Last 12 months
Inside the activity.
4 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 4 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 09, 2023 Filed Dec 6, 2023 16:15 UTC |
Sherman Michael EdwardDirector
|
GrantStock Option (right to buy) · Derivative | 89,750 | $0.00 Strike: $3.01 | $0.00 |
DisclosureSEC source: 0001520138-23-000531 · ownership.xml · derivative · entry 1 Sherman Michael Edward · CIK 0001730468 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,750 Underlying: Common Stock · 89,750 shares Expires 2028-11-09 F1 · derivative.exercise_date: The options vest in four equal installments beginning on February 9, 2024, with the remaining installments vesting on May 9, 2024, August 9, 2024 and the earlier of November 9, 2024 or the date of the issuer's 2024 annual shareholders' meeting. Read SEC document |
| November 09, 2023 Filed Dec 6, 2023 21:15 UTC |
Hariri Robert JDirector
|
GrantCommon Stock | 42,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000532 · ownership.xml · nonDerivative · entry 1 Hariri Robert J · CIK 0001398815 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,254 F1 · date: The restricted stock unit ("RSU") grant was approved by the compensation committee of the issuer's board of directors on September 22, 2023, subject to board approval, which was obtained on November 9, 2023. Each RSU represents a contingent right to receive one share of the issuer's Class A common stock. The RSUs vest in four equal installments beginning on February 9, 2024, with the remaining installments vesting on May 9, 2024, August 9, 2024 and the earlier of November 9, 2024 or the date of the issuer's 2024 annual shareholders' meeting. Read SEC document |
| November 09, 2023 Filed Dec 6, 2023 21:16 UTC |
Lang James PaulDirector
|
GrantStock Option (right to buy) · Derivative | 93,500 | $0.00 Strike: $3.01 | $0.00 |
DisclosureSEC source: 0001520138-23-000535 · ownership.xml · derivative · entry 1 Lang James Paul · CIK 0001703090 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,500 Underlying: Common Stock · 93,500 shares Expires 2028-11-09 F1 · derivative.exercise_date: The options vest in four equal installments beginning on February 9, 2024, with the remaining installments vesting on May 9, 2024, August 9, 2024 and the earlier of November 9, 2024 or the date of the issuer's 2024 annual shareholders' meeting. Read SEC document |
| September 05, 2023 Filed Sep 7, 2023 18:20 UTC |
GORLIN STEVEDirector
|
SaleCommon Stock | 8,560 | $3.05 | $26,108.00 |
DisclosureSEC source: 0001520138-23-000371 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,680 Read SEC document |
| August 22, 2023 Filed Aug 24, 2023 20:33 UTC |
BERMAN RICHARD JDirector
|
SaleCommon Stock | 10,805 | $3.50 | $37,827.22 |
DisclosureSEC source: 0001520138-23-000347 · ownership.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,789 Read SEC document |
| June 29, 2023 Filed Jul 4, 2023 00:47 UTC |
DO CUONG VDirector · CEO & President
|
GrantStock Option (right to buy) · Derivative | 175,000 | $0.00 Strike: $4.10 | $0.00 |
DisclosureSEC source: 0001520138-23-000275 · ownership.xml · derivative · entry 2 DO CUONG V · CIK 0001477037 · Director · CEO & President 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2033-06-28 F1 · derivative.exercise_date: The options vest in three equal annual installments beginning on June 29, 2024 (the first anniversary of the grant date). F2 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| June 29, 2023 Filed Jul 4, 2023 00:47 UTC |
DO CUONG VDirector · CEO & President
|
GrantCommon Stock | 149,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000275 · ownership.xml · nonDerivative · entry 1 DO CUONG V · CIK 0001477037 · Director · CEO & President 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 425,854 F2 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| June 21, 2023 Filed Jun 26, 2023 20:06 UTC |
