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 |
|---|---|---|---|---|---|---|
| December 24, 2018 Filed Dec 27, 2018 20:51 UTC Amendment |
STERTZER SIMON HDirector · 10% owner
|
PurchaseCommon Stock | 1,666,666 | $0.75 | $1,249,999.50 |
DisclosureSEC source: 0001437749-18-022658 · 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: 4,283,275 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. 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 |
| December 24, 2018 Filed Dec 27, 2018 19:34 UTC |
STERTZER SIMON HDirector
|
PurchaseWarrant (right to buy) · Derivative | 833,333 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001437749-18-022644 · rdgdoc.xml · derivative · entry 7 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 833,333 Underlying: Common Stock · 833,333 shares Expires 2023-12-24 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 19:34 UTC |
STERTZER SIMON HDirector
|
PurchaseWarrant (right to buy) · Derivative | 833,333 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001437749-18-022644 · rdgdoc.xml · derivative · entry 6 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 833,333 Underlying: Common Stock · 833,333 shares Expires 2023-12-24 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. 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 |
| December 24, 2018 Filed Dec 27, 2018 19:34 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon stock | 1,666,666 | $0.75 | $1,249,999.50 |
DisclosureSEC source: 0001437749-18-022644 · rdgdoc.xml · nonDerivative · entry 2 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,076,346 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 19:34 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 1,666,666 | $0.75 | $1,249,999.50 |
DisclosureSEC source: 0001437749-18-022644 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,283,275 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. 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 |
| December 24, 2018 Filed Jan 4, 2019 02:52 UTC Amendment |
STERTZER SIMON HDirector · 10% owner
|
PurchaseWarrant (right to buy) · Derivative | 833,333 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001437749-19-000286 · rdgdoc.xml · derivative · entry 7 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 833,333 Underlying: Common Stock · 833,333 shares Expires 2023-12-24 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers. Read SEC document |
| December 24, 2018 Filed Jan 4, 2019 02:52 UTC Amendment |
STERTZER SIMON HDirector · 10% owner
|
PurchaseWarrant (right to buy) · Derivative | 833,333 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001437749-19-000286 · rdgdoc.xml · derivative · entry 6 STERTZER SIMON H · CIK 0001031689 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 833,333 Underlying: Common Stock · 833,333 shares Expires 2023-12-24 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares Read SEC document |
| December 24, 2018 Filed Jan 4, 2019 02:52 UTC Amendment |
STERTZER SIMON HDirector · 10% owner
|
PurchaseCommon Stock | 1,666,666 | $0.75 | $1,249,999.50 |
DisclosureSEC source: 0001437749-19-000286 · 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: 2,076,346 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers. Read SEC document |
| December 24, 2018 Filed Jan 4, 2019 02:52 UTC Amendment |
STERTZER SIMON HDirector · 10% owner
|
PurchaseCommon Stock | 1,666,666 | $0.75 | $1,249,999.50 |
DisclosureSEC source: 0001437749-19-000286 · 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: 4,278,274 F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. F2 · balance_after: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares Read SEC document |
| November 29, 2018 Filed Dec 3, 2018 21:01 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 1,000 | $2.10 | $2,102.00 |
DisclosureSEC source: 0001437749-18-021494 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| November 16, 2018 Filed Nov 17, 2018 01:23 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 1,400 | $2.39 | $3,352.44 |
DisclosureSEC source: 0001437749-18-021034 · rdgdoc.xml · nonDerivative · entry 3 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 729,792 F3 · price: This transaction was executed in multiple trades at prices ranging from $2.325 to $2.40 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 |
| November 15, 2018 Filed Nov 17, 2018 01:23 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 2,500 | $2.43 | $6,071.50 |
DisclosureSEC source: 0001437749-18-021034 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 728,392 F2 · price: This transaction was executed in multiple trades at prices ranging from $2.355 to $2.45 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 |
| November 14, 2018 Filed Nov 17, 2018 01:22 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 1,000 | $2.14 | $2,140.50 |
DisclosureSEC source: 0001437749-18-021033 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| November 14, 2018 Filed Nov 17, 2018 01:23 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 2,500 | $2.22 | $5,560.00 |
DisclosureSEC source: 0001437749-18-021034 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725,892 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.05 to $2.50 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 |
| November 13, 2018 Filed Nov 14, 2018 01:12 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 2,800 | $2.08 | $5,826.80 |
DisclosureSEC source: 0001437749-18-020647 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 723,392 F2 · price: This transaction was executed in multiple trades at prices ranging from $2.05 to $2.10 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 |
| November 13, 2018 Filed Nov 13, 2018 23:39 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 1,000 | $2.10 | $2,100.00 |
DisclosureSEC source: 0001437749-18-020640 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| November 12, 2018 Filed Nov 14, 2018 01:12 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 1,100 | $2.35 | $2,585.00 |
