,874 F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vest on January 29, 2020. F2 · balance_after: This share amount reflects the number of shares beneficially owned as of the filing date of this Form 4. Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 01:46 UTC |
STERTZER SIMON HDirector · 10% owner
|
PurchaseWarrant (right to buy) · Derivative | 67,484 | Not disclosed Strike: $6.30 | Not disclosed |
DisclosureSEC source: 0001437749-19-015681 · rdgdoc.xml · derivative · entry 10 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 234,150 Underlying: Common Stock · 67,484 shares Expires 2024-08-06 F1 · shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 01:46 UTC |
STERTZER SIMON HDirector · 10% owner
|
ConversionConvertible promissory note · Derivative | Not disclosed | $0.00 Strike: $3.00 | $200,000.00 |
DisclosureSEC source: 0001437749-19-015681 · rdgdoc.xml · derivative · entry 9 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 67,484 shares Expires 2020-06-05 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_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. Read SEC document |
| August 06, 2019 Filed Aug 7, 2019 01:46 UTC |
STERTZER SIMON HDirector · 10% owner
|
ConversionCommon Stock | 67,484 | $3.00 | $202,452.00 |
DisclosureSEC source: 0001437749-19-015681 · rdgdoc.xml · nonDerivative · entry 2 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 709,513 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: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F2 · balance_after: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 16:41 UTC |
TESSLER ALLAN RDirector
|
PurchaseWarrant (right to buy) · Derivative | 16,871 | Not disclosed Strike: $6.30 | Not disclosed |
DisclosureSEC source: 0001437749-19-016064 · rdgdoc.xml · derivative · entry 7 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,871 Underlying: Common Stock · 16,871 shares Expires 2024-08-06 F1 · shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 16:41 UTC |
TESSLER ALLAN RDirector
|
ConversionConvertible promissory note · Derivative | Not disclosed | $0.00 Strike: $3.00 | $50,000.00 |
DisclosureSEC source: 0001437749-19-016064 · rdgdoc.xml · derivative · entry 6 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 16,871 shares Expires 2020-01-05 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_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 16:41 UTC |
TESSLER ALLAN RDirector
|
ConversionCommon Stock | 16,871 | $3.00 | $50,613.00 |
DisclosureSEC source: 0001437749-19-016064 · rdgdoc.xml · nonDerivative · entry 1 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,025 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: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
McClung DavidChief Financial Officer
|
PurchaseWarrant (right to buy) · Derivative | 16,871 | Not disclosed Strike: $6.30 | Not disclosed |
DisclosureSEC source: 0001437749-19-016067 · rdgdoc.xml · derivative · entry 4 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,871 Underlying: Common Stock · 16,871 shares Expires 2024-08-06 F1 · shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
McClung DavidChief Financial Officer
|
ConversionConvertible promissory note · Derivative | Not disclosed | $0.00 Strike: $3.00 | $50,000.00 |
DisclosureSEC source: 0001437749-19-016067 · rdgdoc.xml · derivative · entry 3 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 16,871 shares Expires 2020-01-05 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_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
McClung DavidChief Financial Officer
|
ConversionCommon Stock | 16,871 | $3.00 | $50,613.00 |
DisclosureSEC source: 0001437749-19-016067 · rdgdoc.xml · nonDerivative · entry 1 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,071 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: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
Duckers EricChief Medical Officer
|
PurchaseWarrant (right to buy) · Derivative | 8,435 | Not disclosed Strike: $6.30 | Not disclosed |
DisclosureSEC source: 0001437749-19-016066 · rdgdoc.xml · derivative · entry 4 Duckers Eric · CIK 0001686154 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,435 Underlying: Common Stock · 8,435 shares Expires 2024-08-06 F1 · shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
Duckers EricChief Medical Officer
|
ConversionConvertible promissory note · Derivative | Not disclosed | $0.00 Strike: $3.00 | $25,000.00 |
DisclosureSEC source: 0001437749-19-016066 · rdgdoc.xml · derivative · entry 3 Duckers Eric · CIK 0001686154 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 8,435 shares Expires 2020-01-05 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_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
Duckers EricChief Medical Officer
|
ConversionCommon Stock | 8,435 | $3.00 | $25,305.00 |
