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Nasdaq · USD

CMPX

Compass Therapeutics, Inc.

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5614
SEC CIK
0001738021
Parsed reports
142

Last 12 months

Inside the activity.

4 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202620
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202610
Oct 202610

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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
February 09, 2024 Filed Feb 14, 2024 17:01 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $1.57 $0.00
Disclosure

SEC source: 0001171843-24-000793 · ownership.xml · derivative · entry 1

Chiniara Ellen · CIK 0001398764 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-02-08

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 9, 2024.

Read SEC document
February 08, 2024 Filed Feb 9, 2024 12:50 UTC
Bisker-Leib VeredDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 49,198 $1.45 $71,337.10
Disclosure

SEC source: 0001171843-24-000715 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,124,426

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 ("RSUs")

F2 · balance_after: 300,000 of the shares represents unvested restricted stock units ("RSU") granted on November 16, 2021. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 16, 2022. 300,000 of the shares represents unvested restricted stock units ("RSU") granted on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on February 8, 2024. 1,753,125 of the shares represents unvested restricted stock units ("RSU") granted on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on January 9, 2025.

Read SEC document
February 08, 2024 Filed Feb 9, 2024 17:49 UTC
Schuetz Thomas J.Director · PRESIDENT
Tax withholdingCommon Stock 44,782 $1.45 $64,933.90
Disclosure

SEC source: 0001171843-24-000714 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,570,566

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 ("RSUs").

F2 · balance_after: 300,000 of the shares represents unvested restricted stock units ("RSU") granted on November 16, 2021. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 16, 2022. 375,000 of the shares represents unvested restricted stock units ("RSU") granted on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on February 8, 2024. 637,500 of the shares represents unvested restricted stock units ("RSU") granted on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on January 9, 2025.

Read SEC document
January 09, 2024 Filed Jan 10, 2024 10:31 UTC
Bisker-Leib VeredDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 1,753,125 $0.00 Strike: $1.93 $0.00
Disclosure

SEC source: 0001171843-24-000179 · ownership.xml · derivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,753,125

Underlying: CommonStock · 1,753,125 shares

Expires 2034-01-08

F3 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting February 9, 2024.

Read SEC document
January 09, 2024 Filed Jan 10, 2024 10:31 UTC
Bisker-Leib VeredDirector · Chief Executive Officer
GrantCommon Stock 1,753,125 $1.93 $3,383,531.25
Disclosure

SEC source: 0001171843-24-000179 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,173,624

F1 · shares: Represents restricted stock units ("RSU") granted to the reporting person on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on January 9, 2025.

F2 · balance_after: 300,000 of the shares represents unvested restricted stock units ("RSU") granted on November 16, 2021. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022. 400,000 of the shares represents unvested restricted stock units ("RSU") granted on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on February 8, 2024. 1,753,125 of the shares represents unvested restricted stock units ("RSU") granted on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on January 9, 2025.

Read SEC document
January 09, 2024 Filed Jan 10, 2024 15:31 UTC
Schuetz Thomas J.Director · President of R&D
GrantStock Option (Right to Buy) · Derivative 637,500 $0.00 Strike: $1.93 $0.00
Disclosure

SEC source: 0001171843-24-000178 · ownership.xml · derivative · entry 2

Schuetz Thomas J. · CIK 0001591464 · Director · President of R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 637,500

Underlying: CommonStock · 637,500 shares

Expires 2034-01-08

F3 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting February 9, 2024.

Read SEC document
January 09, 2024 Filed Jan 10, 2024 15:31 UTC
Schuetz Thomas J.Director · President of R&D
GrantCommon Stock 637,500 $1.93 $1,230,375.00
Disclosure

SEC source: 0001171843-24-000178 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · President of R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,615,348

F1 · shares: Represents restricted stock units ("RSU") granted to the reporting person on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on January 9, 2025.

F2 · balance_after: 300,000 of the shares represents unvested restricted stock units ("RSU") granted on November 16, 2021. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022. 500,000 of the shares represents unvested restricted stock units ("RSU") granted on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on February 8, 2024. 637,500 of the shares represents unvested restricted stock units ("RSU") granted on January 9, 2024. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on January 9, 2025.