DO CUONG VDirector · CEO & President
|
Exercise / conversionRestricted stock units · Derivative | 41,506 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000269 · ownership.xml · derivative · entry 2 DO CUONG V · CIK 0001477037 · Director · CEO & President 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 83,014 Underlying: Common Stock · 41,506 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 · security: Granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's Class A common stock. F4 · derivative.exercise_date: The restricted stock units were granted on June 21, 2022 and vest ratably over a three-year period on each anniversary of the grant date. F4 · derivative.expiration_date: The restricted stock units were granted on June 21, 2022 and vest ratably over a three-year period on each anniversary of the grant date. F2 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| June 21, 2023 Filed Jun 26, 2023 20:06 UTC |
DO CUONG VDirector · CEO & President
|
Exercise / conversionCommon Stock | 41,506 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-23-000269 · ownership.xml · nonDerivative · entry 1 DO CUONG V · CIK 0001477037 · Director · CEO & President 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 271,401 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: Granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| June 07, 2023 Filed Jun 15, 2023 17:15 UTC |
BERMAN RICHARD JDirector
|
SaleCommon Stock | 5,984 | $5.81 | $34,782.00 |
DisclosureSEC source: 0001520138-23-000264 · ownership.xml · nonDerivative · entry 2 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,210 Read SEC document |
| June 07, 2023 Filed Jul 4, 2023 00:45 UTC |
Palumbo Joseph MChief Medical Officer
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $5.78 | $0.00 |
DisclosureSEC source: 0001520138-23-000273 · ownership.xml · derivative · entry 1 Palumbo Joseph M · CIK 0001892610 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2033-06-06 F1 · derivative.exercise_date: The options vest 20% at grant date and in four equal annual installments beginning on June 7, 2024 (the first anniversary of the grant date). Read SEC document |
| June 07, 2023 Filed Jul 4, 2023 00:49 UTC |
KIM JOANNE WENDYChief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $5.78 | $0.00 |
DisclosureSEC source: 0001520138-23-000277 · ownership.xml · derivative · entry 1 KIM JOANNE WENDY · CIK 0001771317 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2033-06-06 F1 · derivative.exercise_date: The options vest 20% on grand date in four equal annual installments beginning on June 7, 2024 (the first anniversary of the grant date). Read SEC document |
| May 22, 2023 Filed Jun 15, 2023 17:15 UTC |
BERMAN RICHARD JDirector
|
SaleCommon Stock | 5,000 | $6.50 | $32,506.00 |
DisclosureSEC source: 0001520138-23-000264 · ownership.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,194 Read SEC document |
| March 28, 2023 Filed Apr 6, 2023 21:02 UTC |
BERMAN RICHARD JDirector
|
SaleCOMMON STOCK | 2,613 | $8.52 | $22,262.76 |
DisclosureSEC source: 0001520138-23-000187 · ownership.xml · nonDerivative · entry 3 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,194 Read SEC document |
| March 28, 2023 Filed Apr 6, 2023 21:02 UTC |
BERMAN RICHARD JDirector
|
SaleCOMMON STOCK | 5,000 | $8.52 | $42,607.50 |
DisclosureSEC source: 0001520138-23-000187 · ownership.xml · nonDerivative · entry 2 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,807 Read SEC document |
| March 27, 2023 Filed Apr 6, 2023 21:02 UTC |
BERMAN RICHARD JDirector
|
SaleCOMMON STOCK | 3,371 | $8.52 | $28,710.81 |
DisclosureSEC source: 0001520138-23-000187 · ownership.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,807 Read SEC document |
| February 16, 2023 Filed Feb 22, 2023 17:48 UTC |
Ahlem Clarence N.EVP Neuroscience Product Dev.
