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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.
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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

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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
August 11, 2022 Filed Aug 15, 2022 18:49 UTC
LEA LEIVChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016299 · doc1.xml · derivative · entry 1

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2032-08-11

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
August 11, 2022 Filed Aug 15, 2022 22:40 UTC
MILLER RICHARD A MDDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 320,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016298 · doc1.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,000

Underlying: Common Stock · 320,000 shares

Expires 2032-08-11

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
August 11, 2022 Filed Aug 15, 2022 18:36 UTC
Gould Terry PDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016293 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-08-11

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 August 11, 2022, 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
August 11, 2022 Filed Aug 15, 2022 18:44 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016297 · doc1.xml · derivative · entry 1

Mitchell Edith P. · CIK 0001484982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-08-11

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 August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
August 11, 2022 Filed Aug 15, 2022 22:39 UTC
Grais LindaDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016296 · doc1.xml · derivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-08-11

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 August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
August 11, 2022 Filed Aug 15, 2022 22:20 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001104659-22-091430 · tm2223529-1_4seq1.xml · derivative · entry 2

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-08-11

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 August 11, 2022, subject to Elisha P. Gould's continued service relationship with the Issuer on each such vesting date.

F4 · ownership.nature: 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
August 11, 2022 Filed Aug 15, 2022 22:37 UTC
CLARK IAN TDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016295 · doc1.xml · derivative · entry 1

CLARK IAN T · CIK 0001336504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-08-11

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 August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
August 11, 2022 Filed Aug 15, 2022 22:47 UTC
Thompson Peter A.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016289 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-08-11

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 August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

F4 · ownership.direct: The Reporting Person is obligated to transfer any shares issued pursuant to any equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors and certain of its related entities. As such, the Reporting Person 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 pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
August 11, 2022 Filed Aug 15, 2022 22:44 UTC GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016300 · doc1.xml · derivative · entry 1

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2032-08-11

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
August 11, 2022 Filed Aug 15, 2022 22:39 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001567619-22-016294 · doc1.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-08-11

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 August 11, 2022, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

Read SEC document
June 27, 2022 Filed Jun 28, 2022 23:15 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 5,000 $1.00 $4,984.50
Disclosure

SEC source: 0001567619-22-013465 · 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: 1,349,405

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
June 24, 2022 Filed Jun 28, 2022 23:15 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 5,000 $1.03 $5,150.00
Disclosure

SEC source: 0001567619-22-013465 · 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: 1,344,405

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
June 15, 2022 Filed Jun 17, 2022 17:37 UTC
Gould Terry PDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001567619-22-013131 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-15

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 2023 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, 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, 2022 Filed Jun 17, 2022 17:26 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001567619-22-013123 · doc1.xml · derivative · entry 1

Mitchell Edith P. · CIK 0001484982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-15

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 2023 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
June 15, 2022 Filed Jun 18, 2022 01:27 UTC
Grais LindaDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001567619-22-013139 · doc1.xml · derivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-15

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 2023 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:26 UTC
CLARK IAN TDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001567619-22-013125 · doc1.xml · derivative · entry 1

CLARK IAN T · CIK 0001336504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-15

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 2023 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
June 15, 2022 Filed Jun 17, 2022 21:35 UTC
Thompson Peter A.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001567619-22-013130 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-15

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 2023 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: The Reporting Person is obligated to transfer any shares issued pursuant to any equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors and certain of its related entities. As such, the Reporting Person 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 pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
June 15, 2022 Filed Jun 18, 2022 01:31 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001567619-22-013140 · doc1.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-15

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 2023 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

Read SEC document
June 06, 2022 Filed Jun 6, 2022 22:43 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 890 $1.01 $898.90
Disclosure

SEC source: 0001567619-22-012396 · 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: 1,339,405

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
June 02, 2022 Filed Jun 6, 2022 22:43 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 170 $0.97 $164.90
Disclosure

SEC source: 0001567619-22-012396 · 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: 1,338,515

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
June 02, 2022 Filed Jun 6, 2022 22:43 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 4,830 $0.98 $4,733.40
Disclosure

SEC source: 0001567619-22-012396 · 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: 1,338,345

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
March 31, 2022 Filed Apr 1, 2022 20:18 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 15,000 $1.64 $24,534.00
Disclosure

SEC source: 0001567619-22-007839 · 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: 1,333,515

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.60 to $1.679, 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 Trus

Read SEC document
March 17, 2022 Filed Mar 17, 2022 19:10 UTC
LEA LEIVChief Financial Officer
PurchaseCommon Stock 13,878 $1.65 $22,898.70
Disclosure

