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Hepion Pharmaceuticals, Inc.

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Tapewire entity
8208
SEC CIK
0001583771
Parsed reports
99

Last 12 months

Inside the activity.

12 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 202650
May 202600
Jun 202600
Jul 202600
Aug 202660
Sep 202610
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
September 29, 2026 Filed Oct 3, 2026 00:30 UTC PurchaseWarrants · Derivative 200,000 $0.00 Strike: $0.06 $0.00
Disclosure

SEC source: 0001493152-26-045526 · ownership.xml · derivative · entry 2

Fisher Danina · CIK 0002144035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Commmon Stock · 200,000 shares

Expires 2031-09-29

Read SEC document
September 29, 2026 Filed Oct 3, 2026 00:30 UTC PurchaseCommon Stock 200,000 $0.05 $10,000.00
Disclosure

SEC source: 0001493152-26-045526 · ownership.xml · nonDerivative · entry 1

Fisher Danina · CIK 0002144035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Read SEC document
September 03, 2026 Filed Sep 14, 2026 10:30 UTC
LoPriore Vincent SDirector · Executive Chairman
PurchaseWarrants · Derivative 12,500,000 $0.00 Strike: $0.06 $0.00
Disclosure

SEC source: 0001493152-26-042470 · ownership.xml · derivative · entry 1

LoPriore Vincent S · CIK 0001633927 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Gravitas Capital LP

Disclosed balance after: 22,500,000

Underlying: Common Stock · 12,500,000 shares

Expires 2031-09-03

F1 · derivative.exercise_date: Warrant is only exercisable upon stockholder approval of an increase in the authorized shares of the Company's Common Stock.

F2 · ownership.nature: Mr. LoPriore is the Managing Member of Gravitas Capital LP and in such capacity has the right to vote and dispose of the securities held by such entity.

Read SEC document
August 19, 2026 Filed Sep 10, 2026 20:15 UTC GrantStock Options · Derivative 299,000 $0.00 Strike: $0.08 $0.00
Disclosure

SEC source: 0001493152-26-042169 · ownership.xml · derivative · entry 1

Purcell Michael J. · CIK 0001694934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,000

Underlying: Common Stock · 299,000 shares

Expires 2036-08-19

Read SEC document
August 19, 2026 Filed Aug 21, 2026 20:34 UTC
LoPriore Vincent SDirector · Executive Chairman
GrantStock Options · Derivative 1,345,500 $0.00 Strike: $0.08 $0.00
Disclosure

SEC source: 0001493152-26-039702 · ownership.xml · derivative · entry 1

LoPriore Vincent S · CIK 0001633927 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,345,500

Underlying: Common Stock · 1,345,500 shares

Expires 2036-08-19

F1 · derivative.exercise_date: 336,375 options vest upon grant and the remaining amount vests in equal amounts monthly over 6 months from date of grant.

Read SEC document
August 19, 2026 Filed Aug 21, 2026 20:36 UTC
Stetz Gary S.Director · Interim CEO
GrantStock Options · Derivative 1,345,500 $0.00 Strike: $0.08 $0.00
Disclosure

SEC source: 0001493152-26-039705 · ownership.xml · derivative · entry 1

Stetz Gary S. · CIK 0001532793 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,345,500

Underlying: Common Stock · 1,345,500 shares

Expires 2036-08-19

F1 · derivative.exercise_date: 336,375 options vest upon grant and the remaining amount vests in equal amounts monthly over 6 months from date of grant.

Read SEC document
August 19, 2026 Filed Aug 21, 2026 20:33 UTC
LoPriore ChaseDirector · VP, Corp. Dev.
GrantStock Options · Derivative 1,345,500 $0.00 Strike: $0.08 $0.00
Disclosure

SEC source: 0001493152-26-039701 · ownership.xml · derivative · entry 1

LoPriore Chase · CIK 0002136903 · Director · VP, Corp. Dev.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,345,500

Underlying: Common Stock · 1,345,500 shares

Expires 2036-08-19

F1 · derivative.exercise_date: 336,375 options vest upon grant and the remaining amount vests in equal amounts monthly over 6 months from date of grant.

Read SEC document
August 19, 2026 Filed Aug 21, 2026 20:31 UTC GrantStock Options · Derivative 299,000 $0.00 Strike: $0.08 $0.00
Disclosure

SEC source: 0001493152-26-039698 · ownership.xml · derivative · entry 1

Fisher Danina · CIK 0002144035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,000

Underlying: Common Stock · 299,000 shares

Expires 2036-08-19

Read SEC document
August 19, 2026 Filed Aug 21, 2026 20:30 UTC GrantStock Options · Derivative 299,000 $0.00 Strike: $0.08 $0.00
Disclosure

SEC source: 0001493152-26-039690 · ownership.xml · derivative · entry 1

Liddy James Gordon · CIK 0002082917 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,000

Underlying: Common Stock · 299,000 shares

Expires 2036-08-19

Read SEC document
August 19, 2026 Filed Aug 21, 2026 20:29 UTC
Appajosyula SireeshDirector · Chief Operating Officer
GrantStock Options · Derivative 1,345,500 $0.00 Strike: $0.08 $0.00
Disclosure

SEC source: 0001493152-26-039688 · ownership.xml · derivative · entry 1

Appajosyula Sireesh · CIK 0001901565 · Director · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,345,500

Underlying: Common Stock · 1,345,500 shares

Expires 2036-08-19

F1 · derivative.exercise_date: 336,375 options vest upon grant and the remaining amount vests in equal amounts monthly over 6 months from date of grant.

