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Nasdaq · USD

CERS

CERUS CORP

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5431
SEC CIK
0001020214
Parsed reports
373

Last 12 months

Inside the activity.

0 purchase rows · 25 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202600
Mar 2026015
Apr 202600
May 202602
Jun 202605
Jul 202601
Aug 202601
Sep 202600
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 04, 2019 Filed Mar 7, 2019 00:45 UTC GrantOption (Right to Buy) · Derivative 29,197 Not disclosed Strike: $6.59 Not disclosed
Disclosure

SEC source: 0001209191-19-017553 · doc4.xml · derivative · entry 1

NACHTSHEIM JAMI K · CIK 0001223017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,197

Underlying: Common Stock · 29,197 shares

Expires 2029-03-03

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option shall vest in thirty six (36) equal monthly installments on each monthly anniversary of the transaction date.

Read SEC document
February 11, 2019 Filed Feb 12, 2019 22:19 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 2,783 Not disclosed Strike: $2.15 Not disclosed
Disclosure

SEC source: 0001209191-19-009400 · doc4.xml · derivative · entry 3

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,569

Underlying: Common Stock · 2,783 shares

Expires 2019-09-30

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.

F3 · price: Not applicable.

F2 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested each month thereafter.

Read SEC document
February 11, 2019 Filed Feb 12, 2019 22:19 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 2,783 $5.86 $16,313.39
Disclosure

SEC source: 0001209191-19-009400 · doc4.xml · nonDerivative · entry 2

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

F1 · price: This transaction was executed pursuant to a 10b5-1 plan. The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.82 to $5.89 per share, 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 aforementioned range set forth.

Read SEC document
February 11, 2019 Filed Feb 12, 2019 22:19 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 2,783 $2.15 $5,983.45
Disclosure

SEC source: 0001209191-19-009400 · doc4.xml · nonDerivative · entry 1

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,608

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
January 10, 2019 Filed Jan 11, 2019 22:31 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 2,783 Not disclosed Strike: $2.15 Not disclosed
Disclosure

SEC source: 0001209191-19-003453 · doc4.xml · derivative · entry 3

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,352

Underlying: Common Stock · 2,783 shares

Expires 2019-09-30

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.

F3 · price: Not applicable.

F2 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested each month thereafter.

Read SEC document
January 10, 2019 Filed Jan 11, 2019 22:31 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 2,783 $5.59 $15,563.37
Disclosure

SEC source: 0001209191-19-003453 · doc4.xml · nonDerivative · entry 2

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

F1 · price: This transaction was executed pursuant to a 10b5-1 plan. The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.53 to $5.66 per share, 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 aforementioned range set forth.

Read SEC document
January 10, 2019 Filed Jan 11, 2019 22:31 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 2,783 $2.15 $5,983.45
Disclosure

SEC source: 0001209191-19-003453 · doc4.xml · nonDerivative · entry 1

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,608

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
December 28, 2018 Filed Dec 31, 2018 21:01 UTC
Greenman William MarinerDirector · President and CEO
Exercise / conversionOption (Right to Buy) · Derivative 150,000 Not disclosed Strike: $0.79 Not disclosed
Disclosure

SEC source: 0001209191-18-064393 · doc4.xml · derivative · entry 2

Greenman William Mariner · CIK 0001377258 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires 2019-01-11

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.

F2 · price: Not applicable.

F1 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
December 28, 2018 Filed Dec 31, 2018 21:01 UTC
Greenman William MarinerDirector · President and CEO
Exercise / conversionCommon Stock 150,000 $0.79 $118,500.00
Disclosure

SEC source: 0001209191-18-064393 · doc4.xml · nonDerivative · entry 1

Greenman William Mariner · CIK 0001377258 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,601

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
December 10, 2018 Filed Dec 11, 2018 22:25 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 2,783 Not disclosed Strike: $2.15 Not disclosed
Disclosure

SEC source: 0001209191-18-062053 · doc4.xml · derivative · entry 3

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,135

Underlying: Common Stock · 2,783 shares

Expires 2019-09-30

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.

