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 |
|---|---|---|---|---|---|---|
| December 31, 2021 Filed Jan 25, 2022 17:31 UTC |
DO CUONG VDirector · President & CEO
|
GrantCommon Stock | 21,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-22-000029 · ownership.xml · nonDerivative · entry 1 DO CUONG V · CIK 0001477037 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,759 Read SEC document |
| December 07, 2021 Filed Dec 9, 2021 21:46 UTC | PurchaseClass A common stock, par value $0.0001 | 2,000 | $5.40 | $10,798.00 |
DisclosureSEC source: 0001520138-21-000777 · ownership.xml · nonDerivative · entry 1 KIM JOANNE WENDY · CIK 0001771317 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
|
| August 20, 2021 Filed Sep 16, 2021 18:38 UTC |
DO CUONG VDirector · CEO & President
|
GrantStock Option (right to buy) · Derivative | 745,000 | $0.00 Strike: $7.74 | $0.00 |
DisclosureSEC source: 0001520138-21-000556 · ownership.xml · derivative · entry 1 Do Cuong V · CIK 0001477037 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 745,000 Underlying: COMMON STOCK · 745,000 shares Expires 2031-08-19 F2 · derivative.exercise_date: This option was 20% vested upon grant, with an additional 16% on each of the first five anniversaries of the grant. F1 · ownership.nature: Securities are held in the name of Do & Rickles Investments LLC. Read SEC document |
| August 20, 2021 Filed Sep 16, 2021 16:52 UTC |
MARKHAM PENELOPEEVP Liver Cirrhosis R&D
|
GrantStock Option (right to buy) · Derivative | 124,167 | $0.00 Strike: $7.74 | $0.00 |
DisclosureSEC source: 0001520138-21-000552 · ownership.xml · derivative · entry 1 MARKHAM PENELOPE · CIK 0001770555 · EVP Liver Cirrhosis R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,167 Underlying: Common Stock · 124,167 shares Expires 2031-08-19 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 |
| August 20, 2021 Filed Sep 16, 2021 16:50 UTC |
Adams Jonathan MEVP Liver Cirrhosis Programs
|
GrantStock Option (right to buy) · Derivative | 124,167 | $0.00 Strike: $7.74 | $0.00 |
DisclosureSEC source: 0001520138-21-000550 · ownership.xml · derivative · entry 1 Adams Jonathan M · CIK 0001749582 · EVP Liver Cirrhosis Programs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,167 Underlying: COMMON STOCK · 124,167 shares Expires 2031-08-19 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 |
| August 20, 2021 Filed Sep 16, 2021 16:47 UTC |
KIM JOANNE WENDYChief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 124,167 | $0.00 Strike: $7.74 | $0.00 |
DisclosureSEC source: 0001520138-21-000548 · ownership.xml · derivative · entry 1 KIM JOANNE WENDY · CIK 0001771317 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,167 Underlying: COMMON STOCK · 124,167 shares Expires 2031-08-19 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 |
| August 20, 2021 Filed Sep 28, 2021 18:13 UTC |
Ahlem Clarence N.EVP Neuroscience Product Dev.
