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Nasdaq · USD

BDSX

BIODESIX INC

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Tapewire entity
6053
SEC CIK
0001439725
Parsed reports
335

Last 12 months

Inside the activity.

6 purchase rows · 20 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202505
Dec 202500
Jan 202635
Feb 2026010
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202630
Sep 202600
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 24, 2023 Filed Jul 26, 2023 22:13 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
Disposition to issuerStock Options (Right to buy) · Derivative 71,524 Not disclosed Strike: $20.67 Not disclosed
Disclosure

SEC source: 0000905148-23-000510 · form4.xml · derivative · entry 4

Cowie Robin Harper · CIK 0001827690 · CFO, Sec'y & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 71,524 shares

Expires 2031-02-22

F3 · kind: On June 23, 2023, the Issuer made an offer (the "Tender Offer") to certain employees to exchange some or all of their outstanding options with an exercise price greater than $10.00 per share (such options properly tendered for exchange, "Surrendered Options") for new options with terms determined in accordance with the terms of the Tender Offer ("Replacement Options"). The Tender Offer closed on July 24, 2023, and the Issuer's board of directors approved the exchange of Surrendered Options for Replacement Options on July 24, 2023.

F4 · kind: The Reporting Person elected to participate in the Tender Offer and received 27,138 Replacement Options with an exercise price of $1.20 per share in exchange for 132,963 Surrendered Options with an exercise price of $20.67 per share, after which the Surrendered Options were cancelled.

F3 · price: On June 23, 2023, the Issuer made an offer (the "Tender Offer") to certain employees to exchange some or all of their outstanding options with an exercise price greater than $10.00 per share (such options properly tendered for exchange, "Surrendered Options") for new options with terms determined in accordance with the terms of the Tender Offer ("Replacement Options"). The Tender Offer closed on July 24, 2023, and the Issuer's board of directors approved the exchange of Surrendered Options for Replacement Options on July 24, 2023.

F4 · price: The Reporting Person elected to participate in the Tender Offer and received 27,138 Replacement Options with an exercise price of $1.20 per share in exchange for 132,963 Surrendered Options with an exercise price of $20.67 per share, after which the Surrendered Options were cancelled.

F2 · derivative.exercise_date: This option was fully vested as of the grant date.

Read SEC document
July 24, 2023 Filed Jul 26, 2023 22:13 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
Disposition to issuerStock Options (Right to buy) · Derivative 61,439 Not disclosed Strike: $20.67 Not disclosed
Disclosure

SEC source: 0000905148-23-000510 · form4.xml · derivative · entry 3

Cowie Robin Harper · CIK 0001827690 · CFO, Sec'y & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 61,439 shares

Expires 2031-02-22

F3 · kind: On June 23, 2023, the Issuer made an offer (the "Tender Offer") to certain employees to exchange some or all of their outstanding options with an exercise price greater than $10.00 per share (such options properly tendered for exchange, "Surrendered Options") for new options with terms determined in accordance with the terms of the Tender Offer ("Replacement Options"). The Tender Offer closed on July 24, 2023, and the Issuer's board of directors approved the exchange of Surrendered Options for Replacement Options on July 24, 2023.

F4 · kind: The Reporting Person elected to participate in the Tender Offer and received 27,138 Replacement Options with an exercise price of $1.20 per share in exchange for 132,963 Surrendered Options with an exercise price of $20.67 per share, after which the Surrendered Options were cancelled.

F3 · price: On June 23, 2023, the Issuer made an offer (the "Tender Offer") to certain employees to exchange some or all of their outstanding options with an exercise price greater than $10.00 per share (such options properly tendered for exchange, "Surrendered Options") for new options with terms determined in accordance with the terms of the Tender Offer ("Replacement Options"). The Tender Offer closed on July 24, 2023, and the Issuer's board of directors approved the exchange of Surrendered Options for Replacement Options on July 24, 2023.

F4 · price: The Reporting Person elected to participate in the Tender Offer and received 27,138 Replacement Options with an exercise price of $1.20 per share in exchange for 132,963 Surrendered Options with an exercise price of $20.67 per share, after which the Surrendered Options were cancelled.

F1 · derivative.exercise_date: This option was scheduled to vest in a series of 60 successive, equal monthly installments measured from February 23, 2021.

