Last 12 months
Inside the activity.
3 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 | 3 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 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 |
|---|---|---|---|---|---|---|
| June 07, 2024 Filed Jun 11, 2024 21:33 UTC |
Kreis Leslie W.Director · 10% owner
Cavu Advisors, LLCDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Memory SPV II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BP Directors, LPDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 8,500 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001104659-24-070573 · tm2416970-2_4seq1.xml · derivative · entry 13 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BP Directors, LP · CIK 0001813311 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2034-06-07 F8 · derivative.exercise_date: The option vests in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to Dr. Fletcher's continuous service as a director as of the applicable vesting date. F2 · ownership.nature: Pursuant to an agreement with BP Directors, LP ("Bios Directors"), Dr. Fletcher has agreed that he will hold certain equity-based awards granted to him in connection with his services as a director of the Issuer merely as a nominee for Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported securities, and Bios Equity Partners, LP ("Bios Equity I"), Cavu Management, LP ("Cavu Management"), Bios Capital Management, LP ("Bios Management"), Cavu Advisors LLC ("Cavu Advisors"), Bios Advisors GP, LLC ("Bios Advisors"), Leslie W. Kreis, Jr. ("Mr. Kreis") and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported securities through his or its respective indirect interest in Bios Directors. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 21:33 UTC |
Kreis Leslie W.Director · 10% owner
Cavu Advisors, LLCDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Memory SPV II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BP Directors, LPDirector · 10% owner
|
GrantCommon Stock | 8,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-070573 · tm2416970-2_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BP Directors, LP · CIK 0001813311 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 14,500 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to Aaron G.L. Fletcher's ("Dr. Fletcher") continuous service as a director as of the applicable vesting date. F2 · ownership.nature: Pursuant to an agreement with BP Directors, LP ("Bios Directors"), Dr. Fletcher has agreed that he will hold certain equity-based awards granted to him in connection with his services as a director of the Issuer merely as a nominee for Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported securities, and Bios Equity Partners, LP ("Bios Equity I"), Cavu Management, LP ("Cavu Management"), Bios Capital Management, LP ("Bios Management"), Cavu Advisors LLC ("Cavu Advisors"), Bios Advisors GP, LLC ("Bios Advisors"), Leslie W. Kreis, Jr. ("Mr. Kreis") and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported securities through his or its respective indirect interest in Bios Directors. Read SEC document |
| June 07, 2024 Filed Jun 12, 2024 01:32 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
Bios Equity Partners, LPDirector · 10% owner
BIOS Fund I, LPDirector · 10% owner
BIOS Fund I QP, LPDirector · 10% owner
BIOS Memory SPV I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 8,500 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001104659-24-070572 · tm2416970-1_4seq1.xml · derivative · entry 13 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner BIOS Fund I, LP · CIK 0001697316 · Director · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · Director · 10% owner BIOS Memory SPV I, LP · CIK 0001643749 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2034-06-07 F8 · derivative.exercise_date: The option vests in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to Dr. Fletcher's continuous service as a director as of the applicable vesting date. F2 · ownership.direct: Pursuant to an agreement with BP Directors, LP ("Bios Directors"), Dr. Fletcher has agreed that he will hold certain equity-based awards granted to him in connection with his services as a director of the Issuer merely as a nominee for Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported securities, and Bios Equity Partners, LP ("Bios Equity I"), Cavu Management, LP ("Cavu Management"), Bios Capital Management, LP ("Bios Management"), Cavu Advisors LLC ("Cavu Advisors"), Bios Advisors GP, LLC ("Bios Advisors"), Leslie W. Kreis, Jr. ("Mr. Kreis") and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported securities through his or its respective indirect interest in Bios Directors. Read SEC document |
| June 07, 2024 Filed Jun 12, 2024 01:32 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
Bios Equity Partners, LPDirector · 10% owner
BIOS Fund I, LPDirector · 10% owner
BIOS Fund I QP, LPDirector · 10% owner