|
GrantStock Option (right to buy) · Derivative | 124,167 | $0.00 Strike: $7.74 | $0.00 |
DisclosureSEC source: 0001520138-21-000588 · ownership.xml · derivative · entry 1 Ahlem Clarence N. · CIK 0001884599 · EVP Neuroscience Product Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,167 Underlying: COMMON STOCK · 124,167 shares Expires 2031-08-19 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 |
| August 20, 2021 Filed Oct 8, 2021 14:59 UTC |
READING CHRISTOPHEREVP Neuroscience R&D
|
GrantStock Option (right to buy) · Derivative | 124,167 | $0.00 Strike: $7.74 | $0.00 |
DisclosureSEC source: 0001520138-21-000612 · ownership.xml · derivative · entry 1 READING CHRISTOPHER · CIK 0001239658 · EVP Neuroscience R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,167 Underlying: Common Stock · 124,167 shares Expires 2031-08-19 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 |
| June 16, 2021 Filed Oct 29, 2021 21:09 UTC |
Adams Jonathan MEVP Liver Cirrhosis Programs
|
GiftCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-21-000689 · ownership.xml · nonDerivative · entry 1 Adams Jonathan M · CIK 0001749582 · EVP Liver Cirrhosis Programs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,630 Read SEC document |
| June 10, 2021 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
GrantCommon Stock | 8,361,308 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 9 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 19,529,846 F9 · price: The Issuer issued these shares to NeurMedix, Inc. ("NeurMedix") in partial consideration for the acquisition of certain assets from NeurMedix and the assumption of certain liabilities of NeurMedix pursuant to the Asset Purchase Agreement, dated April 27, 2021, by and among the Issuer, NeurMedix, Inc. and Acuitas. In connection with the closing, NeurMedix assigned the rights to receive such shares to Acuitas. F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| December 18, 2020 Filed Mar 4, 2021 20:00 UTC |
ROGICH SIGMUNDDirector
|
Grantoptions · Derivative | 97,300 | $13.91 Strike: $13.91 | $1,353,443.00 |
DisclosureSEC source: 0001168218-21-000001 · primary_doc.xml · derivative · entry 1 ROGICH SIGMUND · CIK 0001168218 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,300 Underlying: common stock · 97,300 shares Expires 2023-12-18 F1 · security: non-qualified options issued from company 2019 Omnibus Equity Incentive Plan, subject to continuation of service to company F2 · derivative.exercise_date: 25% vest on grant date; remaining 75% vest over 3-year period on 1st, 2nd, 3rd anniversary of grant date Read SEC document |
| December 18, 2020 Filed Mar 4, 2021 20:15 UTC |
Sherman Michael EdwardDirector
|
Grantoptions · Derivative | 103,100 | $13.91 Strike: $13.91 | $1,434,121.00 |
DisclosureSEC source: 0001730468-21-000002 · primary_doc.xml · derivative · entry 1 Sherman Michael Edward · CIK 0001730468 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,906 Underlying: common stock · 103,100 shares Expires 2023-12-18 F1 · security: non-qualified options issued from company 2019 Omnibus Equity Incentive Plan, subject to continuation of service to company F2 · derivative.exercise_date: 25% vest on grant date; remaining 75% vest over 3-year period on 1st, 2nd, 3rd anniversary of grant date Read SEC document |
| December 18, 2020 Filed Mar 5, 2021 00:02 UTC |
DO CUONG VDirector
|
Grantoptions · Derivative | 97,500 | $13.91 Strike: $13.91 | $1,356,225.00 |
DisclosureSEC source: 0001477037-21-000002 · primary_doc.xml · derivative · entry 1 Do Cuong V · CIK 0001477037 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Shares are held in the name of Do & Rickles Investments LLC Disclosed balance after: 171,366 Underlying: common stock · 97,500 shares Expires 2023-12-18 F1 · security: non-qualified options issued from company 2019 Omnibus Equity Incentive Plan, subject to continuation of service to company F2 · derivative.exercise_date: 25% vest on grant date; remaining 75% vest over 3-year period on 1st, 2nd, 3rd anniversary of grant date Read SEC document |
| December 18, 2020 Filed Mar 5, 2021 00:47 UTC |
Lang James PaulDirector
|
Grantoptions · Derivative | 99,000 | $13.91 Strike: $13.91 | $1,377,090.00 |
DisclosureSEC source: 0001703090-21-000002 · primary_doc.xml · derivative · entry 1 Lang James Paul · CIK 0001703090 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,988 Underlying: common stock · 99,000 shares Expires 2023-12-18 F1 · security: non-qualified options issued from company 2019 Omnibus Equity Incentive Plan, subject to continuation of service to company F2 · derivative.exercise_date: 25% vest on grant date; remaining 75% vest over 3-year period on 1st, 2nd, 3rd anniversary of grant date Read SEC document |
