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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.
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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
May 11, 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 64,700 $1.79 $115,813.00
Disclosure

SEC source: 0000947871-22-000567 · 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: 14,690,178

F1 · price: These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $1.79 to $1.80. 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.

Read SEC document
May 11, 2022 Filed May 13, 2022 21:48 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 64,700 $1.79 $115,813.00
Disclosure

SEC source: 0000947871-22-000568 · 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: 14,690,178

F1 · price: These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $1.79 to $1.80. 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.

Read SEC document
May 10, 2022 Filed May 10, 2022 22:21 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
OrbiMed Genesis GP LLCDirector · 10% owner
PurchaseCommon Stock 24,447 $1.60 $39,115.20
Disclosure

SEC source: 0000947871-22-000540 · 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: 14,625,478

F3 · price: These Shares were purchased in a block at a price of $1.60.

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.

Read SEC document
May 10, 2022 Filed May 10, 2022 22:19 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 24,447 $1.60 $39,115.20
Disclosure

SEC source: 0000947871-22-000539 · 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: 14,625,478

F3 · price: These Shares were purchased in a block at a price of $1.60.

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 10, 2022 Filed May 10, 2022 18:15 UTC
Schuetz Thomas J.Director · CHIEF EXECUTIVE OFFICER
PurchaseCommon Stock 27,836 $1.80 $50,104.80
Disclosure

SEC source: 0001171843-22-003503 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,153,303

F1 · price: The price reported is the weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $1.65 to $1.86 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 09, 2022 Filed May 10, 2022 22:21 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
OrbiMed Genesis GP LLCDirector · 10% owner
PurchaseCommon Stock 90,712 $1.56 $141,510.72
Disclosure

SEC source: 0000947871-22-000540 · 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: 14,601,031

F2 · price: These Shares were purchased in a block at a price of $1.56.

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.

Read SEC document
May 09, 2022 Filed May 10, 2022 22:19 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 90,712 $1.56 $141,510.72
Disclosure

SEC source: 0000947871-22-000539 · 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: 14,601,031

F2 · price: These Shares were purchased in a block at a price of $1.56.

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.

Read SEC document
May 06, 2022 Filed May 10, 2022 22:21 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
OrbiMed Genesis GP LLCDirector · 10% owner
PurchaseCommon Stock 10,200 $1.63 $16,626.00
Disclosure

SEC source: 0000947871-22-000540 · 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: 14,510,319

F1 · price: These shares of the Issuer's common stock ("Shares") were purchased in a block at a price of $1.63.

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.

Read SEC document
May 06, 2022 Filed May 10, 2022 22:19 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 10,200 $1.63 $16,626.00
Disclosure

SEC source: 0000947871-22-000539 · 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: 14,510,319

F1 · price: These shares of the Issuer's common stock ("Shares") were purchased in a block at a price of $1.63.

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.

Read SEC document
April 26, 2022 Filed Apr 28, 2022 17:52 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.51 $0.00
Disclosure

SEC source: 0001171843-22-002948 · ownership.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-04-25

F1 · derivative.exercise_date: This option vests in substantially equal monthly installments over four years.

Read SEC document
April 26, 2022 Filed Apr 28, 2022 17:29 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $1.51 $0.00
Disclosure

SEC source: 0001171843-22-002945 · ownership.xml · derivative · entry 1

Chiniara Ellen · CIK 0001398764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-04-25

F1 · derivative.exercise_date: This option vests in substantially equal monthly installments over four years.

Read SEC document
February 18, 2022 Filed Feb 23, 2022 17:30 UTC Amendment
Bisker-Leib VeredChief Operating Officer
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $2.40 $0.00
Disclosure

SEC source: 0000899243-22-007413 · doc4a.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2032-02-17

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting 03/17/2022.

Read SEC document
February 18, 2022 Filed Feb 23, 2022 17:30 UTC Amendment
Kalled SusanChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $2.40 $0.00
Disclosure

SEC source: 0000899243-22-007415 · doc4a.xml · derivative · entry 1

Kalled Susan · CIK 0001860504 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2032-02-17

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting 03/17/2022.

Read SEC document
February 18, 2022 Filed Feb 23, 2022 17:45 UTC GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $2.40 $0.00
Disclosure

SEC source: 0000899243-22-007426 · doc4.xml · derivative · entry 1

Ferneau Philip · CIK 0001814202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-02-17

F1 · derivative.exercise_date: This option vests in substantially equal monthly installments over four years.

F2 · ownership.direct: The Reporting Person is a managing partner of Borealis Ventures. Pursuant to an agreement with Borealis Ventures, the Reporting Person is obligated to transfer any securities issued under any stock options or other awards, or the economic benefit thereof, to Borealis Granite Fund, L.P. and Vox Health Fund, L.P.

