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Nasdaq · USD

CRVS

Corvus Pharmaceuticals, Inc.

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4839
SEC CIK
0001626971
Parsed reports
208

Last 12 months

Inside the activity.

3 purchase rows · 0 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 04, 2025 Filed Jun 6, 2025 20:26 UTC Exercise / conversionWarrant (Right to Buy) · Derivative 19,357 Not disclosed Strike: $3.50 Not disclosed
Disclosure

SEC source: 0001610717-25-000174 · form4.xml · derivative · entry 2

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,357 shares

Expires 2025-06-30

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

F1 · price: Issued at no additional consideration to the Reporting Person in connection with their subscription for shares of the Issuer's Common Stock at a price of $1.7312 per share.

Read SEC document
June 04, 2025 Filed Jun 6, 2025 20:26 UTC Exercise / conversionCommon Stock 19,357 $3.50 $67,749.50
Disclosure

SEC source: 0001610717-25-000174 · form4.xml · nonDerivative · entry 1

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,130

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

Read SEC document
May 07, 2025 Filed May 9, 2025 20:09 UTC
MILLER RICHARD A MDDirector · President and CEO
Exercise / conversionWarrant (Right to Buy) · Derivative 559,073 Not disclosed Strike: $3.50 Not disclosed
Disclosure

SEC source: 0001610717-25-000115 · form4.xml · derivative · entry 3

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 559,073 shares

Expires 2025-06-30

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

F2 · price: Issued at no additional consideration to the Reporting Person in connection with their subscription for shares of the Issuer's Common Stock at a price of $1.7312.

Read SEC document
May 07, 2025 Filed May 9, 2025 20:09 UTC
MILLER RICHARD A MDDirector · President and CEO
Exercise / conversionCommon Stock 559,073 $3.50 $1,956,755.50
Disclosure

SEC source: 0001610717-25-000115 · form4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,136,707

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

Read SEC document
April 08, 2025 Filed Apr 9, 2025 21:26 UTC GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $2.82 $0.00
Disclosure

SEC source: 0001610717-25-000098 · form4.xml · derivative · entry 1

van den Broek Richard · CIK 0001431872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2035-04-08

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-third (1/3rd) of the shares subject to the option on each annual anniversary measured from April 8, 2025, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 20, 2024 Filed Dec 23, 2024 16:39 UTC
LEA LEIVChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $4.99 $0.00
Disclosure

SEC source: 0001610717-24-000551 · form4.xml · derivative · entry 1

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2034-12-20

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from December 20, 2024, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 20, 2024 Filed Dec 23, 2024 21:38 UTC
MILLER RICHARD A MDDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 750,000 $0.00 Strike: $4.99 $0.00
Disclosure

SEC source: 0001610717-24-000550 · form4.xml · derivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2034-12-20

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from December 20, 2024, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 20, 2024 Filed Dec 23, 2024 16:40 UTC
Arcara JeffreyChief Business Officer
GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $4.99 $0.00
Disclosure

SEC source: 0001610717-24-000553 · form4.xml · derivative · entry 1

Arcara Jeffrey · CIK 0002010430 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-12-20

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from December 20, 2024, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 20, 2024 Filed Dec 23, 2024 21:39 UTC GrantStock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $4.99 $0.00
Disclosure

SEC source: 0001610717-24-000552 · form4.xml · derivative · entry 1

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2034-12-20

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from December 20, 2024, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 16:43 UTC
Gould Terry PDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.12 $0.00
Disclosure

SEC source: 0001610717-24-000341 · form4.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2034-06-13

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 22:46 UTC
Grais LindaDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.12 $0.00
Disclosure

SEC source: 0001610717-24-000345 · form4.xml · derivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2034-06-13

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 20:48 UTC
CLARK IAN TDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.12 $0.00
Disclosure

SEC source: 0001610717-24-000344 · form4.xml · derivative · entry 1

CLARK IAN T · CIK 0001336504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2034-06-13

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 20:41 UTC
Thompson Peter A.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.12 $0.00
Disclosure

SEC source: 0001610717-24-000340 · form4.xml · derivative · entry 2

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2034-06-13

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: Pursuant to an agreement with Advisors and GP V, the Reporting Person is obligated to transfer any securities issued under any such stock options or other awards, or the economic benefit thereof, to Advisors and GP V, which will in turn ensure that such securities or economic benefits are provided to OPI V.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 20:44 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.12 $0.00
Disclosure