BIOS Memory SPV I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
|
GrantCommon Stock | 8,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-070572 · tm2416970-1_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner BIOS Fund I, LP · CIK 0001697316 · Director · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · Director · 10% owner BIOS Memory SPV I, LP · CIK 0001643749 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,500 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to Aaron G.L. Fletcher's ("Dr. Fletcher") continuous service as a director as of the applicable vesting date. F2 · ownership.direct: Pursuant to an agreement with BP Directors, LP ("Bios Directors"), Dr. Fletcher has agreed that he will hold certain equity-based awards granted to him in connection with his services as a director of the Issuer merely as a nominee for Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported securities, and Bios Equity Partners, LP ("Bios Equity I"), Cavu Management, LP ("Cavu Management"), Bios Capital Management, LP ("Bios Management"), Cavu Advisors LLC ("Cavu Advisors"), Bios Advisors GP, LLC ("Bios Advisors"), Leslie W. Kreis, Jr. ("Mr. Kreis") and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported securities through his or its respective indirect interest in Bios Directors. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 22:47 UTC |
Wallace PeggyDirector
|
GrantStock Option (right to buy) · Derivative | 8,500 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001062993-24-012414 · form4.xml · derivative · entry 2 Wallace Peggy · CIK 0001876466 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2034-06-07 F2 · derivative.exercise_date: The option vests in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 22:47 UTC |
Wallace PeggyDirector
|
GrantCommon Stock | 8,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-012414 · form4.xml · nonDerivative · entry 1 Wallace Peggy · CIK 0001876466 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,461 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 22:47 UTC |
Khattar Jack A.Director
|
GrantStock Option (right to buy) · Derivative | 8,500 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001062993-24-012413 · form4.xml · derivative · entry 2 Khattar Jack A. · CIK 0001539937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2034-06-07 F2 · derivative.exercise_date: The option vests in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 22:47 UTC |
Khattar Jack A.Director
|
GrantCommon Stock | 8,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-012413 · form4.xml · nonDerivative · entry 1 Khattar Jack A. · CIK 0001539937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,500 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 22:46 UTC |
RICHSTONE ELLEN BDirector
|
GrantStock Option (right to buy) · Derivative | 8,500 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001062993-24-012412 · form4.xml · derivative · entry 2 RICHSTONE ELLEN B · CIK 0001281526 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2034-06-07 F2 · derivative.exercise_date: The option vests in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 22:46 UTC |
RICHSTONE ELLEN BDirector
|
GrantCommon Stock | 8,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-012412 · form4.xml · nonDerivative · entry 1 RICHSTONE ELLEN B · CIK 0001281526 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,500 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 22:46 UTC |
Monia Brett PDirector
|
GrantStock Option (right to buy) · Derivative | 8,500 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001062993-24-012411 · form4.xml · derivative · entry 2 Monia Brett P · CIK 0001537529 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,500 Underlying: Common Stock · 8,500 shares Expires 2034-06-07 F2 · derivative.exercise_date: The option vests in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 22:46 UTC |
Monia Brett PDirector
|
GrantCommon Stock | 8,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-012411 · form4.xml · nonDerivative · entry 1 Monia Brett P · CIK 0001537529 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,500 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 7, 2025 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| May 01, 2024 Filed May 3, 2024 20:07 UTC |
Doyle John BrendanChief Financial Officer
|
Tax withholdingCommon Stock | 8,699 | $1.95 | $16,963.05 |
DisclosureSEC source: 0001062993-24-009329 · form4.xml · nonDerivative · entry 1 Doyle John Brendan · CIK 0001840738 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,125 F1 · kind: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of restricted stock units. Read SEC document |
| March 14, 2024 Filed Mar 14, 2024 20:34 UTC |
Ricciardi LisaDirector · CEO & President
|
PurchaseCommon Stock | 5,700 | $1.75 | $9,975.00 |