Read SEC document
May 31, 2023 Filed Jun 1, 2023 19:00 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 14,792 $1.35 $20,006.18
Disclosure

SEC source: 0001140361-23-027746 · form4.xml · nonDerivative · entry 2

SCHULER JACK W · CIK 0001021412 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,589,853

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.32 to $1.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

F2 · ownership.direct: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

F2 · ownership.nature: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
May 30, 2023 Filed Jun 1, 2023 19:00 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 11,849 $1.36 $16,150.19
Disclosure

SEC source: 0001140361-23-027746 · form4.xml · nonDerivative · entry 1

SCHULER JACK W · CIK 0001021412 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,575,061

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.32 to $1.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

F2 · ownership.direct: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

F2 · ownership.nature: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
May 25, 2023 Filed May 30, 2023 19:03 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 52,508 $1.36 $71,279.61
Disclosure

SEC source: 0001140361-23-027206 · form4.xml · nonDerivative · entry 1

SCHULER JACK W · CIK 0001021412 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,563,212

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.295 to $1.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

F2 · ownership.direct: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

F2 · ownership.nature: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
May 24, 2023 Filed May 26, 2023 19:00 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 35,308 $1.25 $43,979.64
Disclosure

SEC source: 0001140361-23-026925 · form4.xml · nonDerivative · entry 1

SCHULER JACK W · CIK 0001021412 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,510,704

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.16 to $1.30, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

F2 · ownership.direct: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

F2 · ownership.nature: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
May 23, 2023 Filed May 25, 2023 22:21 UTC
SCHULER JACK WDirector · 10% owner
GrantRestricted Stock Units · Derivative 28,873 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-026715 · form4.xml · derivative · entry 1

SCHULER JACK W · CIK 0001021412 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,873

Underlying: Common Stock · 28,873 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.expiration_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F4 · derivative.underlying_shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · balance_after: Represents deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service with the Issuer.

F4 · balance_after: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

Read SEC document
May 23, 2023 Filed May 25, 2023 19:00 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 56,782 $1.15 $65,066.49
Disclosure

SEC source: 0001140361-23-026580 · form4.xml · nonDerivative · entry 1

SCHULER JACK W · CIK 0001021412 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,475,396

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.1125 to $1.17, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

F2 · ownership.direct: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

F2 · ownership.nature: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
May 23, 2023 Filed May 25, 2023 22:22 UTC
PATIENCE JOHNDirector · 10% owner · Chairman
GrantRestricted Stock Units · Derivative 28,873 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-026720 · form4.xml · derivative · entry 1

PATIENCE JOHN · CIK 0001021413 · Director · 10% owner · Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,873

Underlying: Common Stock · 28,873 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.expiration_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F4 · derivative.underlying_shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · balance_after: Represents deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service with the Issuer.

F4 · balance_after: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

Read SEC document
May 23, 2023 Filed May 25, 2023 18:21 UTC GrantRestricted Stock Units · Derivative 37,535 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-026714 · form4.xml · derivative · entry 1

MASSARANY HANY · CIK 0001134554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,535

Underlying: Common Stock · 37,535 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.expiration_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F4 · derivative.underlying_shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · balance_after: Represents deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service with the Issuer.

F4 · balance_after: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

Read SEC document
May 23, 2023 Filed May 25, 2023 18:21 UTC GrantRestricted Stock Units · Derivative 28,873 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-026716 · form4.xml · derivative · entry 1

Watts Charles M · CIK 0001723751 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,873

Underlying: Common Stock · 28,873 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.expiration_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · derivative.underlying_shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · balance_after: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

Read SEC document
May 23, 2023 Filed May 25, 2023 22:22 UTC GrantRestricted Stock Units · Derivative 40,422 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-026721 · form4.xml · derivative · entry 1

Franchi Jean M. · CIK 0001653053 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,422

Underlying: Common Stock · 40,422 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.expiration_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F4 · derivative.underlying_shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · balance_after: Represents deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service with the Issuer.

F4 · balance_after: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

Read SEC document
May 23, 2023 Filed May 25, 2023 22:22 UTC GrantRestricted Stock Units · Derivative 34,647 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-026719 · form4.xml · derivative · entry 1

Strobeck Matthew · CIK 0001377832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,647

Underlying: Common Stock · 34,647 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.expiration_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F4 · derivative.underlying_shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · balance_after: Represents deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service with the Issuer.

F4 · balance_after: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

Read SEC document
May 23, 2023 Filed May 25, 2023 22:21 UTC GrantRestricted Stock Units · Derivative 28,873 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-026718 · form4.xml · derivative · entry 1

Kayyem Jon Faiz · CIK 0001366268 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,873

Underlying: Common Stock · 28,873 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.expiration_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F4 · derivative.underlying_shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · balance_after: Represents deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service with the Issuer.