Read SEC document
February 18, 2022 Filed Feb 23, 2022 22:45 UTC
Kaplan BrettDirector
GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $2.40 $0.00
Disclosure

SEC source: 0000899243-22-007424 · doc4.xml · derivative · entry 1

Kaplan Brett · CIK 0001778763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-02-17

F1 · derivative.exercise_date: This option vests in substantially equal monthly installments over four years.

Read SEC document
February 18, 2022 Filed Feb 23, 2022 22:45 UTC
GORDON CARL LDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $2.40 $0.00
Disclosure

SEC source: 0000899243-22-007425 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-02-17

F1 · derivative.exercise_date: This option vests in substantially equal monthly installments over four years.

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 18, 2022 Filed Feb 23, 2022 22:45 UTC GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $2.40 $0.00
Disclosure

SEC source: 0000899243-22-007423 · doc4.xml · derivative · entry 1

SQUINTO STEPHEN P · CIK 0001231954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-02-17

F1 · derivative.exercise_date: This option vests in substantially equal monthly installments over four years.

Read SEC document
February 18, 2022 Filed Feb 23, 2022 22:30 UTC Amendment
Schuetz Thomas J.Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 700,000 $0.00 Strike: $2.40 $0.00
Disclosure

SEC source: 0000899243-22-007412 · doc4a.xml · derivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common Stock · 700,000 shares

Expires 2032-02-17

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting 03/17/2022.

Read SEC document
February 17, 2022 Filed Feb 18, 2022 19:13 UTC
Bisker-Leib VeredChief Operating Officer
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001171843-22-001210 · ownership.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2032-02-16

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting 03/17/2022

Read SEC document
February 17, 2022 Filed Feb 18, 2022 18:55 UTC
Kalled SusanChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001171843-22-001208 · ownership.xml · derivative · entry 1

Kalled Susan · CIK 0001860504 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2032-02-16

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting 03/17/2022

Read SEC document
February 17, 2022 Filed Feb 19, 2022 00:13 UTC
Schuetz Thomas J.Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 700,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001171843-22-001211 · ownership.xml · derivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common Stock · 700,000 shares

Expires 2032-02-16

F1 · derivative.exercise_date: The options vest over 48 substantially equal monthly installments starting 03/17/2022

Read SEC document
November 16, 2021 Filed Nov 18, 2021 19:00 UTC
Bisker-Leib VeredChief Operating Officer
GrantCommon Stock 600,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045309 · doc4.xml · nonDerivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,113,401

F1 · 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
November 16, 2021 Filed Nov 19, 2021 00:00 UTC
Schuetz Thomas J.Director · Chief Executive Officer
GrantCommon Stock 600,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045310 · doc4.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,125,467

F1 · 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
November 04, 2021 Filed Nov 9, 2021 02:06 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
OrbiMed Genesis GP LLCDirector · 10% owner
PurchaseCommon Stock 3,571,428 $3.50 $12,499,998.00
Disclosure

SEC source: 0000947871-21-001150 · 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: 3,571,428

F1 · price: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis Master Fund"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis Master Fund and OrbiMed Advisors is the managing member of Genesis GP. OrbiMed Advisors and Genesis GP exercise 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 securities held by Genesis Master Fund.

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 04, 2021 Filed Nov 9, 2021 02:06 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
OrbiMed Genesis GP LLCDirector · 10% owner
PurchaseCommon Stock 1,785,715 $3.50 $6,250,002.50
Disclosure

SEC source: 0000947871-21-001150 · 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: 14,500,119

F1 · price: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.

F2 · ownership.nature: These shares of the Issuer's common stock 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. OrbiMed Advisors and GP V exercise 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 04, 2021 Filed Nov 9, 2021 02:12 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 3,571,428 $3.50 $12,499,998.00
Disclosure

SEC source: 0000947871-21-001151 · 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: 3,571,428

F1 · price: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis Master Fund"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis Master Fund and OrbiMed Advisors is the managing member of Genesis GP. OrbiMed Advisors and Genesis GP exercise 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 securities held by Genesis Master Fund.

F4 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP V, 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 its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, 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 04, 2021 Filed Nov 9, 2021 02:12 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 1,785,715 $3.50 $6,250,002.50
Disclosure

SEC source: 0000947871-21-001151 · 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: 14,500,119

F1 · price: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.

F2 · ownership.nature: These shares of the Issuer's common stock 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. OrbiMed Advisors and GP V exercise 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. The Reporting Person is a member of OrbiMed Advisors.