F2 · price: Not applicable.

F1 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
December 10, 2018 Filed Dec 11, 2018 22:25 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 2,783 $5.35 $14,889.05
Disclosure

SEC source: 0001209191-18-062053 · doc4.xml · nonDerivative · entry 2

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

Read SEC document
December 10, 2018 Filed Dec 11, 2018 22:25 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 2,783 $2.15 $5,983.45
Disclosure

SEC source: 0001209191-18-062053 · doc4.xml · nonDerivative · entry 1

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,608

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
November 12, 2018 Filed Nov 14, 2018 00:05 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 2,783 Not disclosed Strike: $2.15 Not disclosed
Disclosure

SEC source: 0001209191-18-058394 · doc4.xml · derivative · entry 3

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,918

Underlying: Common Stock · 2,783 shares

Expires 2019-09-30

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.

F3 · price: Not applicable.

F2 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
November 12, 2018 Filed Nov 14, 2018 00:05 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 2,783 $5.56 $15,471.81
Disclosure

SEC source: 0001209191-18-058394 · doc4.xml · nonDerivative · entry 2

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

F1 · price: This transaction was executed pursuant to a 10b5-1 plan. The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.48 to $5.69 per share, 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 aforementioned range set forth.

Read SEC document
November 12, 2018 Filed Nov 14, 2018 00:05 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 2,783 $2.15 $5,983.45
Disclosure

SEC source: 0001209191-18-058394 · doc4.xml · nonDerivative · entry 1

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,608

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
October 10, 2018 Filed Oct 11, 2018 22:47 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 2,783 Not disclosed Strike: $2.15 Not disclosed
Disclosure

SEC source: 0001209191-18-054825 · doc4.xml · derivative · entry 3

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,484

Underlying: Common Stock · 2,783 shares

Expires 2019-09-30

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.

F3 · price: Not applicable.

F2 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
October 10, 2018 Filed Oct 11, 2018 22:47 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 2,783 $6.09 $16,946.24
Disclosure

SEC source: 0001209191-18-054825 · doc4.xml · nonDerivative · entry 2

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

F1 · price: This transaction was executed pursuant to a 10b5-1 plan. The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.01 to $6.16 per share, 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 aforementioned range set forth.

Read SEC document
October 10, 2018 Filed Oct 11, 2018 22:47 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 2,783 $2.15 $5,983.45
Disclosure

SEC source: 0001209191-18-054825 · doc4.xml · nonDerivative · entry 1

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,608

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
October 05, 2018 Filed Oct 9, 2018 20:32 UTC GrantRestricted Stock Units · Derivative 12,844 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-054527 · doc4.xml · derivative · entry 2

BJERKHOLT ERIC · CIK 0001197350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,844

Underlying: Common Stock · 12,844 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one (1) share of Cerus Common Stock.

F2 · price: Not applicable.

F4 · derivative.exercise_date: The restricted stock unit vests in three equal annual installments beginning on anniversary of the transaction date.

F4 · derivative.expiration_date: The restricted stock unit vests in three equal annual installments beginning on anniversary of the transaction date.

Read SEC document
October 05, 2018 Filed Oct 9, 2018 20:32 UTC GrantOption (Right to Buy) · Derivative 24,013 Not disclosed Strike: $6.49 Not disclosed
Disclosure

SEC source: 0001209191-18-054527 · doc4.xml · derivative · entry 1

BJERKHOLT ERIC · CIK 0001197350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,013

Underlying: Common Stock · 24,013 shares

Expires 2028-10-04

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option shall vest in thirty six (36) equal monthly installments on each monthly anniversary of the transaction date.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 14:27 UTC
Greenman William MarinerDirector · President and CEO
Exercise / conversionOption (Right to Buy) · Derivative 40,000 Not disclosed Strike: $4.19 Not disclosed
Disclosure

SEC source: 0001209191-18-052639 · doc4.xml · derivative · entry 2

Greenman William Mariner · CIK 0001377258 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2018-09-30

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.

