Last 12 months
Inside the activity.
0 purchase rows · 37 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 25 |
| Dec 2025 | 0 | 4 |
| Jan 2026 | 0 | 1 |
| Feb 2026 | 0 | 4 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 1 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 2 |
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 |
|---|---|---|---|---|---|---|
| May 21, 2018 Filed May 23, 2018 22:04 UTC |
Cheng Pam P.Director
|
SaleCommon Stock | 17,578 | $13.82 | $242,975.42 |
DisclosureSEC source: 0001140361-18-025405 · doc1.xml · nonDerivative · entry 1 Cheng Pam P. · CIK 0001623746 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,356 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 11, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $13.30 to $14.275, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| May 17, 2018 Filed May 18, 2018 17:54 UTC |
Aldridge Michael D.See Remarks
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0001140361-18-024737 · doc1.xml · derivative · entry 3 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,000 Underlying: Common Stock · 22,000 shares Expires 2026-10-15 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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F3 · derivative.exercise_date: Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date. Read SEC document |
| May 17, 2018 Filed May 18, 2018 17:54 UTC |
Aldridge Michael D.See Remarks
|
SaleCommon Stock | 22,000 | $13.54 | $297,864.60 |
DisclosureSEC source: 0001140361-18-024737 · doc1.xml · nonDerivative · entry 2 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $13.30 to $14.10, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| May 17, 2018 Filed May 18, 2018 17:54 UTC |
Aldridge Michael D.See Remarks
|
Exercise / conversionCommon Stock | 22,000 | $4.37 | $96,140.00 |
DisclosureSEC source: 0001140361-18-024737 · doc1.xml · nonDerivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. Read SEC document |
| May 15, 2018 Filed May 15, 2018 23:06 UTC |
Lalonde JamesSVP, R&D
|
SaleCommon Stock | 10,000 | $12.90 | $129,030.00 |
DisclosureSEC source: 0001140361-18-024057 · doc1.xml · nonDerivative · entry 2 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,066 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F3 · price: This transaction was executed in multiple trades in prices ranging from $12.775 to $13.125, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| May 15, 2018 Filed May 16, 2018 20:59 UTC |
Aldridge Michael D.See Remarks
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 22,000 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0001140361-18-024289 · doc1.xml · derivative · entry 3 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,000 Underlying: Common Stock · 22,000 shares Expires 2026-10-15 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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F3 · derivative.exercise_date: Option vests and becomes exercisable with respect to 25% of the shares subject thereto on October 16, 2017, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 16, 2020 contingent upon the continued employment of the Reporting Person through each such vesting date. Read SEC document |
| May 15, 2018 Filed May 16, 2018 20:59 UTC |
Aldridge Michael D.See Remarks
|
SaleCommon Stock | 22,000 | $12.91 | $283,945.20 |
DisclosureSEC source: 0001140361-18-024289 · doc1.xml · nonDerivative · entry 2 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $12.775 to $13.125, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| May 15, 2018 Filed May 16, 2018 20:59 UTC |
Aldridge Michael D.See Remarks
|
Exercise / conversionCommon Stock | 22,000 | $4.37 | $96,140.00 |
DisclosureSEC source: 0001140361-18-024289 · doc1.xml · nonDerivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,000 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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. Read SEC document |
| May 14, 2018 Filed May 15, 2018 23:06 UTC |
Lalonde JamesSVP, R&D
|
SaleCommon Stock | 10,000 | $13.09 | $130,900.00 |
DisclosureSEC source: 0001140361-18-024057 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,066 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 8, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $12.95 to $13.25, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| April 03, 2018 Filed Apr 5, 2018 17:11 UTC |
Smith David VDirector
|
SaleCommon Stock | 6,000 | $10.37 | $62,212.80 |
DisclosureSEC source: 0001140361-18-017389 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 56,679 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.125 to $10.60, 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 ranges set forth in this footnote. F3 · ownership.nature: Shares held by The Smith Family Trust. Read SEC document |
| March 29, 2018 Filed Mar 30, 2018 11:56 UTC |
BARUCH THOMAS RDirector
|
SaleCommon Stock | 12,500 | $11.06 | $138,195.00 |
DisclosureSEC source: 0001140361-18-016106 · doc1.xml · nonDerivative · entry 2 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,170 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.80 to $11.20, 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 ranges set forth in this footnote. Read SEC document |
| March 28, 2018 Filed Mar 30, 2018 11:56 UTC |
BARUCH THOMAS RDirector
|
SaleCommon Stock | 12,500 | $11.05 | $138,122.50 |
DisclosureSEC source: 0001140361-18-016106 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,670 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.85 to $11.2001, 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 ranges set forth in this footnote. Read SEC document |
| March 27, 2018 Filed Mar 28, 2018 12:27 UTC |
WOLF DENNIS PDirector
|
SaleCommon Stock | 12,500 | $11.14 | $139,300.00 |