SEC source: 0001567619-22-007173 · doc1.xml · nonDerivative · entry 2

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 99,238

F3 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.62 to $1.66 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
March 17, 2022 Filed Mar 17, 2022 23:09 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 5,000 $1.59 $7,950.00
Disclosure

SEC source: 0001567619-22-007172 · 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: 1,318,515

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 Trus

Read SEC document
March 16, 2022 Filed Mar 17, 2022 19:10 UTC
LEA LEIVChief Financial Officer
PurchaseCommon Stock 35,160 $1.54 $54,146.40
Disclosure

SEC source: 0001567619-22-007173 · doc1.xml · nonDerivative · entry 1

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 85,360

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.45 to $1.60 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
March 15, 2022 Filed Mar 17, 2022 23:09 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 25,000 $1.47 $36,650.00
Disclosure

SEC source: 0001567619-22-007172 · 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: 1,313,515

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.4798 to $1.48, 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 Trus

Read SEC document
October 01, 2021 Filed Oct 1, 2021 23:39 UTC SaleCommon Stock 2,000,000 $4.96 $9,928,800.00
Disclosure

SEC source: 0001567619-21-017771 · doc1.xml · nonDerivative · entry 2

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 81,077

F3 · shares: Qualified Fund sold 1,760,600 shares of Common Stock in this transaction and held 42,913 shares of Common Stock following this transaction.

F3 · balance_after: Qualified Fund sold 1,760,600 shares of Common Stock in this transaction and held 42,913 shares of Common Stock following this transaction.

F2 · ownership.nature: The filing persons (the "Filers") are EcoR1 Capital, LLC ("EcoR1"), Oleg Nodelman and Qualified Fund. EcoR1 is the general partner and investment adviser of private funds, including Qualified Fund (collectively, the "Funds"). Mr. Nodelman is the manager and controlling owner of EcoR1. EcoR1 is filing this Form 4 for itself, Mr. Nodelman and Qualified Fund. The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group, within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. The Funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the Funds, and Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Filers disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interests therein.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 23:39 UTC SaleCommon Stock 3,000,000 $5.04 $15,131,100.00
Disclosure

SEC source: 0001567619-21-017771 · doc1.xml · nonDerivative · entry 1

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 2,081,077

F1 · shares: EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") sold 2,643,300 shares of Common Stock in this transaction and held 1,803,513 shares of Common Stock following this transaction.

F1 · balance_after: EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") sold 2,643,300 shares of Common Stock in this transaction and held 1,803,513 shares of Common Stock following this transaction.

F2 · ownership.nature: The filing persons (the "Filers") are EcoR1 Capital, LLC ("EcoR1"), Oleg Nodelman and Qualified Fund. EcoR1 is the general partner and investment adviser of private funds, including Qualified Fund (collectively, the "Funds"). Mr. Nodelman is the manager and controlling owner of EcoR1. EcoR1 is filing this Form 4 for itself, Mr. Nodelman and Qualified Fund. The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group, within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. The Funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the Funds, and Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Filers disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interests therein.

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September 20, 2021 Filed Sep 22, 2021 21:27 UTC
ORBIMED ADVISORS LLCDirector · 10% owner
OrbiMed Capital GP V LLCDirector · 10% owner
SaleCommon Stock, $0.0001 par value 1,109,644 $6.09 $6,757,731.96
Disclosure

SEC source: 0000947871-21-001017 · 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: Indirect · See Footnotes

Disclosed balance after: 6,943,654

F1 · price: The price in column 4 is a weighted average price. These shares of the Issuer's common stock were sold in multiple transactions at prices ranging from $6.01 to $6.09. The Reporting Persons undertake to provide Corvus Pharmaceuticals, Inc., any security holder of Corvus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2 · ownership.nature: These shares of the Issuer's common stock 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. 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.

F3 · ownership.nature: This report is being 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 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. The Reporting Persons have designated Peter Thompson ("Thompson"), an employee 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 Thompson 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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September 20, 2021 Filed Sep 22, 2021 21:24 UTC
Thompson Peter A.Director · 10% owner
SaleCommon Stock, $0.0001 par value 1,109,644 $6.09 $6,757,731.96
Disclosure

SEC source: 0000947871-21-001016 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,943,654

F1 · price: The price in column 4 is a weighted average price. These shares of the Issuer's common stock were sold in multiple transactions at prices ranging from $6.01 to $6.09. The Reporting Person undertakes to provide Corvus Pharmaceuticals, Inc., any security holder of Corvus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2 · ownership.nature: These shares of the Issuer's common stock 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. The Reporting Person is an employee of OrbiMed Advisors. OrbiMed Advisors exercises 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.