F3 · price: Not applicable.

F2 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 14:27 UTC
Greenman William MarinerDirector · President and CEO
Exercise / conversionCommon Stock 40,000 $4.19 $167,600.00
Disclosure

SEC source: 0001209191-18-052639 · doc4.xml · nonDerivative · entry 1

Greenman William Mariner · CIK 0001377258 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 399,601

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 · balance_after: Includes 4,822 shares purchased under Issuer's Employee Stock Purchase Plan on 8/31/18.

Read SEC document
September 10, 2018 Filed Sep 10, 2018 23:46 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 2,783 Not disclosed Strike: $2.15 Not disclosed
Disclosure

SEC source: 0001209191-18-050369 · doc4.xml · derivative · entry 3

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,484

Underlying: Common Stock · 2,783 shares

Expires 2019-09-30

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.

F3 · price: Not applicable.

F2 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
September 10, 2018 Filed Sep 10, 2018 23:46 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 2,783 $7.24 $20,141.41
Disclosure

SEC source: 0001209191-18-050369 · doc4.xml · nonDerivative · entry 2

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

F1 · price: This transaction was executed pursuant to a 10b5-1 plan. The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.17 to $7.31 per share, 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 aforementioned range set forth.

Read SEC document
September 10, 2018 Filed Sep 10, 2018 23:46 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 2,783 $2.15 $5,983.45
Disclosure

SEC source: 0001209191-18-050369 · doc4.xml · nonDerivative · entry 1

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,608

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
September 05, 2018 Filed Sep 7, 2018 22:52 UTC GrantRestricted Stock Units · Derivative 12,889 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-050143 · doc4.xml · derivative · entry 2

MOORE TIMOTHY L. · CIK 0001669207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,889

Underlying: Common Stock · 12,889 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one (1) share of Cerus Common Stock.

F2 · price: Not applicable.

F4 · derivative.exercise_date: The restricted stock unit vests in three equal annual installments beginning on anniversary of the transaction date.

F4 · derivative.expiration_date: The restricted stock unit vests in three equal annual installments beginning on anniversary of the transaction date.

Read SEC document
September 05, 2018 Filed Sep 7, 2018 22:52 UTC GrantOption (Right to Buy) · Derivative 24,324 Not disclosed Strike: $7.52 Not disclosed
Disclosure

SEC source: 0001209191-18-050143 · doc4.xml · derivative · entry 1

MOORE TIMOTHY L. · CIK 0001669207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,324

Underlying: Common Stock · 24,324 shares

Expires 2028-09-04

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option shall vest in thirty six (36) equal monthly installments on each monthly anniversary of the transaction date.

Read SEC document
August 29, 2018 Filed Aug 29, 2018 23:10 UTC
Jayaraman Vivek KChief Commercial Officer
Exercise / conversionRestricted Stock Unit · Derivative 18,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-048870 · doc4.xml · derivative · entry 2

Jayaraman Vivek K · CIK 0001605456 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 18,750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one (1) share of Cerus Common Stock.

F3 · price: Not applicable.

F2 · derivative.exercise_date: The restricted stock unit vests in four equal annual installments, with the first installment vesting on August 29,2017.

F2 · derivative.expiration_date: The restricted stock unit vests in four equal annual installments, with the first installment vesting on August 29,2017.

Read SEC document
August 29, 2018 Filed Aug 29, 2018 23:10 UTC
Jayaraman Vivek KChief Commercial Officer
Exercise / conversionCommon Stock 18,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-048870 · doc4.xml · nonDerivative · entry 1

Jayaraman Vivek K · CIK 0001605456 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,784

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one (1) share of Cerus Common Stock.

Read SEC document
August 28, 2018 Filed Aug 29, 2018 23:13 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 50,000 Not disclosed Strike: $3.00 Not disclosed
Disclosure

SEC source: 0001209191-18-048871 · doc4.xml · derivative · entry 3

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2020-08-31

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.

F3 · price: Not applicable.