Read SEC document
November 17, 2023 Filed Nov 21, 2023 14:10 UTC
Bisker-Leib VeredChief Operating Officer
Tax withholdingCommon Stock 64,415 $1.50 $96,622.50
Disclosure

SEC source: 0001171843-23-007223 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,420,499

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 ("RSUs")

F2 · balance_after: 8,148 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which will vest on November 30 and December 31, 2023. 300,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 400,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
November 17, 2023 Filed Nov 21, 2023 19:08 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 44,025 $1.50 $66,037.50
Disclosure

SEC source: 0001171843-23-007222 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,977,848

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 ("RSUs").

F2 · balance_after: 12,222 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which will vest on November 30 and December 31, 2023. 300,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 500,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 20:32 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $2.91 $0.00
Disclosure

SEC source: 0001171843-23-002483 · ownership.xml · derivative · entry 1

LINDAHL RICHARD S · CIK 0001196632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-04-20

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting May 21, 2023.

Read SEC document
March 10, 2023 Filed Mar 10, 2023 18:34 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 10,000 $3.37 $33,700.00
Disclosure

SEC source: 0001171843-23-001588 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,021,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $3.30 to $3.40 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 89,051 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 27,937 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 61,114 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 500,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
February 27, 2023 Filed Feb 27, 2023 16:39 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,000 $3.98 $79,600.00
Disclosure

SEC source: 0001171843-23-001175 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,011,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $3.98 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 100,751 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 33,525 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 67,226 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 500,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
February 15, 2023 Filed Feb 15, 2023 15:47 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,000 $3.86 $77,200.00
Disclosure

SEC source: 0001171843-23-000974 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,991,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $3.76 to $3.89 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 100,751 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 33,525 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 67,226 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 500,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
February 08, 2023 Filed Feb 9, 2023 15:03 UTC
Bisker-Leib VeredChief Operating Officer
GrantStock Option (Right to Buy) · Derivative 600,000 $0.00 Strike: $3.93 $0.00
Disclosure

SEC source: 0001171843-23-000846 · ownership.xml · derivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2033-02-07

F3 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 8, 2023.

Read SEC document
February 08, 2023 Filed Feb 9, 2023 15:03 UTC
Bisker-Leib VeredChief Operating Officer
GrantCommon Stock 400,000 $0.00 $0.00
Disclosure

SEC source: 0001171843-23-000846 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,484,914

F1 · shares: Represents restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on February 8, 2024.

F2 · balance_after: 60,981 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 16,163 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 44,818 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 400,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
February 08, 2023 Filed Feb 9, 2023 16:28 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.93 $0.00
Disclosure

SEC source: 0001171843-23-000853 · ownership.xml · derivative · entry 1

Ferneau Philip · CIK 0001814202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-02-07

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 8, 2023.

Read SEC document
February 08, 2023 Filed Feb 9, 2023 21:31 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.93 $0.00
Disclosure

SEC source: 0001171843-23-000855 · ownership.xml · derivative · entry 1

Chiniara Ellen · CIK 0001398764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-02-07

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 8, 2023.

Read SEC document
February 08, 2023 Filed Feb 9, 2023 21:31 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.93 $0.00
Disclosure

SEC source: 0001171843-23-000854 · ownership.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-02-07

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 8, 2023.

Read SEC document
February 08, 2023 Filed Feb 9, 2023 21:28 UTC
GORDON CARL LDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $3.93 $0.00
Disclosure

SEC source: 0001171843-23-000852 · ownership.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2033-02-07

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 8, 2023.

F2 · ownership.direct: The Reporting Person is a member of OrbiMed Advisors LLC ("OrbiMed Advisors"). Pursuant to an agreement with OrbiMed Advisors, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors and OrbiMed Capital GP V LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments V-KA, LP.

Read SEC document
February 08, 2023 Filed Feb 9, 2023 21:23 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
GrantStock Option (Right to Buy) · Derivative 700,000 $0.00 Strike: $3.93 $0.00
Disclosure

SEC source: 0001171843-23-000851 · ownership.xml · derivative · entry 2

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: CommonStock · 700,000 shares

Expires 2033-02-07

F3 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 8, 2023.