SEC source: 0001610717-24-000342 · form4.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2034-06-13

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2025 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
May 10, 2024 Filed May 14, 2024 21:02 UTC
MILLER RICHARD A MDDirector · President and CEO
GiftCommon Stock 302,016 $0.00 $0.00
Disclosure

SEC source: 0001610717-24-000237 · form4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 1,188,103

F1 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

Read SEC document
May 06, 2024 Filed May 7, 2024 21:05 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseWarrant (Right to Buy) · Derivative 559,073 Not disclosed Strike: $3.50 Not disclosed
Disclosure

SEC source: 0001610717-24-000231 · form4.xml · derivative · entry 3

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 559,073

Underlying: Common Stock · 559,073 shares

Expires 2025-06-30

F2 · price: Issued at no additional consideration to the Reporting Person in connection with their subscription for shares of the Issuer's Common Stock at a price of $1.7312.

Read SEC document
May 06, 2024 Filed May 7, 2024 21:05 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 577,634 $1.73 $999,999.98
Disclosure

SEC source: 0001610717-24-000231 · form4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 577,634

Read SEC document
May 06, 2024 Filed May 7, 2024 21:06 UTC PurchaseWarrant (Right to Buy) · Derivative 19,357 Not disclosed Strike: $3.50 Not disclosed
Disclosure

SEC source: 0001610717-24-000232 · form4.xml · derivative · entry 2

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,357

Underlying: Common Stock · 19,357 shares

Expires 2025-06-30

F1 · price: Issued at no additional consideration to the Reporting Person in connection with their subscription for shares of the Issuer's Common Stock at a price of $1.7312.

Read SEC document
May 06, 2024 Filed May 7, 2024 21:06 UTC PurchaseCommon Stock 20,000 $1.73 $34,624.00
Disclosure

SEC source: 0001610717-24-000232 · form4.xml · nonDerivative · entry 1

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,773

Read SEC document
May 06, 2024 Filed May 9, 2024 00:28 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
PurchaseCommon Warrants (right to buy) · Derivative 1,397,684 Not disclosed Strike: $3.50 Not disclosed
Disclosure

SEC source: 0000947871-24-000450 · ownership.xml · derivative · entry 2

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: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,397,684

Underlying: Common Stock · 1,397,684 shares

Expires not disclosed

F5 · price: Issued at no additional consideration to OPI V in connection with its subscription of Pre-Funded Warrants for shares of the Issuer's Common Stock at a price of $1.7311.

F2 · derivative.exercise_date: Subject to the terms and conditions set forth in the Common Warrant, the holder thereof may, at any time and from time to time on or after May 6, 2024, exercise the Common Warrant until it has been exercised in full. The Common Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Common Warrants until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Common Warrants beneficially owned by the Reporting Persons are not presently exercisable.

F2 · derivative.expiration_date: Subject to the terms and conditions set forth in the Common Warrant, the holder thereof may, at any time and from time to time on or after May 6, 2024, exercise the Common Warrant until it has been exercised in full. The Common Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Common Warrants until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Common Warrants beneficially owned by the Reporting Persons are not presently exercisable.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, 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 noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). 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.

F4 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Advisors and 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 1943, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP V have designated a representative, Peter A. Thompson, 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 is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 06, 2024 Filed May 9, 2024 00:28 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
PurchasePre-Funded Warrants (right to buy) · Derivative 1,444,085 $1.73 Strike: $0.00 $2,499,855.54
Disclosure

SEC source: 0000947871-24-000450 · ownership.xml · derivative · 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: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,444,085

Underlying: Common Stock · 1,444,085 shares

Expires not disclosed

F1 · derivative.exercise_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after May 6, 2024, exercise the Pre-Funded Warrant until it has been exercised in full. The Pre-Funded Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrants until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-Funded Warrants beneficially owned by the Reporting Persons are not presently exercisable.

F1 · derivative.expiration_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after May 6, 2024, exercise the Pre-Funded Warrant until it has been exercised in full. The Pre-Funded Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrants until such time as the holder, together with the Reporting Persons and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-Funded Warrants beneficially owned by the Reporting Persons are not presently exercisable.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, 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 noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). 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.