F4 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP V, 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 its pecuniary interest therein, if any. This report shall not be deemed an admission that any such person or entity, including the Reporting Person, 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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June 25, 2021 Filed Jun 29, 2021 18:31 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $4.90 $0.00
Disclosure

SEC source: 0001686530-21-000006 · edgar.xml · derivative · entry 2

Toledano Miranda Jayne · CIK 0001686530 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock, $.0001 Par Value · 50,000 shares

Expires not disclosed

F2 · derivative.exercise_date: The option has a term of 10 years and vest in equal monthly installments over the 48 month period commencing on July 25, 2021.

F2 · derivative.expiration_date: The option has a term of 10 years and vest in equal monthly installments over the 48 month period commencing on July 25, 2021.

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June 25, 2021 Filed Jun 29, 2021 18:31 UTC OtherCommon Stock, $.0001 Par Value 1,791,549 Not disclosed Not disclosed
Disclosure

SEC source: 0001686530-21-000006 · edgar.xml · nonDerivative · entry 1

Toledano Miranda Jayne · CIK 0001686530 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,791,549

F1 · shares: The reporting person acquired 1,791,549 shares of the issuer's common stock as consideration in connection with the acquisition of TRIGR Therapeutics, Inc. by the issuer. The merger agreement, which was entered into on May 13, 2021, placed a negotiated value on the issuer's common stock of $5.85 a share. Of the 1,791,549 shares issued to the reporting person in the merger, 283,648 shares are currently being held in escrow and are subject to forfeiture for the purposes described in the merger agreement.

F1 · price: The reporting person acquired 1,791,549 shares of the issuer's common stock as consideration in connection with the acquisition of TRIGR Therapeutics, Inc. by the issuer. The merger agreement, which was entered into on May 13, 2021, placed a negotiated value on the issuer's common stock of $5.85 a share. Of the 1,791,549 shares issued to the reporting person in the merger, 283,648 shares are currently being held in escrow and are subject to forfeiture for the purposes described in the merger agreement.

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May 03, 2021 Filed May 5, 2021 15:03 UTC
Kalled SusanChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 260,000 $0.00 Strike: $7.00 $0.00
Disclosure

SEC source: 0000899243-21-018319 · doc4.xml · derivative · entry 1

Kalled Susan · CIK 0001860504 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires 2031-05-03

F1 · derivative.exercise_date: 25% of this option vests on May 3, 2022, with the remainder vesting in 36 substantially equal monthly installments thereafter.

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February 09, 2021 Filed Mar 1, 2021 10:34 UTC
Bisker-Leib VeredPresident & COO
GrantStock Option (Right to Buy) · Derivative 400,000 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0001209191-21-015098 · doc4.xml · derivative · entry 1

Bisker-Leib Vered · CIK 0001814093 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-02-09

F1 · derivative.exercise_date: 25% of this option vests on February 9, 2022, with the remainder vesting in 36 substantially equal monthly installments thereafter.

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February 09, 2021 Filed Mar 1, 2021 15:35 UTC
Schuetz Thomas J.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 700,000 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0001209191-21-015099 · doc4.xml · derivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common Stock · 700,000 shares

Expires 2031-02-09

F1 · derivative.exercise_date: 25% of this option vests on February 9, 2022, with the remainder vesting in 36 substantially equal monthly installments thereafter.

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December 22, 2020 Filed Dec 23, 2020 22:00 UTC
Schuetz Thomas J.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0001209191-20-065033 · doc4.xml · derivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2030-12-22

F1 · derivative.exercise_date: 50% of this option is immediately vested and exercisable, with the remainder vesting in 24 substantially equal monthly installments thereafter.

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September 10, 2020 Filed Sep 15, 2020 00:02 UTC
Kaplan BrettDirector
GrantStock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0000899243-20-025035 · doc4.xml · derivative · entry 1

Kaplan Brett · CIK 0001778763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-09-10

F1 · derivative.exercise_date: This option shall vest in substantially equal monthly installments over four years.

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August 06, 2020 Filed Aug 10, 2020 20:52 UTC
Bisker-Leib VeredChief Operating Officer
GrantStock Option (Right to Buy) · Derivative 600,000 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0000899243-20-021969 · doc4.xml · derivative · entry 1

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 2030-08-06

F1 · derivative.exercise_date: 33% of this option is immediately vested and exercisable, with the remainder vesting in 24 substantially equal monthly installments thereafter.

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August 06, 2020 Filed Aug 11, 2020 00:58 UTC GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0000899243-20-021971 · doc4.xml · derivative · entry 1

SQUINTO STEPHEN P · CIK 0001231954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-06

F1 · derivative.exercise_date: 50% of this option is immediately vested and exercisable, with the remainder vesting in 24 substantially equal monthly installments thereafter.

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August 06, 2020 Filed Aug 11, 2020 00:50 UTC
Schuetz Thomas J.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0000899243-20-021967 · doc4.xml · derivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2030-08-06

F1 · derivative.exercise_date: 50% of this option is immediately vested and exercisable, with the remainder vesting in 24 substantially equal monthly installments thereafter.

