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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

Insider transactions

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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
March 01, 2023 Filed Mar 3, 2023 21:16 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
GrantStock Options (Right to buy) · Derivative 148,448 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001140361-23-010025 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,448

Underlying: Common Stock · 148,448 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.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:16 UTC
O'Kane KieranChief Commercial Officer
GrantStock Options (Right to buy) · Derivative 52,531 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001140361-23-010024 · form4.xml · derivative · entry 1

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,531

Underlying: Common Stock · 52,531 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.

Read SEC document
February 09, 2023 Filed Feb 10, 2023 18:40 UTC
Hutton ScottDirector · President & CEO
SaleCommon Stock 16,278 $1.80 $29,285.75
Disclosure

SEC source: 0001140361-23-006076 · form4.xml · nonDerivative · entry 2

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,726

F2 · kind: These shares of 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 $1.71 to $1.96, 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
February 09, 2023 Filed Feb 10, 2023 23:40 UTC
Siurek Ryan HChief Accounting Officer
SaleCommon Stock 2,016 $1.80 $3,626.99
Disclosure

SEC source: 0001140361-23-006075 · form4.xml · nonDerivative · entry 2

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,161

F2 · kind: These shares of 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 $1.71 to $1.96, 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
February 09, 2023 Filed Feb 10, 2023 23:40 UTC
Pestano Gary AnthonyChief Development Officer
SaleCommon Stock 1,852 $1.80 $3,331.93
Disclosure

SEC source: 0001140361-23-006077 · form4.xml · nonDerivative · entry 2

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,933

F2 · kind: These shares of 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 $1.71 to $1.96, 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
February 09, 2023 Filed Feb 10, 2023 23:40 UTC
O'Kane KieranChief Commercial Officer
SaleCommon Stock 1,999 $1.80 $3,596.40
Disclosure

SEC source: 0001140361-23-006073 · form4.xml · nonDerivative · entry 2

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,993

F2 · kind: These shares of 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 $1.71 to $1.96, 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
February 09, 2023 Filed Feb 10, 2023 23:40 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
SaleCommon Stock 4,220 $1.80 $7,592.20
Disclosure

SEC source: 0001140361-23-006074 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,275

F2 · kind: These shares of 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 $1.71 to $1.96, 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
February 08, 2023 Filed Feb 10, 2023 18:40 UTC
Hutton ScottDirector · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 32,565 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006076 · form4.xml · derivative · entry 5

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,131

Underlying: Common Stock · 32,565 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 Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of six 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 six 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
February 08, 2023 Filed Feb 10, 2023 18:40 UTC
Hutton ScottDirector · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 12,212 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006076 · form4.xml · derivative · entry 4

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,544

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 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.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 18:40 UTC
Hutton ScottDirector · President & CEO
GrantRestricted Stock Units · Derivative 751,042 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006076 · form4.xml · derivative · entry 3

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 751,042

Underlying: Common Stock · 751,042 shares

Expires not disclosed

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

F4 · derivative.exercise_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F4 · derivative.expiration_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 18:40 UTC
Hutton ScottDirector · President & CEO
Exercise / conversionCommon Stock 44,777 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-006076 · form4.xml · nonDerivative · entry 1

Hutton Scott · CIK 0001697361 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,004

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 Issuer's common stock.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Siurek Ryan HChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 3,556 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006075 · form4.xml · derivative · entry 5

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,114

Underlying: Common Stock · 3,556 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 Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of six 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 six 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
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Siurek Ryan HChief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 1,927 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006075 · form4.xml · derivative · entry 4

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,120

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 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.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Siurek Ryan HChief Accounting Officer
GrantRestricted Stock Units · Derivative 82,031 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006075 · form4.xml · derivative · entry 3

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,031

Underlying: Common Stock · 82,031 shares

Expires not disclosed

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

F4 · derivative.exercise_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F4 · derivative.expiration_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Siurek Ryan HChief Accounting Officer
Exercise / conversionCommon Stock 5,483 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-006075 · form4.xml · nonDerivative · entry 1

Siurek Ryan H · CIK 0001476512 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,177

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 Issuer's common stock.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Pestano Gary AnthonyChief Development Officer
Exercise / conversionRestricted Stock Units · Derivative 3,675 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006077 · form4.xml · derivative · entry 5

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,351

Underlying: Common Stock · 3,675 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 Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of six 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 six 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
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Pestano Gary AnthonyChief Development Officer
Exercise / conversionRestricted Stock Units · Derivative 1,378 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006077 · form4.xml · derivative · entry 4

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,539

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 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.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Pestano Gary AnthonyChief Development Officer
GrantRestricted Stock Units · Derivative 113,021 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006077 · form4.xml · derivative · entry 3

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,021

Underlying: Common Stock · 113,021 shares

Expires not disclosed

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

F4 · derivative.exercise_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F4 · derivative.expiration_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Pestano Gary AnthonyChief Development Officer
Exercise / conversionCommon Stock 5,053 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-006077 · form4.xml · nonDerivative · entry 1