F4 · balance_after: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

Read SEC document
May 23, 2023 Filed May 25, 2023 22:21 UTC
Kennedy Lawrence T. JrDirector · 10% owner
GrantRestricted Stock Units · Derivative 28,873 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-026717 · form4.xml · derivative · entry 1

Kennedy Lawrence T. Jr · CIK 0001830773 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,873

Underlying: Common Stock · 28,873 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F2 · derivative.expiration_date: These RSUs will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F4 · derivative.underlying_shares: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

F3 · balance_after: Represents deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service with the Issuer.

F4 · balance_after: The Compensation Committee of the Issuer's Board of Directors also approved a grant to the Reporting Person, effective January 1, 2024, of an additional 105,389 RSUs that will vest in full on March 31, 2024, generally subject to the Reporting Person's continued service with the Issuer. In the event the Reporting Person's continued service on the Board terminates other than for cause, these RSUs will vest on a prorated basis based on the number of full months of service the Reporting Person completed during the applicable vesting period.

Read SEC document
May 22, 2023 Filed May 24, 2023 19:47 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 29,425 $1.11 $32,529.34
Disclosure

SEC source: 0001140361-23-026395 · form4.xml · nonDerivative · entry 1

SCHULER JACK W · CIK 0001021412 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,418,614

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.085 to $1.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

F2 · ownership.direct: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

F2 · ownership.nature: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
May 10, 2023 Filed May 10, 2023 20:16 UTC
Hutton ScottDirector · President & CEO
SaleCommon Stock 3,848 $1.58 $6,064.83
Disclosure

SEC source: 0001140361-23-023966 · form4.xml · nonDerivative · entry 3

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 240,722

F3 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F5 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.5332 to $1.615, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 10, 2023 Filed May 11, 2023 00:16 UTC
Siurek Ryan HChief Accounting Officer
SaleCommon Stock 564 $1.58 $888.92
Disclosure

SEC source: 0001140361-23-023967 · form4.xml · nonDerivative · entry 3

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,268

F3 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F5 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.5332 to $1.615, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 10, 2023 Filed May 11, 2023 00:16 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
SaleCommon Stock 973 $1.58 $1,533.55
Disclosure

SEC source: 0001140361-23-023969 · form4.xml · nonDerivative · entry 3

Cowie Robin Harper · CIK 0001827690 · CFO, Sec'y & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,365

F3 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F5 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.5332 to $1.615, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 10, 2023 Filed May 11, 2023 00:16 UTC
O'Kane KieranChief Commercial Officer
SaleCommon Stock 474 $1.58 $747.07
Disclosure

SEC source: 0001140361-23-023968 · form4.xml · nonDerivative · entry 3

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,757

F3 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F5 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.5332 to $1.615, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 10, 2023 Filed May 11, 2023 00:16 UTC
Pestano Gary AnthonyChief Development Officer
SaleCommon Stock 426 $1.58 $671.42
Disclosure

SEC source: 0001140361-23-023965 · form4.xml · nonDerivative · entry 3

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,460

F2 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F4 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.5332 to $1.615, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 09, 2023 Filed May 10, 2023 20:16 UTC
Hutton ScottDirector · President & CEO
SaleCommon Stock 9,934 $1.57 $15,560.62
Disclosure

SEC source: 0001140361-23-023966 · form4.xml · nonDerivative · entry 2

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 244,570

F3 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F4 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.53 to $1.6039, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 09, 2023 Filed May 11, 2023 00:16 UTC
Siurek Ryan HChief Accounting Officer
SaleCommon Stock 1,456 $1.57 $2,280.68
Disclosure

SEC source: 0001140361-23-023967 · form4.xml · nonDerivative · entry 2

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,832

F3 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F4 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.53 to $1.6039, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 09, 2023 Filed May 11, 2023 00:16 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
SaleCommon Stock 2,512 $1.57 $3,934.80
Disclosure

SEC source: 0001140361-23-023969 · form4.xml · nonDerivative · entry 2

Cowie Robin Harper · CIK 0001827690 · CFO, Sec'y & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,338

F3 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F4 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.53 to $1.6039, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 09, 2023 Filed May 11, 2023 00:16 UTC
O'Kane KieranChief Commercial Officer
SaleCommon Stock 1,223 $1.57 $1,915.71
Disclosure

SEC source: 0001140361-23-023968 · form4.xml · nonDerivative · entry 2

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,231

F3 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F4 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.53 to $1.6039, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 09, 2023 Filed May 11, 2023 00:16 UTC
Pestano Gary AnthonyChief Development Officer
SaleCommon Stock 1,101 $1.57 $1,724.61
Disclosure

SEC source: 0001140361-23-023965 · form4.xml · nonDerivative · entry 2

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,886

F2 · kind: These shares of the Issuer's common stock were sold automatically to cover taxes upon the vesting of RSUs.