F2 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
August 28, 2018 Filed Aug 29, 2018 23:13 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 50,000 $7.50 $375,005.00
Disclosure

SEC source: 0001209191-18-048871 · doc4.xml · nonDerivative · entry 2

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

F1 · price: The reported price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.505 to $7.50 per share, 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 aforementioned range set forth.

Read SEC document
August 28, 2018 Filed Aug 29, 2018 23:13 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 50,000 $3.00 $150,000.00
Disclosure

SEC source: 0001209191-18-048871 · doc4.xml · nonDerivative · entry 1

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,825

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
August 28, 2018 Filed Aug 30, 2018 23:40 UTC
Benjamin Richard JChief Medical Officer
Exercise / conversionOption (Right to Buy) · Derivative 50,000 Not disclosed Strike: $4.72 Not disclosed
Disclosure

SEC source: 0001209191-18-049021 · doc4.xml · derivative · entry 3

Benjamin Richard J · CIK 0001296322 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 50,000 shares

Expires 2025-08-31

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.

F2 · price: Not applicable.

F1 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option shall vest six (6) months after July 13, 2015 and one forty-eighth (1/48th) of the share subject to the Option shall vest on each monthly anniversary thereafter.

Read SEC document
August 28, 2018 Filed Aug 30, 2018 23:40 UTC
Benjamin Richard JChief Medical Officer
SaleCommon Stock 50,000 $7.52 $376,055.00
Disclosure

SEC source: 0001209191-18-049021 · doc4.xml · nonDerivative · entry 2

Benjamin Richard J · CIK 0001296322 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
August 28, 2018 Filed Aug 30, 2018 23:40 UTC
Benjamin Richard JChief Medical Officer
Exercise / conversionCommon Stock 50,000 $4.72 $236,000.00
Disclosure

SEC source: 0001209191-18-049021 · doc4.xml · nonDerivative · entry 1

Benjamin Richard J · CIK 0001296322 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 22:06 UTC
Benjamin Richard JChief Medical Officer
Exercise / conversionOption (Right to BUy) · Derivative 35,416 Not disclosed Strike: $4.33 Not disclosed
Disclosure

SEC source: 0001209191-18-047165 · doc4.xml · derivative · entry 3

Benjamin Richard J · CIK 0001296322 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,584

Underlying: Common Stock · 35,416 shares

Expires 2027-02-27

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.

F2 · price: Not applicable.

F1 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 22:06 UTC
Benjamin Richard JChief Medical Officer
Exercise / conversionCommon Stock 35,416 $4.33 $153,351.28
Disclosure

SEC source: 0001209191-18-047165 · doc4.xml · nonDerivative · entry 1

Benjamin Richard J · CIK 0001296322 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,416

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
August 10, 2018 Filed Aug 14, 2018 17:23 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 2,733 Not disclosed Strike: $2.15 Not disclosed
Disclosure

SEC source: 0001209191-18-046554 · doc4.xml · derivative · entry 6

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,267

Underlying: Common Stock · 2,733 shares

Expires 2019-09-30

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.

F3 · price: Not applicable.

F4 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
August 10, 2018 Filed Aug 14, 2018 17:23 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionOption (Right to Buy) · Derivative 50 Not disclosed Strike: $2.48 Not disclosed
Disclosure

SEC source: 0001209191-18-046554 · doc4.xml · derivative · entry 5

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50 shares

Expires 2021-01-02

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.

F3 · price: Not applicable.

F2 · derivative.exercise_date: The options fully vested on March 31, 2011

Read SEC document
August 10, 2018 Filed Aug 14, 2018 17:23 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 2,733 $6.96 $19,023.59
Disclosure

SEC source: 0001209191-18-046554 · doc4.xml · nonDerivative · entry 4

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

F1 · price: This transaction was executed pursuant to a 10b5-1 plan. The sales occurred in multiple trades at prices ranging from $6.86 to $7.04. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 10, 2018 Filed Aug 14, 2018 17:23 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 2,733 $2.15 $5,875.95
Disclosure