Read SEC document
August 19, 2026 Filed Aug 21, 2026 20:28 UTC GrantStock Options · Derivative 299,000 $0.00 Strike: $0.08 $0.00
Disclosure

SEC source: 0001493152-26-039685 · ownership.xml · derivative · entry 1

Stetz Gary S. II · CIK 0002145064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,000

Underlying: Common Stock · 299,000 shares

Expires 2036-08-19

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:39 UTC PurchaseWarrants · Derivative 2,000,000 $0.00 Strike: $0.06 $0.00
Disclosure

SEC source: 0001493152-26-037493 · ownership.xml · derivative · entry 2

Purcell Michael J. · CIK 0001694934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2031-08-03

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:39 UTC PurchaseCommon Stock 2,000,000 $0.05 $100,000.00
Disclosure

SEC source: 0001493152-26-037493 · ownership.xml · nonDerivative · entry 1

Purcell Michael J. · CIK 0001694934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,250,000

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:34 UTC
LoPriore Vincent SDirector · Executive Chairman
PurchaseWarrants · Derivative 2,000,000 $0.00 Strike: $0.06 $0.00
Disclosure

SEC source: 0001493152-26-037489 · ownership.xml · derivative · entry 4

LoPriore Vincent S · CIK 0001633927 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Invictus Capital Advisors Pension Plan

Disclosed balance after: 10,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2031-08-03

F2 · ownership.nature: Mr. LoPriore is the trustee and beneficiary of the Invictus Capital Advisors Pension Plan and in such capacity has the right to vote and dispose of the securities held by such entity.

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:34 UTC
LoPriore Vincent SDirector · Executive Chairman
PurchaseWarrants · Derivative 8,000,000 $0.00 Strike: $0.06 $0.00
Disclosure

SEC source: 0001493152-26-037489 · ownership.xml · derivative · entry 3

LoPriore Vincent S · CIK 0001633927 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Gravitas Capital LP

Disclosed balance after: 8,000,000

Underlying: Common Stock · 8,000,000 shares

Expires 2031-08-03

F1 · ownership.nature: Mr. LoPriore is the Managing Member of Gravitas Capital LP and in such capacity has the right to vote and dispose of the securities held by such entity.

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:34 UTC
LoPriore Vincent SDirector · Executive Chairman
PurchaseCommon Stock 2,000,000 $0.05 $100,000.00
Disclosure

SEC source: 0001493152-26-037489 · ownership.xml · nonDerivative · entry 2

LoPriore Vincent S · CIK 0001633927 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Invictus Capital Advisors Pension Plan

Disclosed balance after: 16,250,000

F2 · ownership.nature: Mr. LoPriore is the trustee and beneficiary of the Invictus Capital Advisors Pension Plan and in such capacity has the right to vote and dispose of the securities held by such entity.

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:34 UTC
LoPriore Vincent SDirector · Executive Chairman
PurchaseCommon Stock 8,000,000 $0.05 $400,000.00
Disclosure

SEC source: 0001493152-26-037489 · ownership.xml · nonDerivative · entry 1

LoPriore Vincent S · CIK 0001633927 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Gravitas Capital LP

Disclosed balance after: 14,250,000

F1 · ownership.nature: Mr. LoPriore is the Managing Member of Gravitas Capital LP and in such capacity has the right to vote and dispose of the securities held by such entity.

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:41 UTC
Stetz Gary S.Director · Interim CEO
PurchaseWarrants · Derivative 2,000,000 $0.00 Strike: $0.06 $0.00
Disclosure

SEC source: 0001493152-26-037496 · ownership.xml · derivative · entry 2

Stetz Gary S. · CIK 0001532793 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2031-08-03

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:41 UTC
Stetz Gary S.Director · Interim CEO
PurchaseCommon Stock 2,000,000 $0.05 $100,000.00
Disclosure

SEC source: 0001493152-26-037496 · ownership.xml · nonDerivative · entry 1

Stetz Gary S. · CIK 0001532793 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,250,000

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:36 UTC
Appajosyula SireeshDirector · Chief Operating Officer
PurchaseWarrants · Derivative 2,000,000 $0.00 Strike: $0.06 $0.00
Disclosure

SEC source: 0001493152-26-037490 · ownership.xml · derivative · entry 2

Appajosyula Sireesh · CIK 0001901565 · Director · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2031-08-03

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:36 UTC
Appajosyula SireeshDirector · Chief Operating Officer
PurchaseCommon Stock 2,000,000 $0.05 $100,000.00
Disclosure