F4 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Advisors and 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 1943, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP V have designated a representative, Peter A. Thompson, 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 is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 06, 2024 Filed May 9, 2024 00:34 UTC
Thompson Peter A.Director · 10% owner
PurchaseCommon Warrants (right to buy) · Derivative 1,397,684 Not disclosed Strike: $3.50 Not disclosed
Disclosure

SEC source: 0000947871-24-000451 · ownership.xml · derivative · entry 2

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,397,684

Underlying: Common Stock · 1,397,684 shares

Expires not disclosed

F5 · price: Issued at no additional consideration to OPI V in connection with its subscription of Pre-Funded Warrants for shares of the Issuer's Common Stock at a price of $1.7311.

F2 · derivative.exercise_date: Subject to the terms and conditions set forth in the Common Warrant, the holder thereof may, at any time and from time to time on or after May 6, 2024, exercise the Common Warrant until it has been exercised in full. The Common Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Common Warrants until such time as the holder, together with OrbiMed Advisors and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Common Warrants beneficially owned by OrbiMed Advisors are not presently exercisable.

F2 · derivative.expiration_date: Subject to the terms and conditions set forth in the Common Warrant, the holder thereof may, at any time and from time to time on or after May 6, 2024, exercise the Common Warrant until it has been exercised in full. The Common Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Common Warrants until such time as the holder, together with OrbiMed Advisors and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Common Warrants beneficially owned by OrbiMed Advisors are not presently exercisable.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and 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 noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). 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. The Reporting Person is a member of Advisors.

F4 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, and GP V disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1943, 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 such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 06, 2024 Filed May 9, 2024 00:34 UTC
Thompson Peter A.Director · 10% owner
PurchasePre-Funded Warrants (right to buy) · Derivative 1,444,085 $1.73 Strike: $0.00 $2,499,855.54
Disclosure

SEC source: 0000947871-24-000451 · ownership.xml · derivative · entry 1

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,444,085

Underlying: Common Stock · 1,444,085 shares

Expires not disclosed

F1 · derivative.exercise_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after May 6, 2024, exercise the Pre-Funded Warrant until it has been exercised in full. The Pre-Funded Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrants until such time as the holder, together with OrbiMed Advisors LLC ("OrbiMed Advisors") and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-Funded Warrants beneficially owned by OrbiMed Advisors are not presently exercisable.

F1 · derivative.expiration_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after May 6, 2024, exercise the Pre-Funded Warrant until it has been exercised in full. The Pre-Funded Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Pre-Funded Warrants until such time as the holder, together with OrbiMed Advisors LLC ("OrbiMed Advisors") and certain other related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding Common Stock (the "Blocker"). Due to the Blocker, the Pre-Funded Warrants beneficially owned by OrbiMed Advisors are not presently exercisable.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and 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 noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). 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. The Reporting Person is a member of Advisors.

F4 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, and GP V disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1943, 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 such entity or person is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
February 28, 2024 Filed Mar 1, 2024 17:57 UTC
Arcara JeffreyChief Business Officer
GrantStock Option (Right to Buy) · Derivative 400,000 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001610717-24-000106 · form4.xml · derivative · entry 1

Arcara Jeffrey · CIK 0002010430 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2034-02-28

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from February 2, 2024, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

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December 06, 2023 Filed Dec 8, 2023 16:08 UTC
LEA LEIVChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000394 · form4.xml · derivative · entry 1

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-12-06

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

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December 06, 2023 Filed Dec 8, 2023 21:09 UTC
MILLER RICHARD A MDDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000395 · form4.xml · derivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2033-12-06

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

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December 06, 2023 Filed Dec 8, 2023 16:03 UTC
Gould Terry PDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000387 · form4.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-12-06

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 16:06 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000391 · form4.xml · derivative · entry 1

Mitchell Edith P. · CIK 0001484982 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-12-06

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 21:05 UTC
Grais LindaDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000390 · form4.xml · derivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-12-06

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 21:04 UTC
CLARK IAN TDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000389 · form4.xml · derivative · entry 1

CLARK IAN T · CIK 0001336504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-12-06

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 21:02 UTC
Thompson Peter A.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000386 · form4.xml · derivative · entry 2

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-12-06

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

F4 · ownership.direct: Pursuant to an agreement with OrbiMed Advisors LLC and OrbiMed Capital GP V LLC, the Reporting Person is obligated to transfer any securities issued under any such stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC and OrbiMed Capital GP V LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments V, LP.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 21:07 UTC GrantStock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000392 · form4.xml · derivative · entry 1

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-12-06

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 21:03 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001610717-23-000388 · form4.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-12-06

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-twelfth (1/12th) of the shares subject to the option in successive, equal monthly installments measured from December 6, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 17:01 UTC
Gould Terry PDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001610717-23-000188 · form4.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-06-15