Pestano Gary Anthony · CIK 0001827711 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,785

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 Issuer's common stock.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
O'Kane KieranChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 3,971 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006073 · form4.xml · derivative · entry 5

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,944

Underlying: Common Stock · 3,971 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 Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of six 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 six 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
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
O'Kane KieranChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,490 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006073 · form4.xml · derivative · entry 4

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,873

Underlying: Common Stock · 1,490 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 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.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
O'Kane KieranChief Commercial Officer
GrantRestricted Stock Units · Derivative 122,135 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006073 · form4.xml · derivative · entry 3

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,135

Underlying: Common Stock · 122,135 shares

Expires not disclosed

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

F4 · derivative.exercise_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F4 · derivative.expiration_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
O'Kane KieranChief Commercial Officer
Exercise / conversionCommon Stock 5,461 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-006073 · form4.xml · nonDerivative · entry 1

O'Kane Kieran · CIK 0001828131 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,992

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 Issuer's common stock.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
Exercise / conversionRestricted Stock Units · Derivative 8,418 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006074 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,836

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 Issuer's common stock.

F6 · derivative.exercise_date: These RSUs vest in a series of six 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 six 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
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
Exercise / conversionRestricted Stock Units · Derivative 3,157 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006074 · form4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,881

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 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.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
GrantRestricted Stock Units · Derivative 194,141 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-006074 · form4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,141

Underlying: Common Stock · 194,141 shares

Expires not disclosed

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

F4 · derivative.exercise_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

F4 · derivative.expiration_date: These RSUs vest in a series of four successive equal annual installments measured from February 8, 2023, generally subject to the Reporting Person's continued service with the Issuer, and have no expiration date.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:40 UTC
Cowie Robin HarperCFO, Sec'y & Treasurer
Exercise / conversionCommon Stock 11,575 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-23-006074 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,495

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 Issuer's common stock.

Read SEC document
January 31, 2023 Filed Feb 1, 2023 18:03 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 10,000 $2.41 $24,100.00
Disclosure

SEC source: 0001567619-23-001599 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,389,189

F1 · ownership.direct: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

F1 · ownership.nature: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

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January 27, 2023 Filed Jan 31, 2023 18:06 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 50,000 $2.51 $125,430.00
Disclosure

SEC source: 0001567619-23-001501 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,379,189

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.50 to $2.52, 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.

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January 03, 2023 Filed Jan 5, 2023 21:31 UTC
PATIENCE JOHNDirector · 10% owner · Chairman
GrantRestricted Stock Units · Derivative 4,878 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000672 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,711

Underlying: Common Stock · 4,878 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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 to the Issuer.

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January 03, 2023 Filed Jan 5, 2023 21:31 UTC
SCHULER JACK WDirector · 10% owner
GrantRestricted Stock Units · Derivative 4,878 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000671 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,711

Underlying: Common Stock · 4,878 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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 to the Issuer.

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January 03, 2023 Filed Jan 5, 2023 16:31 UTC GrantRestricted Stock Units · Derivative 6,707 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000669 · form4.xml · derivative · entry 1

MASSARANY HANY · CIK 0001134554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,540

Underlying: Common Stock · 6,707 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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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January 03, 2023 Filed Jan 5, 2023 16:31 UTC GrantRestricted Stock Units · Derivative 4,878 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000670 · form4.xml · derivative · entry 1

Watts Charles M · CIK 0001723751 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,711

Underlying: Common Stock · 4,878 shares

Expires not disclosed

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

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

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January 03, 2023 Filed Jan 6, 2023 02:20 UTC
Kennedy Lawrence T. JrDirector · 10% owner
GrantStock Options (Right to Buy) · Derivative 124,998 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001140361-23-000727 · form4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,998

Underlying: Common Stock · 124,998 shares

Expires 2033-01-02

F5 · derivative.exercise_date: This option vests 40% on January 3, 2025, and the remaining 60% in 36 successive, equal monthly installments measured from January 3, 2025, generally subject to the Reporting Person's continued service on the Board through the applicable vesting date.

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January 03, 2023 Filed Jan 6, 2023 02:20 UTC
Kennedy Lawrence T. JrDirector · 10% owner
GrantRestricted Stock Units · Derivative 27,408 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000727 · form4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,408

Underlying: Common Stock · 27,408 shares

Expires not disclosed

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

F3 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, generally subject to the Reporting Person's continued service on the Board through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: These RSUs will vest in full on March 31, 2023, generally subject to the Reporting Person's continued service on the Board through the applicable vesting date, and have no expiration date.

F4 · 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 to the Issuer.

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January 03, 2023 Filed Jan 6, 2023 02:20 UTC
Kennedy Lawrence T. JrDirector · 10% owner
GrantRestricted Stock Units · Derivative 91,463 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000727 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,463

Underlying: Common Stock · 91,463 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on January 3, 2024, generally subject to the Reporting Person's continued service on the Issuer's board of directors (the "Board") through the applicable vesting date, and have no expiration date.