DisclosureSEC source: 0001062993-24-006429 · form4.xml · nonDerivative · entry 1 Ricciardi Lisa · CIK 0001418200 · Director · CEO & President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 291,345 Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:13 UTC |
Doyle John BrendanChief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $1.98 | $0.00 |
DisclosureSEC source: 0001062993-24-003651 · form4.xml · derivative · entry 2 Doyle John Brendan · CIK 0001840738 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2034-02-15 F2 · derivative.exercise_date: The option vests 25% on February 15, 2025, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:13 UTC |
Doyle John BrendanChief Financial Officer
|
GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-003651 · form4.xml · nonDerivative · entry 1 Doyle John Brendan · CIK 0001840738 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 129,824 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:13 UTC |
Caggiano AnthonyChief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $1.98 | $0.00 |
DisclosureSEC source: 0001062993-24-003649 · form4.xml · derivative · entry 2 Caggiano Anthony · CIK 0001892981 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2034-02-15 F2 · derivative.exercise_date: The option vests 25% on February 15, 2025, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:13 UTC |
Caggiano AnthonyChief Medical Officer
|
GrantCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-003649 · form4.xml · nonDerivative · entry 1 Caggiano Anthony · CIK 0001892981 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 141,629 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:12 UTC |
Ricciardi LisaDirector · CEO & President
|
GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $1.98 | $0.00 |
DisclosureSEC source: 0001062993-24-003644 · form4.xml · derivative · entry 2 Ricciardi Lisa · CIK 0001418200 · Director · CEO & President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2034-02-15 F2 · derivative.exercise_date: The option vests 25% on February 15, 2025, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:12 UTC |
Ricciardi LisaDirector · CEO & President
|
GrantCommon Stock | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-003644 · form4.xml · nonDerivative · entry 1 Ricciardi Lisa · CIK 0001418200 · Director · CEO & President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 285,645 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. Read SEC document |
| February 03, 2024 Filed Feb 10, 2024 00:12 UTC |
Caggiano AnthonyChief Medical Officer
|
Tax withholdingCommon Stock | 12,777 | $2.29 | $29,259.33 |
DisclosureSEC source: 0001062993-24-002775 · form4.xml · nonDerivative · entry 1 Caggiano Anthony · CIK 0001892981 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,629 F1 · kind: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of restricted stock units. Read SEC document |
| February 03, 2024 Filed Feb 10, 2024 00:11 UTC |
Ricciardi LisaDirector · CEO & President
|
Tax withholdingCommon Stock | 27,828 | $2.29 | $63,726.12 |
DisclosureSEC source: 0001062993-24-002774 · form4.xml · nonDerivative · entry 1 Ricciardi Lisa · CIK 0001418200 · Director · CEO & President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 210,645 F1 · kind: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of restricted stock units. Read SEC document |
| November 08, 2023 Filed Nov 13, 2023 09:48 UTC |
Kreis Leslie W.Director · 10% owner
Cavu Advisors, LLCDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Memory SPV II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BP Directors, LPDirector · 10% owner
|
GrantCommon Stock | 500,095 | $1.05 | $525,099.75 |
DisclosureSEC source: 0001104659-23-116871 · tm2330521-3_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BP Directors, LP · CIK 0001813311 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Bios Clinical Opportunity Fund, LP Disclosed balance after: 500,095 F1 · shares: On November 8, 2023, Bios Clinical Opportunity Fund, LP ("Bios COF Fund") purchased 500,095 shares of Common Stock in an at-the-market offering through Cantor Fitzgerald & Co. and B. Riley Securities, Inc. acting as sales agents. F7 · ownership.nature: Bios Equity COF, LP ("Bios Equity COF") is the general partner of Bios COF Fund. Bios Management is the general partner of Bios Equity COF. Dr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios COF Fund. Because of the relationship between Dr. Fletcher, Bios Management, Bios Advisors and Bios COF Fund, Dr. Fletcher, Bios Management and Bios Advisors may be deemed to beneficially own the shares held directly by Bios COF Fund. F8 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 08, 2023 Filed Nov 13, 2023 14:47 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
Bios Equity Partners, LPDirector · 10% owner
BIOS Fund I, LPDirector · 10% owner
BIOS Fund I QP, LPDirector · 10% owner
BIOS Memory SPV I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
|
GrantCommon Stock | 500,095 | $1.05 | $525,099.75 |