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June 19, 2020 Filed Jun 23, 2020 21:37 UTC PurchaseCommon Stock 250,000 $5.00 $1,250,000.00
Disclosure

SEC source: 0001213900-20-015637 · ownership.xml · nonDerivative · entry 2

Ferneau Philip · CIK 0001814202 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 400,280

F2 · ownership.nature: These shares are held directly by Vox Health Fund, L.P. Borealis Capital Partners IV, LLC is the general partner of Vox Health Fund, L.P. Philip Ferneau, a member of the board of directors, and a managing partner of Borealis Ventures. Mr. Ferneau holds a majority ownership interest in Borealis Capital Partners IV, LLC and is the designated manager with voting and investment power over the shares held by Vox Health Fund, L.P.

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June 19, 2020 Filed Jun 23, 2020 21:37 UTC PurchaseCommon Stock 64,066 $5.00 $320,330.00
Disclosure

SEC source: 0001213900-20-015637 · ownership.xml · nonDerivative · entry 1

Ferneau Philip · CIK 0001814202 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,348,976

F1 · ownership.nature: These shares are held directly by Borealis Granite Fund, L.P. Borealis Capital Partners III, LLC is the general partner of Borealis Granite Fund, L.P. The Reporting Person is a member of the board of directors, and is a managing partner of Borealis Ventures. Voting and investment decisions with respect to the securities held by Borealis Granite Fund, L.P. are made by a committee of three or more individuals, none of whom individually has the power to direct such decisions. The Reporting Person disclaims beneficial ownership of the shares held by Borealis Granite Fund, L.P., except to the extent of any actual pecuniary interest.

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June 19, 2020 Filed Jun 24, 2020 01:36 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
PurchaseCommon Stock 1,455,132 $5.00 $7,275,660.00
Disclosure

SEC source: 0001213900-20-015635 · ownership.xml · nonDerivative · entry 1

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,714,404

F1 · ownership.direct: These shares are held of record by OrbiMed Private Investments V-KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("OrbiMed GP V") is the general partner of OPI V-KA and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of OrbiMed GP V. By virtue of such relationships, OrbiMed GP V and OrbiMed Advisors may be deemed to have voting and investment power over the shares held by OPI V-KA and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI V-KA.

F2 · ownership.direct: This report on Form 4 is jointly filed by OrbiMed Advisors and OrbiMed GP V. 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. The Reporting Persons have designated a representative, 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 such entity or person is a beneficial owner of such securities for purpose of Section 16 of the Exchange Act, or for any other purpose.

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June 19, 2020 Filed Jun 23, 2020 21:38 UTC PurchaseCommon Stock 289,118 $5.00 $1,445,590.00
Disclosure

SEC source: 0001213900-20-015639 · ownership.xml · nonDerivative · entry 1

Sunderland Julie · CIK 0001814190 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,502,025

F1 · ownership.nature: These shares are held directly by Biomatics Capital Partners, LP. The Reporting Person is a member of the Issuer's board of directors, the co-founder of and a managing partner at Biomatics Capital Partners, and exercises shared voting and investment power of the securities held by Biomatics Capital Partners, LP.

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June 19, 2020 Filed Jun 24, 2020 01:38 UTC
Schuetz Thomas J.Director · Chief Executive Officer
PurchaseCommon Stock 97,431 $5.00 $487,155.00
Disclosure

SEC source: 0001213900-20-015638 · ownership.xml · nonDerivative · entry 1

Schuetz Thomas J. · CIK 0001591464 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,525,467

F1 · balance_after: 586,546 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 February 22, 2018, 3,850.625 shares vest per month with shares fully vested on February 28, 2022, restricted stock award granted on July 3, 2019, 5,587.5 shares vest per month with shares fully vested on July 31, 2023 and restricted stock award granted on December 20, 2019, 25% cliff on December 20, 2020; 6,111.625 shares vest per month thereafter with shares fully vested on December 31, 2023.

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June 19, 2020 Filed Jun 24, 2020 01:37 UTC
GORDON CARL LDirector · 10% owner
PurchaseCommon Stock 1,455,132 $5.00 $7,275,660.00
Disclosure

SEC source: 0001213900-20-015636 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,714,404

F1 · ownership.nature: These shares are held of record by OrbiMed Private Investments V-KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("OrbiMed GP V") is the general partner of OPI V-KA and OrbiMed Advisors LLC ("OrbiMed Advisors"), is the managing member of OrbiMed GP V. The Reporting Person is a member of OrbiMed Advisors. By virtue of such relationships, OrbiMed GP V and OrbiMed Advisors may be deemed to have voting and investment power over the shares held by OPI V-KA and as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of the Reporting Person, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI V-KA.

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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.