F3 · ownership.nature: Each of the Reporting Person, GP V, and OrbiMed Advisors 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 or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, GP V, or OrbiMed Advisors are 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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September 09, 2021 Filed Sep 13, 2021 16:59 UTC
LEA LEIVChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017014 · doc1.xml · derivative · entry 1

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2031-09-09

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from September 9, 2021, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

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September 09, 2021 Filed Sep 13, 2021 21:00 UTC
MILLER RICHARD A MDDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 320,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017015 · doc1.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,000

Underlying: Common Stock · 320,000 shares

Expires 2031-09-09

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from September 9, 2021, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

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September 09, 2021 Filed Sep 13, 2021 16:53 UTC
Gould Terry PDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017010 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-09-09

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 first anniversary of the grant 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, 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.

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September 09, 2021 Filed Sep 13, 2021 16:55 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017011 · doc1.xml · derivative · entry 1

Mitchell Edith P. · CIK 0001484982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-09-09

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 first anniversary of the grant date.

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September 09, 2021 Filed Sep 13, 2021 20:56 UTC
Grais LindaDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017012 · doc1.xml · derivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-09-09

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 first anniversary of the grant date.

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September 09, 2021 Filed Sep 13, 2021 20:02 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001104659-21-115070 · tm2127493-1_4seq1.xml · derivative · entry 2

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2021-09-09

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 first anniversary of the grant date.

F4 · ownership.nature: 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, 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.

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September 09, 2021 Filed Sep 13, 2021 20:48 UTC
CLARK IAN TDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017007 · doc1.xml · derivative · entry 1

CLARK IAN T · CIK 0001336504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-09-09

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 first anniversary of the grant date.

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September 09, 2021 Filed Sep 13, 2021 20:53 UTC
Thompson Peter A.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017009 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-09-09

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 first anniversary of the grant date.

F4 · ownership.direct: The Reporting Person is obligated to transfer any shares issued pursuant to any equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors and certain of its related entities. As such, the Reporting Person 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 pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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September 09, 2021 Filed Sep 13, 2021 20:57 UTC GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017013 · doc1.xml · derivative · entry 1

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2031-09-09

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from September 9, 2021, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

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September 09, 2021 Filed Sep 13, 2021 20:51 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001567619-21-017008 · doc1.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-09-09

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 first anniversary of the grant date.

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August 20, 2021 Filed Aug 24, 2021 01:01 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 10,000 $1.93 $19,254.00
Disclosure

SEC source: 0001567619-21-016250 · 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: 1,288,515

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.90 to $1.94, 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.

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June 15, 2021 Filed Jun 16, 2021 16:16 UTC
Gould Terry PDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001567619-21-012192 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

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 2022 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, 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.

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June 15, 2021 Filed Jun 16, 2021 16:19 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001567619-21-012199 · doc1.xml · derivative · entry 1

Mitchell Edith P. · CIK 0001484982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

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 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

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June 15, 2021 Filed Jun 16, 2021 20:19 UTC
Grais LindaDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001567619-21-012197 · doc1.xml · derivative · entry 1

Grais Linda · CIK 0001413306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

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 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

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June 15, 2021 Filed Jun 16, 2021 20:15 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001104659-21-082015 · tm2119970-1_4seq1.xml · derivative · entry 2

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

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 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.nature: 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, 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.

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June 15, 2021 Filed Jun 16, 2021 20:18 UTC
CLARK IAN TDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001567619-21-012195 · doc1.xml · derivative · entry 1

CLARK IAN T · CIK 0001336504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

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 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

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June 15, 2021 Filed Jun 16, 2021 20:15 UTC
Thompson Peter A.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001567619-21-012191 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

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 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: The Reporting Person is obligated to transfer any shares issued pursuant to any equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors and certain of its related entities. As such, the Reporting Person 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 pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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June 15, 2021 Filed Jun 16, 2021 20:17 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.74 $0.00
Disclosure

SEC source: 0001567619-21-012193 · doc1.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

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 2022 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

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May 04, 2021 Filed May 5, 2021 21:01 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 35,714 $2.80 $99,999.20
Disclosure

SEC source: 0001567619-21-009124 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,714

Read SEC document
February 17, 2021 Filed Feb 17, 2021 21:44 UTC
MILLER RICHARD A MDDirector · President and CEO
PurchaseCommon Stock 100,000 $3.50 $350,000.00
Disclosure

SEC source: 0001567619-21-004271 · 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: 1,278,515

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.

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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.