DisclosureSEC source: 0001104659-23-116868 · tm2330521-2_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner BIOS Fund I, LP · CIK 0001697316 · Director · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · Director · 10% owner BIOS Memory SPV I, LP · CIK 0001643749 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Bios Clinical Opportunity Fund, LP Disclosed balance after: 500,095 F1 · shares: On November 8, 2023, Bios Clinical Opportunity Fund, LP ("Bios COF Fund") purchased 500,095 shares of Common Stock in an at-the-market offering through Cantor Fitzgerald & Co. and B. Riley Securities, Inc. acting as sales agents. F7 · ownership.nature: Bios Equity COF, LP ("Bios Equity COF") is the general partner of Bios COF Fund. Bios Management is the general partner of Bios Equity COF. Dr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios COF Fund. Because of the relationship between Dr. Fletcher, Bios Management, Bios Advisors and Bios COF Fund, Dr. Fletcher, Bios Management and Bios Advisors may be deemed to beneficially own the shares held directly by Bios COF Fund. F8 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each reporting person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 20:02 UTC |
Kreis Leslie W.Director · 10% owner
Cavu Advisors, LLCDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Memory SPV II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001104659-23-070933 · tm2318644-2_4seq1.xml · derivative · entry 12 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2033-06-09 F7 · derivative.exercise_date: The option vests in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to Dr. Fletcher's continuous service as a director as of the applicable vesting date. F2 · ownership.nature: Pursuant to an agreement with BP Directors, LP ("Bios Directors"), Dr. Fletcher has agreed that he will hold certain equity-based awards granted to him in connection with his services as a director of the Issuer merely as a nominee for Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported securities, and Bios Equity Partners, LP ("Bios Equity I"), Cavu Management, LP ("Cavu Management"), Bios Capital Management, LP ("Bios Management"), Cavu Advisors LLC ("Cavu Advisors"), Bios Advisors GP, LLC ("Bios Advisors"), Leslie W. Kreis, Jr. ("Mr. Kreis") and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported securities through his or its respective indirect interest in Bios Directors. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 20:02 UTC |
Kreis Leslie W.Director · 10% owner
Cavu Advisors, LLCDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Memory SPV II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
|
GrantCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-070933 · tm2318644-2_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 6,000 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to Aaron G.L. Fletcher's ("Dr. Fletcher") continuous service as a director as of the applicable vesting date. F2 · ownership.nature: Pursuant to an agreement with BP Directors, LP ("Bios Directors"), Dr. Fletcher has agreed that he will hold certain equity-based awards granted to him in connection with his services as a director of the Issuer merely as a nominee for Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported securities, and Bios Equity Partners, LP ("Bios Equity I"), Cavu Management, LP ("Cavu Management"), Bios Capital Management, LP ("Bios Management"), Cavu Advisors LLC ("Cavu Advisors"), Bios Advisors GP, LLC ("Bios Advisors"), Leslie W. Kreis, Jr. ("Mr. Kreis") and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported securities through his or its respective indirect interest in Bios Directors. Read SEC document |
| June 09, 2023 Filed Jun 14, 2023 00:01 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
Bios Equity Partners, LPDirector · 10% owner
BIOS Fund I, LPDirector · 10% owner
BIOS Fund I QP, LPDirector · 10% owner
BIOS Memory SPV I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001104659-23-070932 · tm2318644-1_4seq1.xml · derivative · entry 12 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner BIOS Fund I, LP · CIK 0001697316 · Director · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · Director · 10% owner BIOS Memory SPV I, LP · CIK 0001643749 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2033-06-09 F7 · derivative.exercise_date: The option vests in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to Dr. Fletcher's continuous service as a director as of the applicable vesting date. F2 · ownership.direct: Pursuant to an agreement with BP Directors, LP ("Bios Directors"), Dr. Fletcher has agreed that he will hold certain equity-based awards granted to him in connection with his services as a director of the Issuer merely as a nominee for Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported securities, and Bios Equity Partners, LP ("Bios Equity I"), Cavu Management, LP ("Cavu Management"), Bios Capital Management, LP ("Bios Management"), Cavu Advisors LLC ("Cavu Advisors"), Bios Advisors GP, LLC ("Bios Advisors"), Leslie W. Kreis, Jr. ("Mr. Kreis") and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported securities through his or its respective indirect interest in Bios Directors. Read SEC document |