DisclosureSEC source: 0001437749-18-020647 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 720,592 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.30 to $2.39 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 |
| November 09, 2018 Filed Nov 9, 2018 22:42 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 400 | $2.50 | $1,000.00 |
DisclosureSEC source: 0001437749-18-020341 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 719,492 Read SEC document |
| November 08, 2018 Filed Nov 9, 2018 22:42 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 100 | $2.51 | $251.00 |
DisclosureSEC source: 0001437749-18-020341 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 719,092 Read SEC document |
| November 05, 2018 Filed Nov 7, 2018 21:40 UTC |
McClung DavidChief Financial Officer
|
PurchaseCommon Stock | 1,600 | $2.56 | $4,102.40 |
DisclosureSEC source: 0001437749-18-019858 · rdgdoc.xml · nonDerivative · entry 1 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,200 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.54 to $2.58 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 |
| November 02, 2018 Filed Nov 7, 2018 02:40 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 400 | $2.52 | $1,008.00 |
DisclosureSEC source: 0001437749-18-019720 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 718,992 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.44 to $2.60 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 |
| November 02, 2018 Filed Nov 7, 2018 02:40 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 2,000 | $2.53 | $5,060.00 |
DisclosureSEC source: 0001437749-18-019719 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| October 30, 2018 Filed Nov 2, 2018 00:28 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 300 | $2.55 | $765.00 |
DisclosureSEC source: 0001437749-18-019336 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 718,592 Read SEC document |
| October 26, 2018 Filed Oct 29, 2018 22:31 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 3,250 | $2.32 | $7,549.75 |
DisclosureSEC source: 0001437749-18-018983 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 718,292 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.24 to $2.55 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 25, 2018 Filed Oct 29, 2018 22:31 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 600 | $2.55 | $1,530.00 |
DisclosureSEC source: 0001437749-18-018983 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 715,042 Read SEC document |
| October 12, 2018 Filed Oct 16, 2018 20:34 UTC |
McClung DavidChief Financial Officer
|
PurchaseCommon Stock | 500 | $2.64 | $1,318.00 |
DisclosureSEC source: 0001437749-18-018346 · rdgdoc.xml · nonDerivative · entry 1 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,600 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.58 to $2.65 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 11, 2018 Filed Oct 12, 2018 10:03 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 1,000 | $2.70 | $2,700.00 |
DisclosureSEC source: 0001437749-18-018211 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| September 25, 2018 Filed Sep 26, 2018 00:57 UTC |
McClung DavidChief Financial Officer
|
PurchaseCommon Stock | 2,850 | $2.45 | $6,988.20 |
DisclosureSEC source: 0001437749-18-017460 · rdgdoc.xml · nonDerivative · entry 1 McClung David · CIK 0001686155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,100 F1 · price: This transaction was executed in multiple trades at prices ranging from $2.34 to $2.59 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 |
| September 21, 2018 Filed Sep 25, 2018 01:40 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 1,000 | $2.43 | $2,430.00 |
DisclosureSEC source: 0001437749-18-017391 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,609,609 F1 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. Read SEC document |
| September 20, 2018 Filed Sep 25, 2018 01:40 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 800 | $1.82 | $1,458.40 |
DisclosureSEC source: 0001437749-18-017390 · rdgdoc.xml · nonDerivative · entry 3 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 714,442 F1 · price: This transaction was executed in multiple trades at prices ranging from $1.71 to $1.99 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 |
| September 19, 2018 Filed Sep 20, 2018 23:44 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 500 | $1.71 | $854.00 |
DisclosureSEC source: 0001437749-18-017268 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 713,342 F1 · price: This transaction was executed in multiple trades at prices ranging from $1.70 to $1.72 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 |
| September 18, 2018 Filed Sep 18, 2018 23:49 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 200 | $1.65 | $330.00 |
DisclosureSEC source: 0001437749-18-017180 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 712,642 F2 · price: This transaction was executed in multiple trades at prices ranging from $1.60 to $1.70 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 |
| September 18, 2018 Filed Sep 20, 2018 23:44 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 200 | $1.50 | $300.00 |
DisclosureSEC source: 0001437749-18-017268 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 712,842 Read SEC document |
| September 18, 2018 Filed Sep 20, 2018 23:44 UTC |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 5,000 | $1.50 | $7,500.00 |
DisclosureSEC source: 0001437749-18-017267 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,608,609 F1 · price: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. F1 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. Read SEC document |
| September 18, 2018 Filed Sep 26, 2018 20:51 UTC Amendment |
STERTZER SIMON HDirector
|
PurchaseCommon Stock | 5,000 | $1.50 | $7,500.00 |