F3 · price: The price reported in Column 4 is a weighted average price of all shares sold on the transaction date by the Issuer's broker to cover taxes upon the vesting of RSUs for certain employees of the Issuer, including the Reporting Person. These shares were sold in multiple transactions at prices ranging from $1.53 to $1.6039, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
May 08, 2023 Filed May 10, 2023 20:16 UTC
Hutton ScottDirector · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 32,566 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023966 · form4.xml · derivative · entry 5

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,565

Underlying: Common Stock · 32,566 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F7 · derivative.expiration_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
May 08, 2023 Filed May 10, 2023 20:16 UTC
Hutton ScottDirector · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 12,212 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023966 · form4.xml · derivative · entry 4

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,332

Underlying: Common Stock · 12,212 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F6 · derivative.expiration_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
May 08, 2023 Filed May 10, 2023 20:16 UTC
Hutton ScottDirector · President & CEO
Exercise / conversionCommon Stock 44,778 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-023966 · form4.xml · nonDerivative · entry 1

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 254,504

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 · price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Includes 10,000 shares purchased under the Issuer's Employee Stock Purchase Plan on February 28, 2023.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
Siurek Ryan HChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 3,557 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023967 · form4.xml · derivative · entry 5

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,557

Underlying: Common Stock · 3,557 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F7 · derivative.expiration_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
Siurek Ryan HChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 1,927 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023967 · form4.xml · derivative · entry 4

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,193

Underlying: Common Stock · 1,927 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F6 · derivative.expiration_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
Siurek Ryan HChief Accounting Officer
Exercise / conversionCommon Stock 5,484 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-023967 · form4.xml · nonDerivative · entry 1

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,288

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 · price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Includes 9,643 shares purchased under the Issuer's Employee Stock Purchase Plan on February 28, 2023.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
Exercise / conversionRestricted Stock Units · Derivative 8,418 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023969 · form4.xml · derivative · entry 5

Cowie Robin Harper · CIK 0001827690 · CFO, Sec'y & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,418

Underlying: Common Stock · 8,418 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F7 · derivative.expiration_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
Exercise / conversionRestricted Stock Units · Derivative 3,157 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023969 · form4.xml · derivative · entry 4

Cowie Robin Harper · CIK 0001827690 · CFO, Sec'y & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,724

Underlying: Common Stock · 3,157 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F6 · derivative.expiration_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
Exercise / conversionCommon Stock 11,575 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-023969 · form4.xml · nonDerivative · entry 1

Cowie Robin Harper · CIK 0001827690 · CFO, Sec'y & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,850

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 · price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Includes 10,000 shares purchased under the Issuer's Employee Stock Purchase Plan on February 28, 2023.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
O'Kane KieranChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 3,972 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023968 · form4.xml · derivative · entry 5

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,972

Underlying: Common Stock · 3,972 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F7 · derivative.expiration_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
O'Kane KieranChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,489 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023968 · form4.xml · derivative · entry 4

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,384

Underlying: Common Stock · 1,489 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F6 · derivative.expiration_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
May 08, 2023 Filed May 11, 2023 00:16 UTC
O'Kane KieranChief Commercial Officer
Exercise / conversionCommon Stock 5,461 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-023968 · form4.xml · nonDerivative · entry 1

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,454

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 · price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Includes 10,000 shares purchased under the Issuer's Employee Stock Purchase Plan on February 28, 2023.

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May 08, 2023 Filed May 11, 2023 00:16 UTC
Pestano Gary AnthonyChief Development Officer
Exercise / conversionRestricted Stock Units · Derivative 3,676 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023965 · form4.xml · derivative · entry 5

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,675

Underlying: Common Stock · 3,676 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F6 · derivative.expiration_date: These RSUs vest in a series of six successive quarterly installments from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

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May 08, 2023 Filed May 11, 2023 00:16 UTC
Pestano Gary AnthonyChief Development Officer
Exercise / conversionRestricted Stock Units · Derivative 1,378 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-023965 · form4.xml · derivative · entry 4

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,161

Underlying: Common Stock · 1,378 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.