| June 09, 2023 Filed Jun 14, 2023 00:01 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
Bios Equity Partners, LPDirector · 10% owner
BIOS Fund I, LPDirector · 10% owner
BIOS Fund I QP, LPDirector · 10% owner
BIOS Memory SPV I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
|
GrantCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-070932 · tm2318644-1_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner BIOS Fund I, LP · CIK 0001697316 · Director · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · Director · 10% owner BIOS Memory SPV I, LP · CIK 0001643749 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to Aaron G.L. Fletcher's ("Dr. Fletcher") continuous service as a director as of the applicable vesting date. F2 · ownership.direct: Pursuant to an agreement with BP Directors, LP ("Bios Directors"), Dr. Fletcher has agreed that he will hold certain equity-based awards granted to him in connection with his services as a director of the Issuer merely as a nominee for Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported securities, and Bios Equity Partners, LP ("Bios Equity I"), Cavu Management, LP ("Cavu Management"), Bios Capital Management, LP ("Bios Management"), Cavu Advisors LLC ("Cavu Advisors"), Bios Advisors GP, LLC ("Bios Advisors"), Leslie W. Kreis, Jr. ("Mr. Kreis") and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported securities through his or its respective indirect interest in Bios Directors. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:39 UTC |
Monia Brett PDirector
|
GrantStock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001062993-23-013442 · form4.xml · derivative · entry 2 Monia Brett P · CIK 0001537529 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2033-06-09 F2 · derivative.exercise_date: The option vests in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:39 UTC |
Monia Brett PDirector
|
GrantCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-013442 · form4.xml · nonDerivative · entry 1 Monia Brett P · CIK 0001537529 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:38 UTC |
Wallace PeggyDirector
|
GrantStock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001062993-23-013440 · form4.xml · derivative · entry 2 Wallace Peggy · CIK 0001876466 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2033-06-09 F2 · derivative.exercise_date: The option vests in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:38 UTC |
Wallace PeggyDirector
|
GrantCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-013440 · form4.xml · nonDerivative · entry 1 Wallace Peggy · CIK 0001876466 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,961 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:38 UTC |
RICHSTONE ELLEN BDirector
|
GrantStock Option (right to Buy) · Derivative | 6,000 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001062993-23-013439 · form4.xml · derivative · entry 2 RICHSTONE ELLEN B · CIK 0001281526 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2033-06-09 F2 · derivative.exercise_date: The option vests in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:38 UTC |
RICHSTONE ELLEN BDirector
|
GrantCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-013439 · form4.xml · nonDerivative · entry 1 RICHSTONE ELLEN B · CIK 0001281526 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,000 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:37 UTC |
Khattar Jack A.Director
|
GrantStock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001062993-23-013436 · form4.xml · derivative · entry 2 Khattar Jack A. · CIK 0001539937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2033-06-09 F2 · derivative.exercise_date: The option vests in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 21:37 UTC |
Khattar Jack A.Director
|
GrantCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-013436 · form4.xml · nonDerivative · entry 1 Khattar Jack A. · CIK 0001539937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs vest in full on the earlier of (i) June 9, 2024 or (ii) on the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service as a director as of the applicable vesting date. Read SEC document |
| May 01, 2023 Filed May 3, 2023 20:20 UTC |
Doyle John BrendanChief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 109,824 | $0.00 Strike: $1.65 | $0.00 |
DisclosureSEC source: 0001062993-23-010091 · form4.xml · derivative · entry 2 Doyle John Brendan · CIK 0001840738 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 109,824 Underlying: Common Stock · 109,824 shares Expires 2033-05-01 F2 · derivative.exercise_date: The option vests 25% on May 1, 2024, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| May 01, 2023 Filed May 3, 2023 20:20 UTC |