DisclosureSEC source: 0001140361-18-015385 · doc1.xml · nonDerivative · entry 3 WOLF DENNIS P · CIK 0001227560 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,254 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.85 to $11.45, 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 ranges set forth in this footnote. Read SEC document |
| March 26, 2018 Filed Mar 28, 2018 12:27 UTC |
WOLF DENNIS PDirector
|
Exercise / conversionStock Option (right to buy) · Derivative | 16,666 | $0.00 Strike: $7.46 | $0.00 |
DisclosureSEC source: 0001140361-18-015385 · doc1.xml · derivative · entry 4 WOLF DENNIS P · CIK 0001227560 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,666 shares Expires 2019-06-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable. Read SEC document |
| March 26, 2018 Filed Mar 28, 2018 12:27 UTC |
WOLF DENNIS PDirector
|
SaleCommon Stock | 29,166 | $11.15 | $325,084.24 |
DisclosureSEC source: 0001140361-18-015385 · doc1.xml · nonDerivative · entry 2 WOLF DENNIS P · CIK 0001227560 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,754 F1 · kind: The sales reported in this Form 4 were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 to $11.55, 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 ranges set forth in this footnote. Read SEC document |
| March 26, 2018 Filed Mar 28, 2018 12:27 UTC |
WOLF DENNIS PDirector
|
Exercise / conversionCommon Stock | 16,666 | $7.46 | $124,328.36 |
DisclosureSEC source: 0001140361-18-015385 · doc1.xml · nonDerivative · entry 1 WOLF DENNIS P · CIK 0001227560 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,920 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. Read SEC document |
| March 23, 2018 Filed Mar 23, 2018 20:30 UTC |
NICOLS JOHN JDirector · President and CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 16,154 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · derivative · entry 6 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 377,535 Underlying: Common Stock · 16,154 shares Expires 2022-06-12 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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| March 23, 2018 Filed Mar 23, 2018 20:30 UTC |
NICOLS JOHN JDirector · President and CEO
|
SaleCommon Stock | 16,154 | $11.43 | $184,654.76 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · nonDerivative · entry 4 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F3 · price: This transaction was executed in multiple trades in prices ranging from $11.35 to $11.60, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| March 23, 2018 Filed Mar 23, 2018 20:30 UTC |
NICOLS JOHN JDirector · President and CEO
|
Exercise / conversionCommon Stock | 16,154 | $3.46 | $55,892.84 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · nonDerivative · entry 3 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,088,833 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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 20:30 UTC |
NICOLS JOHN JDirector · President and CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 6,311 | $0.00 Strike: $3.46 | $0.00 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · derivative · entry 5 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 393,689 Underlying: Common Stock · 6,311 shares Expires 2022-06-12 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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 20:30 UTC |
NICOLS JOHN JDirector · President and CEO
|
SaleCommon Stock | 6,311 | $11.91 | $75,173.48 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · nonDerivative · entry 2 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $11.90 to $12.00, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 20:30 UTC |
NICOLS JOHN JDirector · President and CEO
|
Exercise / conversionCommon Stock | 6,311 | $3.46 | $21,836.06 |
DisclosureSEC source: 0001140361-18-014862 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,078,990 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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 29, 2017. Read SEC document |
| March 21, 2018 Filed Mar 22, 2018 18:28 UTC |
KELLEY BERNARD JDirector
|
SaleCommon Stock | 10,206 | $12.22 | $124,682.62 |
DisclosureSEC source: 0001140361-18-014690 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,951 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2017. F2 · price: This transaction was executed in multiple trades in prices ranging from $11.85 to $12.40, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| March 05, 2018 Filed Mar 7, 2018 18:19 UTC |
SANGSTER GORDONSVP & Chief Financial Officer
|
Tax withholdingCommon Stock | 18,497 | $10.90 | $201,617.30 |
DisclosureSEC source: 0001140361-18-012511 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,925 F1 · kind: Shares withheld by the Issuer on vesting of restricted stock units solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the vesting of the Reporting Person's restricted stock units. Read SEC document |
| March 05, 2018 Filed Mar 7, 2018 18:18 UTC |
NICOLS JOHN JDirector · President and CEO
|
Tax withholdingCommon Stock | 92,175 | $10.90 | $1,004,707.50 |
DisclosureSEC source: 0001140361-18-012510 · doc1.xml · nonDerivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072,679 F1 · kind: Shares withheld by the Issuer on vesting of performance stock units solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the release of shares of stock acquired by the Reporting Person pursuant to the prior achievement of performance metrics as determined by the Issuer's compensation committee. Read SEC document |
| March 05, 2018 Filed Mar 7, 2018 23:18 UTC |
Lalonde JamesSVP, R&D
|
Tax withholdingCommon Stock | 11,920 | $10.90 | $129,928.00 |
DisclosureSEC source: 0001140361-18-012509 · doc1.xml · nonDerivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,066 F1 · kind: Shares withheld by the Issuer on vesting of performance stock units solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the release of shares of stock acquired by the Reporting Person pursuant to the prior achievement of performance metrics as determined by the Issuer's compensation committee. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 18:27 UTC |