F1 · derivative.exercise_price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F5 · derivative.expiration_date: These RSUs vest in a series of sixteen successive quarterly installments measured from February 8, 2022, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

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May 08, 2023 Filed May 11, 2023 00:16 UTC
Pestano Gary AnthonyChief Development Officer
Exercise / conversionCommon Stock 5,054 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-023965 · form4.xml · nonDerivative · entry 1

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,987

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 · price: Each restricted stock unit (the "RSU") represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 16:39 UTC Exercise / conversionRestricted Stock Units · Derivative 145,833 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-016265 · form4.xml · derivative · entry 2

MASSARANY HANY · CIK 0001134554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,707

Underlying: Common Stock · 145,833 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: These RSUs vested in full on March 31, 2023.

F2 · derivative.expiration_date: These RSUs vested in full on March 31, 2023.

F3 · balance_after: This amount includes 6,707 deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service to the Issuer.

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March 31, 2023 Filed Apr 4, 2023 16:39 UTC Exercise / conversionCommon Stock 145,833 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-016265 · form4.xml · nonDerivative · entry 1

MASSARANY HANY · CIK 0001134554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,767

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 16:33 UTC Exercise / conversionRestricted Stock Units · Derivative 150,711 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-016257 · form4.xml · derivative · entry 2

Watts Charles M · CIK 0001723751 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,711 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Issuer's common stock.

F2 · derivative.exercise_date: These RSUs vested in full on March 31, 2023.

F2 · derivative.expiration_date: These RSUs vested in full on March 31, 2023.

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March 31, 2023 Filed Apr 4, 2023 16:33 UTC Exercise / conversionCommon Stock 150,711 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-016257 · form4.xml · nonDerivative · entry 1

Watts Charles M · CIK 0001723751 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 202,044

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Issuer's common stock.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 20:36 UTC Exercise / conversionRestricted Stock Units · Derivative 145,833 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-016261 · form4.xml · derivative · entry 3

Kayyem Jon Faiz · CIK 0001366268 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,878

Underlying: Common Stock · 145,833 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.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: These RSUs vested in full on March 31, 2023.

F3 · derivative.expiration_date: These RSUs vested in full on March 31, 2023.

F4 · balance_after: This amount includes 4,878 deferred RSUs. The shares of Common Stock underlying these RSUs will be issued to the Reporting Person following the Reporting Person's separation from service to the Issuer.

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March 31, 2023 Filed Apr 4, 2023 20:36 UTC Exercise / conversionCommon Stock 145,833 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-016261 · form4.xml · nonDerivative · entry 1

Kayyem Jon Faiz · CIK 0001366268 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 177,452

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 16:16 UTC
Hutton ScottDirector · President & CEO
GrantStock Options (Right to buy) · Derivative 435,668 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001140361-23-010026 · form4.xml · derivative · entry 1

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,668

Underlying: Common Stock · 435,668 shares

Expires 2033-02-28

F1 · derivative.exercise_date: This option vested in full on March 1, 2023. Under the Issuer's 2022 Bonus-to-Options Program, the Reporting Person elected to receive a portion of the annual cash bonus earned during 2022 in the form of a fully-vested option.

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March 01, 2023 Filed Mar 3, 2023 21:16 UTC
Siurek Ryan HChief Accounting Officer
GrantStock Options (Right to buy) · Derivative 114,204 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001140361-23-010028 · form4.xml · derivative · entry 1

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,204

Underlying: Common Stock · 114,204 shares

Expires 2033-02-28

F1 · derivative.exercise_date: This option vested in full on March 1, 2023. Under the Issuer's 2022 Bonus-to-Options Program, the Reporting Person elected to receive a portion of the annual cash bonus earned during 2022 in the form of a fully-vested option.

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March 01, 2023 Filed Mar 3, 2023 21:16 UTC
Pestano Gary AnthonyChief Development Officer
GrantStock Options (Right to buy) · Derivative 8,614 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001140361-23-010027 · form4.xml · derivative · entry 1

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,614

Underlying: Common Stock · 8,614 shares

Expires 2033-02-28

F1 · derivative.exercise_date: This option vested in full on March 1, 2023. Under the Issuer's 2022 Bonus-to-Options Program, the Reporting Person elected to receive a portion of the annual cash bonus earned during 2022 in the form of a fully-vested option.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.