Doyle John BrendanChief Financial Officer
|
GrantCommon Stock | 109,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-010091 · form4.xml · nonDerivative · entry 1 Doyle John Brendan · CIK 0001840738 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 109,824 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. Read SEC document |
| February 03, 2023 Filed Feb 7, 2023 21:05 UTC |
Caggiano AnthonyChief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 94,406 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0000899243-23-004184 · doc4.xml · derivative · entry 2 Caggiano Anthony · CIK 0001892981 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,406 Underlying: Common Stock · 94,406 shares Expires 2033-02-03 F2 · derivative.exercise_date: The option vests 33.3% on February 3, 2024, with the remaining 66.7% vesting in 24 equal monthly installments, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| February 03, 2023 Filed Feb 7, 2023 21:05 UTC |
Caggiano AnthonyChief Medical Officer
|
GrantCommon Stock | 94,406 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004184 · doc4.xml · nonDerivative · entry 1 Caggiano Anthony · CIK 0001892981 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,406 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. Read SEC document |
| February 03, 2023 Filed Feb 7, 2023 21:05 UTC |
Ricciardi LisaDirector · CEO & President
|
GrantStock Option (Right to Buy) · Derivative | 213,973 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0000899243-23-004182 · doc4.xml · derivative · entry 2 Ricciardi Lisa · CIK 0001418200 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,973 Underlying: Common Stock · 213,973 shares Expires 2033-02-03 F2 · derivative.exercise_date: The option vests 33.3% on February 3, 2024, with the remaining 66.7% vesting in 24 equal monthly installments, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| February 03, 2023 Filed Feb 7, 2023 21:05 UTC |
Ricciardi LisaDirector · CEO & President
|
GrantCommon Stock | 213,973 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-004182 · doc4.xml · nonDerivative · entry 1 Ricciardi Lisa · CIK 0001418200 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,473 F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. Read SEC document |
| November 29, 2022 Filed Nov 29, 2022 21:57 UTC |
RICHSTONE ELLEN BDirector
|
PurchaseCommon Stock | 10,000 | $2.66 | $26,550.00 |
DisclosureSEC source: 0001062993-22-022923 · form4.xml · nonDerivative · entry 1 RICHSTONE ELLEN B · CIK 0001281526 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · price: Represents the weighted average purchase price. The shares were purchased at prices ranging from $2.61 to $2.67 per share. The reporting person undertakes to provide to Cognition Therapeutics, Inc., any security holder of Cognition Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 07:00 UTC |
Kreis Leslie W.Director · 10% owner
Cavu Advisors, LLCDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Memory SPV II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
|
PurchaseCommon Stock | 1,871 | $2.65 | $4,957.59 |
DisclosureSEC source: 0001104659-22-122622 · tm2231503-1_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund III, LP Disclosed balance after: 309,748 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.64 to $2.65, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., 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 (4) to this Form 4. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. F2 · ownership.nature: Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F3 · ownership.nature: Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 07:00 UTC |
Kreis Leslie W.Director · 10% owner
Cavu Advisors, LLCDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Memory SPV II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
|
PurchaseCommon Stock | 12,220 | $2.65 | $32,379.33 |
DisclosureSEC source: 0001104659-22-122622 · tm2231503-1_4seq1.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund III QP, LP Disclosed balance after: 2,021,906 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.64 to $2.65, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., 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 (4) to this Form 4. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. F2 · ownership.nature: Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F3 · ownership.nature: Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 07:00 UTC |
Kreis Leslie W.Director · 10% owner
Cavu Advisors, LLCDirector · 10% owner
Cavu Management, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Memory SPV II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
|
PurchaseCommon Stock | 1,973 | $2.65 | $5,227.86 |