|
Tax withholdingCOMMON STOCK | 2,476 | $6.12 | $15,153.12 |
DisclosureSEC source: 0001520138-23-000111 · ownership.xml · nonDerivative · entry 1 Ahlem Clarence N. · CIK 0001884599 · EVP Neuroscience Product Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,148 F1 · kind: Transaction code F - Payment of tax liability by withholding securities incident to the receipt Read SEC document |
| February 16, 2023 Filed Feb 22, 2023 22:49 UTC |
DO CUONG VDirector · CEO & President
|
Tax withholdingCOMMON STOCK | 4,953 | $6.12 | $30,312.36 |
DisclosureSEC source: 0001520138-23-000112 · ownership.xml · nonDerivative · entry 1 DO CUONG V · CIK 0001477037 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · SEE FOOTNOTE Disclosed balance after: 229,895 F2 · kind: Transaction code F - Payment of tax liability by withholding securities incident to the receipt F1 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| February 16, 2023 Filed Feb 22, 2023 17:47 UTC |
READING CHRISTOPHEREVP Neuroscience R&D
|
Tax withholdingCOMMON STOCK | 2,476 | $6.12 | $15,153.12 |
DisclosureSEC source: 0001520138-23-000110 · ownership.xml · nonDerivative · entry 1 READING CHRISTOPHER · CIK 0001239658 · EVP Neuroscience R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,148 F1 · kind: Transaction code F - Payment of tax liability by withholding securities incident to the receipt Read SEC document |
| February 16, 2023 Filed Feb 23, 2023 00:31 UTC |
Palumbo Joseph MChief Medical Officer
|
Tax withholdingCOMMON STOCK | 2,476 | $6.12 | $15,153.12 |
DisclosureSEC source: 0001520138-23-000115 · ownership.xml · nonDerivative · entry 1 Palumbo Joseph M · CIK 0001892610 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,148 F1 · kind: Transaction code F - Payment of tax liability by withholding securities incident to the receipt Read SEC document |
| February 16, 2023 Filed Feb 22, 2023 22:49 UTC |
KIM JOANNE WENDYChief Financial Officer
|
Tax withholdingCOMMON STOCK | 2,476 | $6.12 | $15,153.12 |
DisclosureSEC source: 0001520138-23-000113 · ownership.xml · nonDerivative · entry 1 KIM JOANNE WENDY · CIK 0001771317 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,148 F1 · kind: Transaction code F - Payment of tax liability by withholding securities incident to the receipt Read SEC document |
| February 16, 2023 Filed Feb 22, 2023 22:47 UTC |
MARKHAM PENELOPEEVP Liver Cirrhosis R&D
|
Tax withholdingCOMMON STOCK | 2,476 | $6.12 | $15,153.12 |
DisclosureSEC source: 0001520138-23-000109 · ownership.xml · nonDerivative · entry 1 MARKHAM PENELOPE · CIK 0001770555 · EVP Liver Cirrhosis R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,841 F1 · kind: Transaction code F - Payment of tax liability by withholding securities incident to the receipt Read SEC document |
| February 16, 2023 Filed Jul 12, 2024 22:01 UTC |
DO CUONG VDirector · President & CEO
|
Tax withholdingCommon stock | 4,953 | $5.51 | $27,291.03 |
DisclosureSEC source: 0001520138-24-000239 · ownership.xml · nonDerivative · entry 1 DO CUONG V · CIK 0001477037 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 430,901 F3 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| February 16, 2023 Filed Jul 12, 2024 22:01 UTC |
KIM JOANNE WENDYChief Financial Officer
|
Tax withholdingCommon Stock | 2,476 | $5.51 | $13,642.76 |
DisclosureSEC source: 0001520138-24-000240 · ownership.xml · nonDerivative · entry 1 KIM JOANNE WENDY · CIK 0001771317 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,672 Read SEC document |
| February 16, 2023 Filed Jul 12, 2024 22:02 UTC |
Palumbo Joseph MChief Medical Officer
|
Tax withholdingCommon Stock | 2,476 | $5.51 | $13,642.76 |
DisclosureSEC source: 0001520138-24-000241 · ownership.xml · nonDerivative · entry 1 Palumbo Joseph M · CIK 0001892610 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,672 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 16:21 UTC |
PEIZER TERREN SDirector · 10% owner
|
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 65,000 | $0.00 Strike: $6.12 | $0.00 |
DisclosureSEC source: 0001520138-23-000053 · ownership.xml · derivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: COMMON STOCK · 65,000 shares Expires 2032-11-23 F1 · security: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options vest in four equal installments over a one-year period ending November 9, 2023. Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 16:32 UTC |