DisclosureSEC source: 0001437749-18-017489 · rdgdoc.xml · nonDerivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,616,609 F1 · price: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. F2 · balance_after: The amount of securities beneficially held following the reported transaction was incorrectly reported in the Form 4 filed on September 20, 2018. The corrected amount is now correctly reported herein. F1 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. Read SEC document |
| September 17, 2018 Filed Sep 25, 2018 01:40 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 200 | $1.58 | $316.00 |
DisclosureSEC source: 0001437749-18-017390 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 713,642 Read SEC document |
| September 14, 2018 Filed Sep 18, 2018 23:49 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 500 | $1.56 | $780.00 |
DisclosureSEC source: 0001437749-18-017180 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 712,442 F1 · price: This transaction was executed in multiple trades at prices ranging from $1.54 to $1.58 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 |
| September 12, 2018 Filed Sep 12, 2018 23:27 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 800 | $1.45 | $1,160.00 |
DisclosureSEC source: 0001437749-18-016939 · rdgdoc.xml · nonDerivative · entry 2 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 711,942 F2 · price: This transaction was executed in multiple trades at prices ranging from $1.395 to $1.55 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 |
| September 12, 2018 Filed Sep 25, 2018 01:40 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 100 | $1.40 | $140.00 |
DisclosureSEC source: 0001437749-18-017390 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 713,442 Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 23:27 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 800 | $1.28 | $1,024.00 |
DisclosureSEC source: 0001437749-18-016939 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 711,142 F1 · price: This transaction was executed in multiple trades at prices ranging from $1.20 to $1.44 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 |
| September 05, 2018 Filed Sep 5, 2018 23:25 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 5,000 | $1.33 | $6,650.00 |
DisclosureSEC source: 0001437749-18-016637 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 710,342 Read SEC document |
| August 27, 2018 Filed Aug 28, 2018 21:47 UTC |
Altman PeterDirector · President and CEO
|
PurchaseCommon Stock | 1,500 | $1.46 | $2,190.00 |
DisclosureSEC source: 0001437749-18-016261 · rdgdoc.xml · nonDerivative · entry 1 Altman Peter · CIK 0001647542 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 705,342 Read SEC document |
| July 26, 2018 Filed Sep 26, 2018 21:17 UTC |
TESSLER ALLAN RDirector
|
GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017509 · rdgdoc.xml · derivative · entry 8 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F13 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F13 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| July 26, 2018 Filed Sep 27, 2018 01:17 UTC |
MOYES JAY MDirector
|
GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017512 · rdgdoc.xml · derivative · entry 1 MOYES JAY M · CIK 0001191062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F2 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| July 26, 2018 Filed Sep 27, 2018 01:17 UTC |
STERTZER SIMON HDirector
|
GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017511 · rdgdoc.xml · derivative · entry 1 STERTZER SIMON H · CIK 0001031689 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019 F2 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019 Read SEC document |
| July 26, 2018 Filed Sep 27, 2018 01:17 UTC |
Quertermous ThomasDirector
|
GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017510 · rdgdoc.xml · derivative · entry 1 Quertermous Thomas · CIK 0001647524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F2 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| July 26, 2018 Filed Sep 27, 2018 01:17 UTC |
KRASNO RICHARD MDirector
|
GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017508 · rdgdoc.xml · derivative · entry 5 KRASNO RICHARD M · CIK 0001215060 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F10 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F10 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| July 26, 2018 Filed Sep 27, 2018 01:17 UTC |
PFENNIGER RICHARD C JRDirector
|
GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017507 · rdgdoc.xml · derivative · entry 5 PFENNIGER RICHARD C JR · CIK 0001200796 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F10 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F10 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| July 26, 2018 Filed Sep 27, 2018 01:16 UTC |
FERNANDEZ FERNANDO LDirector
|
GrantRestricted Stock Units · Derivative | 32,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017506 · rdgdoc.xml · derivative · entry 5 FERNANDEZ FERNANDO L · CIK 0001214346 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,353 Underlying: Common Stock · 32,353 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F10 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. F10 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019. Read SEC document |
| June 15, 2018 Filed Sep 26, 2018 21:17 UTC |
TESSLER ALLAN RDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 9,166 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017509 · rdgdoc.xml · derivative · entry 7 TESSLER ALLAN R · CIK 0000905084 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 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 RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on June 15, 2018 was $1.40 per share. F12 · derivative.exercise_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4. F12 · derivative.expiration_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 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.