| December 18, 2020 Filed Mar 5, 2021 14:42 UTC |
GORLIN STEVEDirector
|
Grantoptions · Derivative | 96,300 | $13.91 Strike: $13.91 | $1,339,533.00 |
DisclosureSEC source: 0001730468-21-000003 · primary_doc.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,300 Underlying: common stock · 96,300 shares Expires 2023-12-18 F1 · security: non-qualified options issued from company 2019 Omnibus Equity Incentive Plan, subject to continuation of service to company F2 · derivative.exercise_date: 25% vest on grant date; remaining 75% vest over 3-year period on 1st, 2nd, 3rd anniversary of grant date Read SEC document |
| December 18, 2020 Filed Sep 28, 2021 20:25 UTC |
Hariri Robert JDirector
|
GrantStock Option (right to buy) · Derivative | 95,900 | $0.00 Strike: $13.91 | $0.00 |
DisclosureSEC source: 0001520138-21-000583 · ownership.xml · derivative · entry 1 Hariri Robert J · CIK 0001398815 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,900 Underlying: Common Stock · 95,900 shares Expires 2025-12-18 F1 · derivative.exercise_date: This option was 25% vested upon grant, with an additional 25% on each of the first three anniversaries of the grant. Read SEC document |
| December 18, 2020 Filed Sep 29, 2021 10:56 UTC |
BERMAN RICHARD JDirector
|
GrantStock Option (right to buy) · Derivative | 102,500 | $0.00 Strike: $13.91 | $0.00 |
DisclosureSEC source: 0001520138-21-000592 · ownership.xml · derivative · entry 3 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,500 Underlying: Common Stock · 102,500 shares Expires 2025-12-18 F1 · derivative.exercise_date: This option was 25% vested upon grant, with an additional 25% on each of the first three anniversaries of the grant. Read SEC document |
| November 03, 2020 Filed Dec 15, 2020 15:01 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 2,430 | $7.95 | $19,318.50 |
DisclosureSEC source: 0001520138-20-000616 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,100 Read SEC document |
| October 30, 2020 Filed Dec 15, 2020 15:00 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 2,570 | $7.97 | $20,482.90 |
DisclosureSEC source: 0001520138-20-000614 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,670 Read SEC document |
| October 21, 2020 Filed Oct 22, 2020 15:10 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 5,000 | $9.19 | $45,950.00 |
DisclosureSEC source: 0001520138-20-000504 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 100 | $10.27 | $1,027.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 5 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 20,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 1,000 | $10.18 | $10,180.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 4 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 21,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 4,000 | $10.19 | $40,760.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 25,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 5,000 | $10.10 | $50,500.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 5,000 | $10.01 | $50,050.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,100 Read SEC document |
| October 13, 2020 Filed Oct 21, 2020 20:43 UTC |
Sherman Michael EdwardDirector
|
Grantoptions · Derivative | 800 | $9.90 Strike: $9.90 | $7,920.00 |
DisclosureSEC source: 0001771317-20-000007 · primary_doc.xml · derivative · entry 1 Sherman Michael Edward · CIK 0001730468 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,806 Underlying: common stock · 800 shares Expires 2025-10-13 Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 14:07 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 282 | $9.61 | $2,710.02 |
DisclosureSEC source: 0001520138-20-000484 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| October 07, 2020 Filed Oct 14, 2020 14:05 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 4,718 | $9.42 | $44,443.56 |
DisclosureSEC source: 0001520138-20-000482 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,718 Read SEC document |
| October 01, 2020 Filed Oct 22, 2020 00:35 UTC |
KIM JOANNE WENDYChief Financial Officer
|
Grantoptions · Derivative | 800 | $9.54 Strike: $9.54 | $7,632.00 |
DisclosureSEC source: 0001771317-20-000006 · primary_doc.xml · derivative · entry 1 KIM JOANNE WENDY · CIK 0001771317 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,400 Underlying: common stock · 800 shares Expires 2025-10-01 Read SEC document |
| September 22, 2020 Filed Oct 14, 2020 13:49 UTC |
GORLIN STEVEDirector
|
PurchaseClass A common stock, par value $0.0001 | 15,000 | $10.00 | $150,000.00 |
DisclosureSEC source: 0001520138-20-000480 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