GORLIN STEVEDirector
|
GrantCOMMON STOCK | 34,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000061 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,240 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 16:22 UTC |
BERMAN RICHARD JDirector
|
GrantCOMMON STOCK | 43,578 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000054 · ownership.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,178 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 16:55 UTC |
ROGICH SIGMUNDDirector
|
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 55,000 | $0.00 Strike: $6.12 | $0.00 |
DisclosureSEC source: 0001520138-23-000062 · ownership.xml · derivative · entry 1 ROGICH SIGMUND · CIK 0001168218 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: COMMON STOCK · 55,000 shares Expires 2032-11-23 F1 · security: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options vest in four equal installments over a one-year period ending November 9, 2023. Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 16:22 UTC |
Ahlem Clarence N.EVP Neuroscience Product Dev.
|
GrantCOMMON STOCK | 39,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000055 · ownership.xml · nonDerivative · entry 1 Ahlem Clarence N. · CIK 0001884599 · EVP Neuroscience Product Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,624 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 16:25 UTC |
Sherman Michael EdwardDirector
|
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 75,000 | $0.00 Strike: $6.12 | $0.00 |
DisclosureSEC source: 0001520138-23-000060 · ownership.xml · derivative · entry 1 Sherman Michael Edward · CIK 0001730468 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: COMMON STOCK · 75,000 shares Expires 2032-11-23 F1 · security: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options vest in four equal installments over a one-year period ending November 9, 2023. Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 21:20 UTC |
DO CUONG VDirector · CEO & President
|
GrantCOMMON STOCK | 79,248 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000051 · ownership.xml · nonDerivative · entry 1 DO CUONG V · CIK 0001477037 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · SEE FOOTNOTE Disclosed balance after: 234,848 F1 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 16:24 UTC |
READING CHRISTOPHEREVP Neuroscience R&D
|
GrantCOMMON STOCK | 39,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000058 · ownership.xml · nonDerivative · entry 1 READING CHRISTOPHER · CIK 0001239658 · EVP Neuroscience R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,624 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 21:24 UTC |
Hariri Robert JDirector
|
GrantCOMMON STOCK | 34,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000057 · ownership.xml · nonDerivative · entry 1 Hariri Robert J · CIK 0001398815 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,240 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 21:25 UTC |
Lang James PaulDirector
|
GrantCOMMON STOCK | 43,578 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000059 · ownership.xml · nonDerivative · entry 1 Lang James Paul · CIK 0001703090 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,622 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 21:23 UTC |
Palumbo Joseph MChief Medical Officer
|
GrantCOMMON STOCK | 39,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000056 · ownership.xml · nonDerivative · entry 1 Palumbo Joseph M · CIK 0001892610 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,624 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 21:21 UTC |
KIM JOANNE WENDYChief Financial Officer
|
GrantCOMMON STOCK | 39,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000052 · ownership.xml · nonDerivative · entry 1 KIM JOANNE WENDY · CIK 0001771317 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,624 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 21:20 UTC |
MARKHAM PENELOPEEVP Liver Cirrhosis R&D
|
GrantCOMMON STOCK | 39,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000050 · ownership.xml · nonDerivative · entry 1 MARKHAM PENELOPE · CIK 0001770555 · EVP Liver Cirrhosis R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,317 Read SEC document |
| August 15, 2022 Filed Aug 16, 2022 17:11 UTC |
PEIZER TERREN SDirector · 10% owner
|
GrantWarrants (right to buy) · Derivative | 7,272,728 | Not disclosed Strike: $1.82 | Not disclosed |