DisclosureSEC source: 0001437749-19-016066 · rdgdoc.xml · nonDerivative · entry 1 Duckers Eric · CIK 0001686154 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,435 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: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
Altman PeterDirector · President and CEO
|
PurchaseWarrant (right to buy) · Derivative | 67,484 | Not disclosed Strike: $6.30 | Not disclosed |
DisclosureSEC source: 0001437749-19-016065 · rdgdoc.xml · derivative · entry 4 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,484 Underlying: Common Stock · 67,484 shares Expires 2024-08-06 F1 · shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
Altman PeterDirector · President and CEO
|
ConversionConvertible promissory note · Derivative | Not disclosed | $0.00 Strike: $3.00 | $200,000.00 |
DisclosureSEC source: 0001437749-19-016065 · rdgdoc.xml · derivative · entry 3 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 67,484 shares Expires 2020-01-05 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_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 20:41 UTC |
Altman PeterDirector · President and CEO
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ConversionCommon Stock | 67,484 | $3.00 | $202,452.00 |
DisclosureSEC source: 0001437749-19-016065 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,311 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: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit. Read SEC document |
| August 02, 2019 Filed Aug 7, 2019 01:46 UTC |
STERTZER SIMON HDirector · 10% owner
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PurchaseWarrant (right to buy) · Derivative | 166,666 | Not disclosed Strike: $6.30 | Not disclosed |
DisclosureSEC source: 0001437749-19-015681 · rdgdoc.xml · derivative · entry 8 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 166,666 Underlying: Common Stock · 166,666 shares Expires 2024-08-06 F3 · shares: The reported securities were included within 166,666 units purchased by the Stertzer Family Trust for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock. F3 · price: The reported securities were included within 166,666 units purchased by the Stertzer Family Trust for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock. F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. Read SEC document |
| August 02, 2019 Filed Aug 7, 2019 01:46 UTC |
STERTZER SIMON HDirector · 10% owner
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PurchaseCommon Stock | 166,666 | $6.00 | $999,996.00 |
DisclosureSEC source: 0001437749-19-015681 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 642,029 F3 · shares: The reported securities were included within 166,666 units purchased by the Stertzer Family Trust for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock. F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. Read SEC document |
| August 02, 2019 Filed May 21, 2020 01:24 UTC Amendment |
STERTZER SIMON HDirector · 10% owner
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PurchaseWarrant (right to buy) · Derivative | 41,667 | Not disclosed Strike: $6.30 | Not disclosed |
DisclosureSEC source: 0001437749-20-011485 · rdgdoc.xml · derivative · entry 2 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 41,667 Underlying: Common Stock · 41,667 shares Expires 2024-08-06 F1 · shares: The original Form 4 omitted the issuance of these securities. F2 · price: The reported securities were included within 41,667 units purchased by Stertzer Holdings LLC for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock. F3 · ownership.nature: These securities are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such securities. Read SEC document |
| August 02, 2019 Filed May 21, 2020 01:24 UTC Amendment |
STERTZER SIMON HDirector · 10% owner
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PurchaseCommon Stock | 41,667 | $6.00 | $250,002.00 |
DisclosureSEC source: 0001437749-20-011485 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 91,544 F1 · shares: The original Form 4 omitted the issuance of these securities. F2 · shares: The reported securities were included within 41,667 units purchased by Stertzer Holdings LLC for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock. F3 · ownership.nature: These securities are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such securities. Read SEC document |
| July 26, 2019 Filed Aug 23, 2019 06:32 UTC |
TESSLER ALLAN RDirector
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Exercise / conversionRestricted Stock Units · Derivative | 3,594 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-017334 · rdgdoc.xml · derivative · entry 7 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567 Underlying: Common Stock · 3,594 shares Expires not disclosed 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. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F6 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. F6 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. 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.