Exercise / conversionWarrants (right to buy) · Derivative | 299,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 19 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 299,750 shares Expires 2025-07-13 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. F11 · derivative.exercise_price: Exercisable at the lower of $4 (adjusted to reflect the Reverse Stock Split) or 80% of the offering price to the public in the Uplisting Offering. F8 · price: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
Exercise / conversionWarrants (right to buy) · Derivative | 1,250,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 18 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,250,000 shares Expires 2024-09-24 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. F11 · derivative.exercise_price: Exercisable at the lower of $4 (adjusted to reflect the Reverse Stock Split) or 80% of the offering price to the public in the Uplisting Offering. F2 · shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F8 · price: See Exhibit 99.1 F2 · derivative.underlying_shares: Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
Disposition to issuer10% Convertible Debenture due 2020 · Derivative | Not disclosed | $0.00 | $2,000,000.00 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 17 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires 2020-09-24 F12 · derivative.exercise_price: On September 22, 2020, the Issuer paid approximately $1.8 million to Acuitas satisfy all amounts owed on the Debenture due September 24, 2020. F12 · kind: On September 22, 2020, the Issuer paid approximately $1.8 million to Acuitas satisfy all amounts owed on the Debenture due September 24, 2020. F6 · reported_value: See Exhibit 99.1 F6 · derivative.underlying_shares: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
Exercise / conversionCommon Stock | 1,549,750 | $0.00 | $154.98 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 8 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,168,538 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. F8 · kind: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| September 22, 2020 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
GrantCommon Stock | 5,359,832 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 7 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,618,788 F8 · kind: See Exhibit 99.1 F8 · price: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| July 13, 2020 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
GrantWarrants (right to buy) · Derivative | 299,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · derivative · entry 16 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 299,750 Underlying: Common Stock · 299,750 shares Expires 2025-07-13 F6 · derivative.exercise_price: See Exhibit 99.1 F11 · derivative.exercise_price: Exercisable at the lower of $4 (adjusted to reflect the Reverse Stock Split) or 80% of the offering price to the public in the Uplisting Offering. F6 · price: See Exhibit 99.1 F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| June 16, 2020 Filed Oct 23, 2020 20:19 UTC |
GORLIN STEVEDirector
|
Othernone | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001807148-20-000002 · primary_doc.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: FORM 3 NOT PREVIOUSLY REPORTED; MR. GORLIN BECAME A DIRECTOR ONLY. NO SECURITIES WERE BENEFICIALLY HELD AT THIS TIME. Read SEC document |
| June 16, 2020 Filed Nov 16, 2020 15:09 UTC |
ROGICH SIGMUNDDirector
|
Othernone | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001168218-20-000002 · primary_doc.xml · nonDerivative · entry 1 ROGICH SIGMUND · CIK 0001168218 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: FORM 3 NOT PREVIOUSLY REPORTED; MR. ROGICH BECAME A DIRECTOR ONLY. NO SECURITIES WERE BENEFICIALLY HELD AT THIS TIME. Read SEC document |
| January 19, 2020 Filed Oct 22, 2020 00:03 UTC |
DO CUONG VDirector
|
Grantoptions · Derivative | 800 | $2.80 Strike: $2.80 | $2,240.00 |
DisclosureSEC source: 0001771317-20-000003 · primary_doc.xml · derivative · entry 3 Do Cuong V · CIK 0001477037 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · see footnote Disclosed balance after: 73,866 Underlying: common stock · 800 shares Expires 2025-01-19 F3 · balance_after: On 11/21/2019 a reverse stock split was effected; derivative securities are post-split calculations. F4 · ownership.nature: Shares are held in the name of Do & Rickes Investments LLC Read SEC document |
| January 19, 2020 Filed Oct 21, 2020 23:40 UTC |
Adams Jonathan MChief Operating Officer
|
Grantoptions · Derivative | 800 | $2.80 Strike: $2.80 | $2,240.00 |
DisclosureSEC source: 0001771317-20-000002 · primary_doc.xml · derivative · entry 1 Adams Jonathan M · CIK 0001749582 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,364 Underlying: common stock · 800 shares Expires 2025-01-19 F1 · balance_after: On 11/21/2019 a reverse stock split was effected; derivative securities are post-split calculations. Read SEC document |