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2024 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of the Funds. By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Brian Dudley, Elisha P. Gould, Robin Murray and Fred Wang, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 16:57 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001610717-23-000184 · form4.xml · derivative · entry 1

Mitchell Edith P. · CIK 0001484982 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2024 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

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June 15, 2023 Filed Jun 20, 2023 20:58 UTC
Grais LindaDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001610717-23-000185 · form4.xml · derivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2024 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 21:00 UTC
CLARK IAN TDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001610717-23-000187 · form4.xml · derivative · entry 1

CLARK IAN T · CIK 0001336504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2024 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 21:03 UTC
Thompson Peter A.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001610717-23-000189 · form4.xml · derivative · entry 2

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-06-15

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2024 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: Pursuant to an agreement with OrbiMed Advisors LLC and OrbiMed Capital GP V LLC, the Reporting Person is obligated to transfer any securities issued under any such stock options or other awards, or the economic benefit thereof, to OrbiMed Advisors LLC and OrbiMed Capital GP V LLC, which will in turn ensure that such securities or economic benefits are provided to OrbiMed Private Investments V, LP.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 20:59 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001610717-23-000186 · form4.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2024 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
May 15, 2023 Filed May 16, 2023 20:54 UTC
Grais LindaDirector
PurchaseCommon Stock 10,000 $2.45 $24,500.00
Disclosure

SEC source: 0001610717-23-000041 · form4.xml · nonDerivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
March 31, 2023 Filed Apr 3, 2023 20:30 UTC
MILLER RICHARD A MDDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 800,000 $0.00 Strike: $0.91 $0.00
Disclosure

SEC source: 0001140361-23-015800 · form4.xml · derivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2033-03-31

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 1/36th of the shares subject to the option in successive, equal monthly installments measured from March 31, 2023, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
December 20, 2022 Filed Dec 20, 2022 23:22 UTC PurchaseCommon Stock 20,000 $0.79 $15,800.00
Disclosure

SEC source: 0001567619-22-021876 · doc1.xml · nonDerivative · entry 1

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,773

Read SEC document
December 14, 2022 Filed Dec 15, 2022 16:33 UTC
LEA LEIVChief Financial Officer
PurchaseCommon Stock 4,000 $0.84 $3,364.00
Disclosure

SEC source: 0001567619-22-021651 · doc1.xml · nonDerivative · entry 2

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 133,238

F2 · ownership.nature: These shares are held by Leiv Lea IRA Contributory.

Read SEC document
December 14, 2022 Filed Dec 15, 2022 21:32 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 10,000 $0.78 $7,812.00
Disclosure

SEC source: 0001567619-22-021650 · doc1.xml · nonDerivative · entry 2

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,490,119

F4 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.7798 to $0.7899, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

Read SEC document
December 13, 2022 Filed Dec 15, 2022 16:33 UTC
LEA LEIVChief Financial Officer
PurchaseCommon Stock 30,000 $0.74 $22,275.00
Disclosure

SEC source: 0001567619-22-021651 · doc1.xml · nonDerivative · entry 1

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 129,238

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.7255 to $0.7806, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These shares are held by Leiv Lea IRA Contributory.

Read SEC document
December 13, 2022 Filed Dec 15, 2022 21:32 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 50,000 $0.74 $37,015.00
Disclosure

SEC source: 0001567619-22-021650 · doc1.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,480,119

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.73 to $0.7580, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes 35,714 shares previously held directly.

F3 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

Read SEC document
September 28, 2022 Filed Sep 28, 2022 21:45 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 25,000 $0.76 $19,070.00
Disclosure

SEC source: 0001567619-22-017917 · doc1.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,394,405

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.7425 to $0.79, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

Read SEC document
September 20, 2022 Filed Sep 20, 2022 22:58 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 5,000 $0.82 $4,075.00
Disclosure

SEC source: 0001567619-22-017639 · doc1.xml · nonDerivative · entry 3

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,369,405

F1 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

Read SEC document
September 20, 2022 Filed Sep 20, 2022 22:58 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 2,700 $0.82 $2,214.00
Disclosure

SEC source: 0001567619-22-017639 · doc1.xml · nonDerivative · entry 2

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,364,405

F1 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

Read SEC document
September 20, 2022 Filed Sep 20, 2022 22:58 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 12,300 $0.81 $9,964.23
Disclosure

SEC source: 0001567619-22-017639 · doc1.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,361,705

F1 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

Read SEC document

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