Read SEC document
February 08, 2023 Filed Feb 9, 2023 21:23 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
GrantCommon Stock 500,000 $0.00 $0.00
Disclosure

SEC source: 0001171843-23-000851 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,971,873

F1 · shares: Represents restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on February 8, 2024.

F2 · balance_after: 100,751 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 33,525 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 67,226 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. 500,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on February 8, 2023. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 21:01 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.93 $0.00
Disclosure

SEC source: 0001171843-23-000901 · ownership.xml · derivative · entry 1

WURZER DAVID M · CIK 0001207118 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-02-07

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting March 8, 2023.

Read SEC document
January 31, 2023 Filed Jan 31, 2023 15:14 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,000 $4.05 $81,000.00
Disclosure

SEC source: 0001171843-23-000557 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,471,873

F1 · balance_after: 112,449 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 39,112 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 73,337 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
January 24, 2023 Filed Jan 24, 2023 15:49 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,000 $4.19 $83,800.00
Disclosure

SEC source: 0001171843-23-000419 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,451,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.07 to $4.33 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 112,449 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 39,112 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 73,337 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 450,000 of the shares represents unvested restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vested on November 15, 2022.

Read SEC document
November 25, 2022 Filed Nov 25, 2022 16:41 UTC
Bisker-Leib VeredChief Operating Officer
SaleCommon Stock 2 $4.36 $8.72
Disclosure

SEC source: 0001171843-22-007662 · ownership.xml · nonDerivative · entry 3

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,414

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

Read SEC document
November 23, 2022 Filed Nov 25, 2022 16:41 UTC
Bisker-Leib VeredChief Operating Officer
SaleCommon Stock 9,569 $4.30 $41,146.70
Disclosure

SEC source: 0001171843-22-007662 · ownership.xml · nonDerivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,416

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.10 to $4.30 per share on November 22, 2022 and $4.15 to $4.43 on November 23, 2022. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

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November 22, 2022 Filed Nov 25, 2022 16:41 UTC
Bisker-Leib VeredChief Operating Officer
SaleCommon Stock 14,929 $4.19 $62,552.51
Disclosure

SEC source: 0001171843-22-007662 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,069,985

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.10 to $4.30 per share on November 22, 2022 and $4.15 to $4.43 on November 23, 2022. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

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November 21, 2022 Filed Nov 22, 2022 16:15 UTC
Bisker-Leib VeredChief Operating Officer
SaleCommon Stock 16,035 $4.34 $69,591.90
Disclosure

SEC source: 0001171843-22-007635 · ownership.xml · nonDerivative · entry 2

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,084,914

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.31 to $4.49 per share on November 18, 2022 and $4.30 to $4.44 on November 21, 2022. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

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November 18, 2022 Filed Nov 22, 2022 16:15 UTC
Bisker-Leib VeredChief Operating Officer
SaleCommon Stock 6,226 $4.40 $27,394.40
Disclosure

SEC source: 0001171843-22-007635 · ownership.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,107,175

F1 · kind: The sales reported on this Form represent the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. These sales are included in the Reporting Person's award agreement which allows the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction.

F2 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $4.31 to $4.49 per share on November 18, 2022 and $4.30 to $4.44 on November 21, 2022. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

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November 08, 2022 Filed Nov 10, 2022 21:44 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
OrbiMed Genesis GP LLCDirector · 10% owner
PurchaseCommon Stock 402,000 $3.21 $1,290,420.00
Disclosure

SEC source: 0000947871-22-001164 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner

OrbiMed Capital GP V LLC · CIK 0001615374 · Director · 10% owner

OrbiMed Genesis GP LLC · CIK 0001808744 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,219,994

F1 · shares: These shares of the Issuer's common stock ("Shares") were purchased in a private placement exempt from the registration requirements of the Securities Act of 1933, as amended.

F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V-KA. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA.