DisclosureSEC source: 0001520138-22-000362 · ownership.xml · derivative · entry 2 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 7,272,728 Underlying: Common Stock · 7,272,728 shares Expires 2027-08-15 F1 · price: On July 15, 2022, BioVie Inc. (the "Issuer") entered into a securities purchase agreement with Acuitas, pursuant to which the Issuer agreed to issue, for an aggregate purchase price of $6,000,000.60, (i) 3,636,364 shares (the "PIPE Shares") of the Issuer's common stock at a price of $1.65 per share, and (ii) a warrant to purchase 7,272,728 shares of the Issuer's common stock at an exercise price of $1.82, with a term of exercise of five years. The Issuer issued the shares and warrants to Acuitas on August 15, 2022.3,636,364 shares (the "PIPE Shares") of the Issuer's common stock at a price of $1.65 per share, and (ii) a warrant to purchase 7,272,728 shares of the Issuer's common stock at an exercise price of $1.82, with a term of exercise of five years. The Issuer issued the shares and warrants to Acuitas on August 15, 2022. F2 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| August 15, 2022 Filed Aug 16, 2022 17:11 UTC |
PEIZER TERREN SDirector · 10% owner
|
GrantCommon Stock | 3,636,364 | $1.65 | $6,000,000.60 |
DisclosureSEC source: 0001520138-22-000362 · ownership.xml · nonDerivative · entry 1 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Acuitas Disclosed balance after: 23,166,210 F1 · kind: On July 15, 2022, BioVie Inc. (the "Issuer") entered into a securities purchase agreement with Acuitas, pursuant to which the Issuer agreed to issue, for an aggregate purchase price of $6,000,000.60, (i) 3,636,364 shares (the "PIPE Shares") of the Issuer's common stock at a price of $1.65 per share, and (ii) a warrant to purchase 7,272,728 shares of the Issuer's common stock at an exercise price of $1.82, with a term of exercise of five years. The Issuer issued the shares and warrants to Acuitas on August 15, 2022.3,636,364 shares (the "PIPE Shares") of the Issuer's common stock at a price of $1.65 per share, and (ii) a warrant to purchase 7,272,728 shares of the Issuer's common stock at an exercise price of $1.82, with a term of exercise of five years. The Issuer issued the shares and warrants to Acuitas on August 15, 2022. F2 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 21, 2022 Filed Jul 7, 2022 20:01 UTC |
DO CUONG VDirector · President & CEO
|
GrantRestricted Stock Unit · Derivative | 124,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-22-000280 · ownership.xml · derivative · entry 2 DO CUONG V · CIK 0001477037 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 124,520 Underlying: Common Stock · 124,520 shares Expires not disclosed F1 · security: Granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. Options granted by Compensation Committee on June 21, 2022. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's Class A common stock. F5 · derivative.exercise_date: The restricted stock units vest ratably over a three-year period on each anniversary of the grant date. F5 · derivative.expiration_date: The restricted stock units vest ratably over a three-year period on each anniversary of the grant date. F3 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| June 21, 2022 Filed Jul 7, 2022 20:01 UTC |
DO CUONG VDirector · President & CEO
|
GrantStock Option (right to buy) · Derivative | 124,520 | $0.00 Strike: $1.69 | $0.00 |
DisclosureSEC source: 0001520138-22-000280 · ownership.xml · derivative · entry 1 DO CUONG V · CIK 0001477037 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 124,520 Underlying: Common Stock · 124,520 shares Expires 2032-06-21 F1 · security: Granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. Options granted by Compensation Committee on June 21, 2022. F2 · derivative.exercise_date: The options vest over a three-year period on each anniversary of the grant date. F3 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| April 05, 2022 Filed Apr 20, 2022 16:47 UTC |
GORLIN STEVEDirector
|
GrantStock Option (right to buy) · Derivative | 122,250 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001062993-22-010540 · form4.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,250 Underlying: Common Stock · 122,250 shares Expires 2032-04-05 F1 · security: Options granted pursuant to the Company???s 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options were 25% vested upon grant, with the remaining 75% vesting ratably over a three-year period on each anniversary of the grant date. Read SEC document |