DisclosureSEC source: 0001104659-22-122622 · tm2231503-1_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund III NT, LP Disclosed balance after: 326,733 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.64 to $2.65, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., 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 (4) to this Form 4. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. F2 · ownership.nature: Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F3 · ownership.nature: Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 12:02 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
Bios Equity Partners, LPDirector · 10% owner
BIOS Fund I, LPDirector · 10% owner
BIOS Fund I QP, LPDirector · 10% owner
BIOS Memory SPV I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
|
PurchaseCommon Stock | 1,871 | $2.65 | $4,957.59 |
DisclosureSEC source: 0001104659-22-122625 · tm2231503-2_4seq1.xml · nonDerivative · entry 3 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner BIOS Fund I, LP · CIK 0001697316 · Director · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · Director · 10% owner BIOS Memory SPV I, LP · CIK 0001643749 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund III, LP Disclosed balance after: 309,748 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.64 to $2.65, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., 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 (4) to this Form 4. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). F2 · ownership.nature: Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F3 · ownership.nature: Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 12:02 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
Bios Equity Partners, LPDirector · 10% owner
BIOS Fund I, LPDirector · 10% owner
BIOS Fund I QP, LPDirector · 10% owner
BIOS Memory SPV I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
|
PurchaseCommon Stock | 12,220 | $2.65 | $32,379.33 |
DisclosureSEC source: 0001104659-22-122625 · tm2231503-2_4seq1.xml · nonDerivative · entry 2 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner BIOS Fund I, LP · CIK 0001697316 · Director · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · Director · 10% owner BIOS Memory SPV I, LP · CIK 0001643749 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund III QP, LP Disclosed balance after: 2,021,906 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.64 to $2.65, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., 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 (4) to this Form 4. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). F2 · ownership.nature: Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F3 · ownership.nature: Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 12:02 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
Bios Equity Partners, LPDirector · 10% owner
BIOS Fund I, LPDirector · 10% owner
BIOS Fund I QP, LPDirector · 10% owner
BIOS Memory SPV I, LPDirector · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
|
PurchaseCommon Stock | 1,973 | $2.65 | $5,227.86 |
DisclosureSEC source: 0001104659-22-122625 · tm2231503-2_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner BIOS Fund I, LP · CIK 0001697316 · Director · 10% owner BIOS Fund I QP, LP · CIK 0001700297 · Director · 10% owner BIOS Memory SPV I, LP · CIK 0001643749 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Bios Fund III NT, LP Disclosed balance after: 326,733 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.64 to $2.65, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., 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 (4) to this Form 4. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). F2 · ownership.nature: Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F3 · ownership.nature: Mr. Kreis, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kreis, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 16, 2022 Filed Nov 17, 2022 07:00 UTC |
Kreis Leslie W.Director
Cavu Advisors, LLC10% owner
Cavu Management, LP10% owner
BIOS Fund II NT, LP10% owner
BIOS Memory SPV II, LP10% owner
BIOS Equity Partners III, LP10% owner
BIOS Fund III, LP10% owner
BIOS Fund III QP, LP10% owner
BIOS Fund III NT, LP10% owner
|
PurchaseCommon Stock | 8,269 | $1.40 | $11,576.60 |
DisclosureSEC source: 0001104659-22-119719 · tm2230532-3_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · Director Cavu Advisors, LLC · CIK 0001813310 · 10% owner Cavu Management, LP · CIK 0001813270 · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · 10% owner BIOS Memory SPV II, LP · CIK 0001666485 · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · 10% owner BIOS Fund III, LP · CIK 0001791917 · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Bios Fund III, LP Disclosed balance after: 307,877 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.23 to $1.54, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., 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 (4) to this Form 4. F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. F2 · ownership.nature: Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. 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.