Aldridge Michael D.See Remarks
|
GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $9.05 | $0.00 |
DisclosureSEC source: 0001140361-18-009671 · doc1.xml · derivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2028-02-21 F1 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 21, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 21, 2022. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 18:25 UTC |
SANGSTER GORDONSVP & Chief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $9.05 | $0.00 |
DisclosureSEC source: 0001140361-18-009667 · doc1.xml · derivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2028-02-21 F1 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 21, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 21, 2022. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 18:26 UTC |
NICOLS JOHN JDirector · President and CEO
|
GrantStock Option (Right to Buy) · Derivative | 130,000 | $0.00 Strike: $9.05 | $0.00 |
DisclosureSEC source: 0001140361-18-009669 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2028-02-21 F1 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 21, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 21, 2022. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 23:26 UTC |
Lalonde JamesSVP, R&D
|
GrantStock Option (Right to Buy) · Derivative | 55,000 | $0.00 Strike: $9.05 | $0.00 |
DisclosureSEC source: 0001140361-18-009670 · doc1.xml · derivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2028-02-21 F1 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 21, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 21, 2022. Read SEC document |
| February 20, 2018 Filed Feb 23, 2018 20:43 UTC Amendment |
Aldridge Michael D.See Remarks
|
GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001140361-18-009973 · doc1.xml · derivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2028-02-20 F1 · derivative.exercise_price: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 20, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2022. F1 · derivative.exercise_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · derivative.expiration_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. Read SEC document |
| February 20, 2018 Filed Feb 23, 2018 20:46 UTC Amendment |
SANGSTER GORDONSVP & Chief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001140361-18-009976 · doc1.xml · derivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2028-02-20 F1 · derivative.exercise_price: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 20, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2022. F1 · derivative.exercise_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · derivative.expiration_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. Read SEC document |
| February 20, 2018 Filed Feb 23, 2018 20:45 UTC Amendment |
NICOLS JOHN JDirector · President and CEO
|
GrantStock Option (Right to Buy) · Derivative | 130,000 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001140361-18-009975 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2028-02-20 F1 · derivative.exercise_price: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 20, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2022. F1 · derivative.exercise_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · derivative.expiration_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. Read SEC document |
| February 20, 2018 Filed Feb 24, 2018 01:44 UTC Amendment |
Lalonde JamesSVP, R&D
|
GrantStock Option (Right to Buy) · Derivative | 55,000 | $0.00 Strike: $8.95 | $0.00 |
DisclosureSEC source: 0001140361-18-009974 · doc1.xml · derivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2028-02-20 F1 · derivative.exercise_price: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F2 · derivative.exercise_date: Option vests with respect to 25% of the shares subject thereto on February 20, 2019, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on February 20, 2022. F1 · derivative.exercise_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. F1 · derivative.expiration_date: The original filing inadvertently reported an incorrect grant date, expiration date, vesting schedule and exercise price for the option. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 17:00 UTC |
Aldridge Michael D.See Remarks
|
GrantStock Option (Right to Buy) · Derivative | 167,750 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-18-005616 · doc1.xml · derivative · entry 1 Aldridge Michael D. · CIK 0001687664 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,750 Underlying: Common Stock · 167,750 shares Expires 2027-02-02 F1 · shares: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 83,875 shares on March 5, 2018 and 83,875 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 83,875 shares on March 5, 2018 and 83,875 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 17:01 UTC |
SANGSTER GORDONSVP & Chief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 167,750 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-18-005618 · doc1.xml · derivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,750 Underlying: Common Stock · 167,750 shares Expires 2027-02-02 F1 · shares: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 83,875 shares on March 5, 2018 and 83,875 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 83,875 shares on March 5, 2018 and 83,875 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 16:58 UTC |
NICOLS JOHN JDirector · President and CEO
|