| April 05, 2022 Filed Apr 20, 2022 16:47 UTC |
BERMAN RICHARD JDirector
|
GrantStock Option (right to buy) · Derivative | 129,050 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001062993-22-010538 · form4.xml · derivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,050 Underlying: Common Stock · 129,050 shares Expires 2032-04-05 F1 · security: Options granted pursuant to the Company???s 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options were 25% vested upon grant, with the remaining 75% vesting ratably over a three-year period on each anniversary of the grant date. Read SEC document |
| April 05, 2022 Filed Apr 20, 2022 21:45 UTC |
Sherman Michael EdwardDirector
|
GrantStock Option (Right to buy) · Derivative | 130,150 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001520138-22-000161 · ownership.xml · derivative · entry 1 Sherman Michael Edward · CIK 0001730468 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,150 Underlying: Common Stock · 130,150 shares Expires 2032-04-05 F1 · security: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options were 25% vested upon grant, with the remaining 75% vesting ratably over a three-year period on each anniversary of the grant date. Read SEC document |
| April 05, 2022 Filed Apr 20, 2022 20:46 UTC |
Hariri Robert JDirector
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GrantStock Option (right to buy) · Derivative | 122,250 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001062993-22-010536 · form4.xml · derivative · entry 1 Hariri Robert J · CIK 0001398815 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,250 Underlying: Common Stock · 122,250 shares Expires 2032-04-05 F1 · security: Options granted pursuant to the Company???s 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options were 25% vested upon grant, with the remaining 75% vesting ratably over a three-year period on each anniversary of the grant date. Read SEC document |
| April 05, 2022 Filed Apr 21, 2022 12:47 UTC |
ROGICH SIGMUNDDirector
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GrantStock Option (right to buy) · Derivative | 123,400 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001520138-22-000165 · ownership.xml · derivative · entry 1 ROGICH SIGMUND · CIK 0001168218 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,400 Underlying: Common Stock · 123,400 shares Expires 2032-04-05 F1 · security: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options were 25% vested upon grant, with the remaining 75% vesting ratably over a three-year period on each anniversary of the grant date. Read SEC document |
| April 05, 2022 Filed Apr 25, 2022 15:48 UTC |
Lang James PaulDirector
|
GrantStock Option (right to buy) · Derivative | 127,900 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001520138-22-000171 · ownership.xml · derivative · entry 1 Lang James Paul · CIK 0001703090 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,900 Underlying: Common Stock · 127,900 shares Expires 2032-04-05 F1 · security: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options were 25% vested upon grant, with the remaining 75% vesting ratably over a three-year period on each anniversary of the grant date. Read SEC document |
| February 02, 2022 Filed Feb 16, 2022 22:24 UTC |
Adams Jonathan MEVP Liver Cirrhosis Programs
|
GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-22-000078 · ownership.xml · nonDerivative · entry 1 Adams Jonathan M · CIK 0001749582 · EVP Liver Cirrhosis Programs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,630 Read SEC document |
| February 01, 2022 Filed Feb 17, 2022 21:11 UTC |
Palumbo Joseph MChief Medical Officer
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GrantStock Option (right to buy) · Derivative | 124,167 | $0.00 Strike: $3.20 | $0.00 |
DisclosureSEC source: 0001892610-22-000003 · edgar.xml · derivative · entry 1 Palumbo Joseph M · CIK 0001892610 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,167 Underlying: Common Stock · 124,167 shares Expires 2032-01-31 F1 · derivative.exercise_date: This option was 20% vested upon grant, with an additional 16% on each of the first five anniversaries of the grant. 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.