F4 · ownership.nature: This report on Form 4 is jointly filed by GP V, OrbiMed Advisors, and Genesis GP. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP V have designated Carl L. Gordon ("Gordon"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Gordon, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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November 08, 2022 Filed Nov 10, 2022 21:38 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 402,000 $3.21 $1,290,420.00
Disclosure

SEC source: 0000947871-22-001163 · ownership.xml · nonDerivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 15,219,994

F1 · shares: These shares of the Issuer's common stock ("Shares") were purchased in a private placement exempt from the registration requirements of the Securities Act of 1933, as amended.

F2 · ownership.nature: The Shares are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V-KA. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA.

F4 · ownership.nature: Each of the Reporting Person, GP V, OrbiMed Advisors, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, GP V, OrbiMed Advisors, or Genesis GP is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
September 28, 2022 Filed Sep 28, 2022 20:45 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 10,000 $2.32 $23,200.00
Disclosure

SEC source: 0001171843-22-006282 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,431,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.30 to $2.33 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 159,246 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 61,462 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 97,784 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

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September 26, 2022 Filed Sep 27, 2022 13:47 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 15,000 $2.27 $34,050.00
Disclosure

SEC source: 0001171843-22-006243 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,421,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.24 to $2.28 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 159,246 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 61,462 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 97,784 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

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September 07, 2022 Filed Sep 8, 2022 14:12 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 15,000 $3.03 $45,450.00
Disclosure

SEC source: 0001171843-22-006005 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,406,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $3.02 to $3.04 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 159,246 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 61,462 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 97,784 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

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September 01, 2022 Filed Sep 1, 2022 18:37 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 15,000 $2.83 $42,450.00
Disclosure

SEC source: 0001171843-22-005905 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,391,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.77 to $2.89 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 159,246 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 61,462 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 97,784 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

Read SEC document
August 17, 2022 Filed Aug 17, 2022 20:06 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 15,000 $3.05 $45,750.00
Disclosure

SEC source: 0001171843-22-005700 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,376,873

F1 · balance_after: 170,946 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 67,050 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 103,896 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

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August 10, 2022 Filed Aug 10, 2022 14:51 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 15,000 $2.64 $39,600.00
Disclosure

SEC source: 0001171843-22-005567 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,361,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.57 to $2.75 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 170,946 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 67,050 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 103,896 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

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August 01, 2022 Filed Aug 2, 2022 13:15 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 15,000 $2.58 $38,700.00
Disclosure

SEC source: 0001171843-22-005231 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,346,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.51 to $2.62 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 170,946 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 67,050 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 103,896 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

Read SEC document
June 21, 2022 Filed Jun 21, 2022 17:41 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,000 $2.80 $56,000.00
Disclosure

SEC source: 0001171843-22-004440 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,331,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.78 to $2.81 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 194,345 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 78,225 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 116,120 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

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June 16, 2022 Filed Jun 17, 2022 20:46 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,000 $2.34 $46,800.00
Disclosure

SEC source: 0001171843-22-004408 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,311,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.31 to $2.40 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 194,345 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 78,225 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 116,120 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

Read SEC document
June 13, 2022 Filed Jun 13, 2022 19:59 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 30,000 $2.29 $68,700.00
Disclosure

SEC source: 0001171843-22-004327 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,291,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.20 to $2.31 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 194,345 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 78,225 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 116,120 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

Read SEC document
June 06, 2022 Filed Jun 7, 2022 15:50 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 30,000 $2.83 $84,900.00
Disclosure

SEC source: 0001171843-22-004190 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,261,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.82 to $2.87 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 194,345 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 78,225 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 116,120 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

Read SEC document
June 01, 2022 Filed Jun 1, 2022 16:33 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,000 $3.03 $60,600.00
Disclosure

SEC source: 0001171843-22-004068 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,231,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.94 to $3.08 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 194,345 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 78,225 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 116,120 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

Read SEC document
May 26, 2022 Filed May 26, 2022 18:58 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,000 $3.04 $60,800.00
Disclosure

SEC source: 0001171843-22-003978 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,211,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.98 to $3.07 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 206,043 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 83,812 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 122,231 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

Read SEC document
May 23, 2022 Filed May 24, 2022 12:09 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 18,355 $2.72 $49,925.60
Disclosure

SEC source: 0001171843-22-003899 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,191,873

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.51 to $2.89 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 206,043 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 83,812 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 122,231 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

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May 17, 2022 Filed May 17, 2022 19:17 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 20,215 $2.47 $49,931.05
Disclosure

SEC source: 0001171843-22-003771 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,173,518

F1 · price: The price reported in Column 4 is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $2.45 to $2.50 per share. The reporting person hereby undertakes to provide, upon request, to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares purchased and prices within the range set forth above.