GrantStock Option (Right to Buy) · Derivative | 671,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-18-005611 · doc1.xml · derivative · entry 1 NICOLS JOHN J · CIK 0001238884 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671,000 Underlying: Common Stock · 671,000 shares Expires 2027-02-02 F1 · shares: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 335,500 shares on March 5, 2018 and 335,500 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 335,500 shares on March 5, 2018 and 335,500 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 21:59 UTC |
Lalonde JamesSVP, R&D
|
GrantStock Option (Right to Buy) · Derivative | 147,620 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001140361-18-005612 · doc1.xml · derivative · entry 1 Lalonde James · CIK 0001599677 · SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,620 Underlying: Common Stock · 147,620 shares Expires 2027-02-02 F1 · shares: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 73,810 shares on March 5, 2018 and 73,810 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. F1 · derivative.exercise_date: On February 3, 2017, the issuer granted the reporting person an option that commences vesting in respect of a number of shares of the issuer's common stock determined based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2017 with any remaining shares forfeited. On February 5, 2018, the compensation committee of the issuer's board of directors certified achievement of the performance criteria at 134.2% of the target level, which will result in the vesting of the option with respect to 73,810 shares on March 5, 2018 and 73,810 shares on March 5, 2019, in each case subject to the reporting person's continued service to the issuer through such vesting date. Read SEC document |
| September 14, 2017 Filed Sep 19, 2017 00:52 UTC |
Vivo Ventures Fund VII, L.P.10% owner
VIVO VENTURES VII, LLC10% owner
|
SaleCommon Stock | 22,610 | $5.78 | $130,572.75 |
DisclosureSEC source: 0001615774-17-005168 · s107541_f4.xml · nonDerivative · entry 2 Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 90,330 F2 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 14, 2017 Filed Sep 19, 2017 00:52 UTC |
Vivo Ventures Fund VII, L.P.10% owner
VIVO VENTURES VII, LLC10% owner
|
SaleCommon Stock | 1,037,390 | $5.78 | $5,990,927.25 |
DisclosureSEC source: 0001615774-17-005168 · s107541_f4.xml · nonDerivative · entry 1 Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 4,144,495 F1 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 18, 2017 Filed Aug 22, 2017 17:56 UTC |
SANGSTER GORDONSVP & Chief Financial Officer
|
Tax withholdingCommon Stock | 6,264 | $5.45 | $34,138.80 |
DisclosureSEC source: 0001140361-17-033029 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,422 F1 · kind: Shares withheld by the Issuer on vesting of restricted stock units solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the vesting of the Reporting Person's restricted stock units. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 18:49 UTC |
BARUCH THOMAS RDirector
|
GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025421 · doc1.xml · nonDerivative · entry 1 BARUCH THOMAS R · CIK 0001005563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,170 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 18:47 UTC |
KELLEY BERNARD JDirector
|
GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025418 · doc1.xml · nonDerivative · entry 1 KELLEY BERNARD J · CIK 0001181179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,157 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 22:46 UTC |
Glaub Kathleen SeredaDirector
|
GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025417 · doc1.xml · nonDerivative · entry 1 Glaub Kathleen Sereda · CIK 0001619612 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,197 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 22:45 UTC |
Smith David VDirector
|
GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025416 · doc1.xml · nonDerivative · entry 1 Smith David V · CIK 0001229447 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,679 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 18:45 UTC |
WOLF DENNIS PDirector
|
GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025415 · doc1.xml · nonDerivative · entry 1 WOLF DENNIS P · CIK 0001227560 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,254 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 22:48 UTC |
Cheng Pam P.Director
|
GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025420 · doc1.xml · nonDerivative · entry 1 Cheng Pam P. · CIK 0001623746 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,934 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 22:48 UTC |
Dorgan Byron LDirector
|
GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025419 · doc1.xml · nonDerivative · entry 1 Dorgan Byron L · CIK 0001513219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,670 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 22:44 UTC |
Yang Patrick YDirector
|
GrantCommon Stock | 17,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025414 · doc1.xml · nonDerivative · entry 1 Yang Patrick Y · CIK 0001309988 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 338,234 F1 · shares: Restricted stock. The shares vest on the earlier of June 14, 2018 or the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| March 05, 2017 Filed Mar 7, 2017 17:19 UTC |
SANGSTER GORDONSVP & Chief Financial Officer
|
Tax withholdingCommon Stock | 34,847 | $4.15 | $144,615.05 |
DisclosureSEC source: 0001140361-17-010915 · doc1.xml · nonDerivative · entry 1 SANGSTER GORDON · CIK 0001243383 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,686 F1 · kind: Shares withheld by the Issuer on vesting of performance stock units solely to cover applicable withholding taxes. No shares were sold in the open market; the transaction reported herein was executed automatically upon the release of shares of stock acquired by the Reporting Person pursuant to the prior achievement of performance metrics as determined by the Issuer's compensation committee. 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.