| January 19, 2020 Filed Oct 22, 2020 00:18 UTC |
Lang James PaulDirector
|
Grantoptions · Derivative | 800 | $2.80 Strike: $2.80 | $2,240.00 |
DisclosureSEC source: 0001771317-20-000004 · primary_doc.xml · derivative · entry 3 Lang James Paul · CIK 0001703090 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,988 Underlying: common stock · 800 shares Expires 2025-01-19 F2 · balance_after: On 11/21/2019 a reverse stock split was effected; derivative securities are post-split calculations. Read SEC document |
| January 19, 2020 Filed Oct 21, 2020 22:11 UTC |
MARKHAM PENELOPEChief Science Officer
|
Grantoptions · Derivative | 800 | $2.80 Strike: $2.80 | $2,240.00 |
DisclosureSEC source: 0001770555-20-000001 · primary_doc.xml · derivative · entry 1 MARKHAM PENELOPE · CIK 0001770555 · Chief Science Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200 Underlying: common stock · 800 shares Expires 2025-01-19 F1 · balance_after: On 11/21/2019 a reverse stock split was effected; derivative securities are post-split calculations. Read SEC document |
| January 19, 2020 Filed Sep 29, 2021 10:56 UTC |
BERMAN RICHARD JDirector
|
GrantStock Option (right to buy) · Derivative | 800 | $0.00 Strike: $2.80 | $0.00 |
DisclosureSEC source: 0001520138-21-000592 · ownership.xml · derivative · entry 2 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800 Underlying: Common Stock · 800 shares Expires 2025-01-19 Read SEC document |
| January 02, 2020 Filed Oct 21, 2020 20:26 UTC |
Sherman Michael EdwardDirector
|
GrantCommon Stock | 1,600 | $3.50 | $5,600.00 |
DisclosureSEC source: 0001771317-20-000005 · primary_doc.xml · nonDerivative · entry 1 Sherman Michael Edward · CIK 0001730468 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,679 F1 · balance_after: On 11/21/2019 a reverse stock split was effected; total shares indicated are post-split. Read SEC document |
| January 02, 2020 Filed Oct 22, 2020 00:03 UTC |
DO CUONG VDirector
|
GrantCommon Stock | 1,600 | $3.50 | $5,600.00 |
DisclosureSEC source: 0001771317-20-000003 · primary_doc.xml · nonDerivative · entry 1 Do Cuong V · CIK 0001477037 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · see footnote Disclosed balance after: 96,841 F1 · balance_after: On 11/21/2019 a reverse stock split was effected; total shares indicated are post-split. F2 · ownership.nature: Shares are held in the name of Do & Rickles Investments LLC Read SEC document |
| January 02, 2020 Filed Oct 22, 2020 00:18 UTC |
Lang James PaulDirector
|
GrantCommon Stock | 1,600 | $3.50 | $5,600.00 |
DisclosureSEC source: 0001771317-20-000004 · primary_doc.xml · nonDerivative · entry 1 Lang James Paul · CIK 0001703090 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,044 F1 · balance_after: On 11/21/2019 a reverse stock split was effected; total shares indicated are post-split. Read SEC document |
| January 02, 2020 Filed Sep 29, 2021 10:56 UTC |
BERMAN RICHARD JDirector
|
GrantCommon Stock | 1,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-21-000592 · ownership.xml · nonDerivative · entry 1 BERMAN RICHARD J · CIK 0001111620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,600 Read SEC document |
| January 02, 2020 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
GrantCommon Stock | 1,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 6 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,258,956 F4 · shares: The Issuer granted 1,600 shares of common stock to the reporting person as compensation for his service on the Issuer's board of directors. Read SEC document |
| January 02, 2020 Filed Aug 26, 2022 17:10 UTC |
PEIZER TERREN SDirector · 10% owner
|
GrantCommon Stock | 4,422 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520138-22-000381 · ownership.xml · nonDerivative · entry 5 PEIZER TERREN S · CIK 0000904534 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,257,356 F7 · price: The Issuer paid $13,487 of accrued interest on the Debenture through the issuance of 4,422 shares of the Issuer's common stock to Acuitas. F3 · ownership.nature: Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. Read SEC document |
| October 13, 2019 Filed Oct 21, 2020 20:26 UTC |
Sherman Michael EdwardDirector
|
Grantoptions · Derivative | 800 | $7.50 Strike: $7.50 | $6,000.00 |
DisclosureSEC source: 0001771317-20-000005 · primary_doc.xml · derivative · entry 2 Sherman Michael Edward · CIK 0001730468 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,006 Underlying: common stock · 800 shares Expires 2024-10-13 F2 · balance_after: On 11/21/2019 a reverse stock split was effected; derivative securities are post-split calculations. 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.