SEC source: 0001209191-18-046554 · doc4.xml · nonDerivative · entry 3

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,558

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
August 10, 2018 Filed Aug 14, 2018 17:23 UTC
Green Kevin DennisChief Financial Officer
SaleCommon Stock 50 $6.96 $348.04
Disclosure

SEC source: 0001209191-18-046554 · doc4.xml · nonDerivative · entry 2

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,825

F1 · price: This transaction was executed pursuant to a 10b5-1 plan. The sales occurred in multiple trades at prices ranging from $6.86 to $7.04. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 10, 2018 Filed Aug 14, 2018 17:23 UTC
Green Kevin DennisChief Financial Officer
Exercise / conversionCommon Stock 50 $2.48 $124.00
Disclosure

SEC source: 0001209191-18-046554 · doc4.xml · nonDerivative · entry 1

Green Kevin Dennis · CIK 0001459351 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,875

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
July 25, 2018 Filed Jul 26, 2018 23:56 UTC
CORASH LAURENCE MDirector · Chief Scientific Officer
Exercise / conversionOption (Right to Buy) · Derivative 35,000 Not disclosed Strike: $4.19 Not disclosed
Disclosure

SEC source: 0001209191-18-044110 · doc4.xml · derivative · entry 2

CORASH LAURENCE M · CIK 0001193209 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires 2018-09-30

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.

F2 · price: Not applicable.

F1 · derivative.exercise_date: One eighth (1/8th) of the shares subject to the Option vested six (6) months after the grant date, and one forty-eighth (1/48th) of the shares subject to the Option vested on the first day of each month thereafter.

Read SEC document
July 25, 2018 Filed Jul 26, 2018 23:56 UTC
CORASH LAURENCE MDirector · Chief Scientific Officer
Exercise / conversionCommon Stock 35,000 $4.19 $146,650.00
Disclosure

SEC source: 0001209191-18-044110 · doc4.xml · nonDerivative · entry 1

CORASH LAURENCE M · CIK 0001193209 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,637,591

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
June 08, 2018 Filed Jun 12, 2018 21:40 UTC
SCHULZE GAILDirector
Exercise / conversionOption (Right to Buy) · Derivative 37,500 Not disclosed Strike: $0.79 Not disclosed
Disclosure

SEC source: 0001209191-18-037283 · doc4.xml · derivative · entry 6

SCHULZE GAIL · CIK 0001023259 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2019-01-11

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.

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option became exercisable in 12 equal monthly installments after the grant date.

Read SEC document
June 08, 2018 Filed Jun 12, 2018 21:40 UTC
SCHULZE GAILDirector
Exercise / conversionOption (Right to Buy) · Derivative 15,000 Not disclosed Strike: $0.82 Not disclosed
Disclosure

SEC source: 0001209191-18-037283 · doc4.xml · derivative · entry 5

SCHULZE GAIL · CIK 0001023259 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2019-01-01

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.

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option became exercisable in 12 equal monthly installments after the grant date.

Read SEC document
June 08, 2018 Filed Jun 12, 2018 21:40 UTC
SCHULZE GAILDirector
SaleCommon Stock 37,500 $6.65 $249,375.00
Disclosure

SEC source: 0001209191-18-037283 · doc4.xml · nonDerivative · entry 4

SCHULZE GAIL · CIK 0001023259 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,986

Read SEC document
June 08, 2018 Filed Jun 12, 2018 21:40 UTC
SCHULZE GAILDirector
Exercise / conversionCommon Stock 37,500 $0.79 $29,625.00
Disclosure

SEC source: 0001209191-18-037283 · doc4.xml · nonDerivative · entry 3

SCHULZE GAIL · CIK 0001023259 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,486

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
June 08, 2018 Filed Jun 12, 2018 21:40 UTC
SCHULZE GAILDirector
SaleCommon Stock 15,000 $6.65 $99,750.00
Disclosure

SEC source: 0001209191-18-037283 · doc4.xml · nonDerivative · entry 2

SCHULZE GAIL · CIK 0001023259 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,986

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.