F2 · derivative.expiration_date: These RSUs will vest in full on January 3, 2024, generally subject to the Reporting Person's continued service on the Issuer's board of directors (the "Board") through the applicable vesting date, and have no expiration date.

F4 · 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 to the Issuer.

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January 03, 2023 Filed Jan 5, 2023 21:31 UTC GrantRestricted Stock Units · Derivative 7,317 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000667 · form4.xml · derivative · entry 1

Franchi Jean M. · CIK 0001653053 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,150

Underlying: Common Stock · 7,317 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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 to the Issuer.

Read SEC document
January 03, 2023 Filed Jan 5, 2023 21:31 UTC GrantRestricted Stock Units · Derivative 6,097 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000666 · form4.xml · derivative · entry 1

Strobeck Matthew · CIK 0001377832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,930

Underlying: Common Stock · 6,097 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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 to the Issuer.

Read SEC document
January 03, 2023 Filed Jan 5, 2023 21:31 UTC GrantRestricted Stock Units · Derivative 4,878 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000668 · form4.xml · derivative · entry 1

Kayyem Jon Faiz · CIK 0001366268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,711

Underlying: Common Stock · 4,878 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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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January 01, 2023 Filed Jan 4, 2023 23:20 UTC
SCHULER JACK WDirector · 10% owner
GrantRestricted Stock Units · Derivative 62,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000521 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,833

Underlying: Common Stock · 62,500 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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 to the Issuer.

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January 01, 2023 Filed Jan 4, 2023 23:21 UTC
PATIENCE JOHNDirector · 10% owner · Chairman
GrantRestricted Stock Units · Derivative 62,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000520 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,833

Underlying: Common Stock · 62,500 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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 to the Issuer.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 18:20 UTC GrantRestricted Stock Units · Derivative 62,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000518 · form4.xml · derivative · entry 1

MASSARANY HANY · CIK 0001134554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,833

Underlying: Common Stock · 62,500 shares

Expires not disclosed

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

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

Read SEC document
January 01, 2023 Filed Jan 4, 2023 18:20 UTC GrantRestricted Stock Units · Derivative 62,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000516 · form4.xml · derivative · entry 1

Watts Charles M · CIK 0001723751 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,833

Underlying: Common Stock · 62,500 shares

Expires not disclosed

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

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

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:20 UTC GrantRestricted Stock Units · Derivative 62,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000519 · form4.xml · derivative · entry 1

Kayyem Jon Faiz · CIK 0001366268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,833

Underlying: Common Stock · 62,500 shares

Expires not disclosed

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

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

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:20 UTC GrantRestricted Stock Units · Derivative 62,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000522 · form4.xml · derivative · entry 1

Strobeck Matthew · CIK 0001377832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,833

Underlying: Common Stock · 62,500 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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 to the Issuer.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:20 UTC GrantRestricted Stock Units · Derivative 62,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-23-000517 · form4.xml · derivative · entry 1

Franchi Jean M. · CIK 0001653053 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,833

Underlying: Common Stock · 62,500 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These RSUs will vest in full on March 31, 2023, 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, 2023, 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 · 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 to the Issuer.

Read SEC document
December 21, 2022 Filed Dec 22, 2022 21:31 UTC Exercise / conversionRestricted Stock Units · Derivative 31,619 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-046669 · form4.xml · derivative · entry 3

Kayyem Jon Faiz · CIK 0001366268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,619 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 represents a contingent right to receive one share of Issuer common stock.

F3 · derivative.exercise_date: These restricted stock units vested in full on December 5, 2022 and were settled in shares of Common Stock on December 21, 2022. These restricted stock units had no expiration date.

F3 · derivative.expiration_date: These restricted stock units vested in full on December 5, 2022 and were settled in shares of Common Stock on December 21, 2022. These restricted stock units had no expiration date.

Read SEC document
December 21, 2022 Filed Dec 22, 2022 21:31 UTC Exercise / conversionCommon Stock 31,619 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-22-046669 · form4.xml · nonDerivative · entry 1

Kayyem Jon Faiz · CIK 0001366268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,619

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 represents a contingent right to receive one share of Issuer common stock.

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December 16, 2022 Filed Dec 20, 2022 21:30 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 10,000 $1.70 $17,000.00
Disclosure

SEC source: 0001140361-22-046381 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,339,189

F1 · ownership.direct: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

F1 · ownership.nature: Jack W. Schuler is the sole trustee of the Jack W. Schuler Living Trust.

Read SEC document
December 15, 2022 Filed Dec 19, 2022 21:31 UTC
SCHULER JACK WDirector · 10% owner
PurchaseCommon Stock 20,000 $1.65 $32,952.00
Disclosure

SEC source: 0001140361-22-046081 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jack W. Schuler Living Trust

Disclosed balance after: 20,329,189

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.62 to $1.65, 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

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