F2 · balance_after: 206,043 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on July 3, 2019, with the remaining 83,812 shares vesting approximately equally per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, with the remaining 122,231 shares vesting approximately equally per month with shares fully vested on December 31, 2023. 600,000 of the shares represents restricted stock units ("RSU") granted to the reporting person on November 16, 2021. Each RSU represents a contingent right to receive one share of common stock. The award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on November 15, 2022.

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May 13, 2022 Filed May 13, 2022 21:45 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
OrbiMed Genesis GP LLCDirector · 10% owner
PurchaseCommon Stock 30,722 $2.49 $76,497.78
Disclosure

SEC source: 0000947871-22-000567 · ownership.xml · nonDerivative · entry 3

ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner

OrbiMed Capital GP V LLC · CIK 0001615374 · Director · 10% owner

OrbiMed Genesis GP LLC · CIK 0001808744 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 14,817,994

F3 · price: These Shares were purchased in multiple transactions at prices ranging from $2.46 to $2.54. The price reported reflects the weighted average purchase price. 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 purchased at each separate price within the ranges set forth in this footnote.

F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V-KA. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA.

F6 · ownership.nature: This report on Form 4 is jointly filed by GP V, OrbiMed Advisors, and Genesis GP. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP V have designated Carl L. Gordon ("Gordon"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Gordon, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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May 13, 2022 Filed May 13, 2022 21:48 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 30,722 $2.49 $76,497.78
Disclosure

SEC source: 0000947871-22-000568 · ownership.xml · nonDerivative · entry 3

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 14,817,994

F3 · price: These Shares were purchased in multiple transactions at prices ranging from $2.46 to $2.54. The price reported reflects the weighted average purchase price. 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 purchased at each separate price within the ranges set forth in this footnote.

F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V-KA. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA.

F6 · ownership.nature: Each of the Reporting Person, GP V, OrbiMed Advisors, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, GP V, OrbiMed Advisors, or Genesis GP is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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May 12, 2022 Filed May 13, 2022 21:45 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
OrbiMed Genesis GP LLCDirector · 10% owner
PurchaseCommon Stock 97,094 $2.35 $228,170.90
Disclosure

SEC source: 0000947871-22-000567 · ownership.xml · nonDerivative · entry 2

ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner

OrbiMed Capital GP V LLC · CIK 0001615374 · Director · 10% owner

OrbiMed Genesis GP LLC · CIK 0001808744 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 14,787,272

F2 · price: These Shares were purchased in multiple transactions at prices ranging from $2.22 to $2.46. The price reported reflects the weighted average purchase price. 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 purchased at each separate price within the ranges set forth in this footnote.

F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V-KA. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA.

F6 · ownership.nature: This report on Form 4 is jointly filed by GP V, OrbiMed Advisors, and Genesis GP. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP V have designated Carl L. Gordon ("Gordon"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Gordon, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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May 12, 2022 Filed May 13, 2022 21:48 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 97,094 $2.35 $228,170.90
Disclosure

SEC source: 0000947871-22-000568 · ownership.xml · nonDerivative · entry 2

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 14,787,272

F2 · price: These Shares were purchased in multiple transactions at prices ranging from $2.22 to $2.46. The price reported reflects the weighted average purchase price. 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 purchased at each separate price within the ranges set forth in this footnote.

F4 · ownership.nature: The Shares are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, GP V and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V-KA. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of the Reporting Person, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA.

F6 · ownership.nature: Each of the Reporting Person, GP V, OrbiMed Advisors, and Genesis GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, GP V, OrbiMed Advisors, or Genesis GP is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.