SEC source: 0001493152-26-037490 · ownership.xml · nonDerivative · entry 1

Appajosyula Sireesh · CIK 0001901565 · Director · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,250,000

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:43 UTC PurchaseWarrants · Derivative 500,000 $0.00 Strike: $0.06 $0.00
Disclosure

SEC source: 0001493152-26-037500 · ownership.xml · derivative · entry 2

Stetz Gary S. II · CIK 0002145064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-08-03

Read SEC document
August 03, 2026 Filed Aug 13, 2026 01:43 UTC PurchaseCommon Stock 500,000 $0.05 $25,000.00
Disclosure

SEC source: 0001493152-26-037500 · ownership.xml · nonDerivative · entry 1

Stetz Gary S. II · CIK 0002145064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Read SEC document
April 21, 2026 Filed Apr 27, 2026 21:33 UTC PurchaseCommon Stock, par value $0.0001 per share 1,250,000 $0.04 $50,000.00
Disclosure

SEC source: 0001493152-26-019202 · ownership.xml · nonDerivative · entry 1

Purcell Michael J. · CIK 0001694934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250,000

Read SEC document
April 21, 2026 Filed Apr 27, 2026 10:24 UTC
LoPriore Vincent SDirector · Executive Chairman · 10% owner
PurchaseCommon Stock, par value $0.0001 per share 1,250,000 $0.04 $50,000.00
Disclosure

SEC source: 0001493152-26-019029 · ownership.xml · nonDerivative · entry 2

LoPriore Vincent S · CIK 0001633927 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Invictus Capital Advisors Pension Plan

Disclosed balance after: 6,250,000

F2 · ownership.nature: Mr. LoPriore is the trustee and beneficiary of the Pension Plan and in such capacity has the right to vote and dispose of the securities held by such entity.

Read SEC document
April 21, 2026 Filed Apr 27, 2026 10:24 UTC
LoPriore Vincent SDirector · Executive Chairman · 10% owner
PurchaseCommon Stock, par value $0.0001 per share 5,000,000 $0.04 $200,000.00
Disclosure

SEC source: 0001493152-26-019029 · ownership.xml · nonDerivative · entry 1

LoPriore Vincent S · CIK 0001633927 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Gravitas Capital LP

Disclosed balance after: 5,000,000

F1 · ownership.nature: Mr. LoPriore is the Managing Member of Gravitas Capital LP and in such capacity has the right to vote and dispose of the securities held by such entity.

Read SEC document
April 21, 2026 Filed Apr 27, 2026 10:24 UTC
Stetz Gary S.Director · Interim CEO
PurchaseCommon Stock, par value $0.0001 per share 1,250,000 $0.04 $50,000.00
Disclosure

SEC source: 0001493152-26-019027 · ownership.xml · nonDerivative · entry 1

Stetz Gary S. · CIK 0001532793 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,250,000

F1 · ownership.nature: Through Stetz Belgiovine CPA 401K F/B/O Gary S. Stetz

Read SEC document
April 21, 2026 Filed Apr 27, 2026 10:24 UTC PurchaseCommon Stock, par value $0.0001 per share 1,250,000 $0.04 $50,000.00
Disclosure

SEC source: 0001493152-26-019028 · ownership.xml · nonDerivative · entry 1

Appajosyula Sireesh · CIK 0001901565 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250,000

Read SEC document
March 06, 2024 Filed Mar 7, 2024 21:15 UTC GrantRestricted Stock Units · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-009215 · ownership.xml · derivative · entry 1

Purcell Michael J. · CIK 0001694934 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The Reporting Person was granted restricted stock units (RSU's) which represent a contingent right to receive one share of Common Stock for each RSU.

F2 · derivative.exercise_date: Upon the earlier of (i) one year from date of grant or (ii) a change of control of the Issuer.

F1 · derivative.expiration_date: The Reporting Person was granted restricted stock units (RSU's) which represent a contingent right to receive one share of Common Stock for each RSU.

Read SEC document
February 19, 2024 Filed Feb 21, 2024 20:01 UTC GrantStock Options · Derivative 85,000 $0.00 Strike: $2.56 $0.00
Disclosure

SEC source: 0001493152-24-007464 · ownership.xml · derivative · entry 1

Lbiati Kaouthar · CIK 0001938708 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,000

Underlying: Common Stock · 85,000 shares

Expires 2034-02-19

Read SEC document
February 19, 2024 Filed Feb 22, 2024 01:01 UTC
JACOB GARY SDirector
GrantStock Options · Derivative 85,000 $0.00 Strike: $2.56 $0.00
Disclosure

SEC source: 0001493152-24-007462 · ownership.xml · derivative · entry 1

JACOB GARY S · CIK 0001266802 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,120

Underlying: Common Stock · 85,000 shares

Expires 2026-02-19

Read SEC document
February 19, 2024 Filed Feb 22, 2024 01:01 UTC
BRANCACCIO JOHN PDirector · Chairman
GrantStock Options · Derivative 85,000 $0.00 Strike: $2.56 $0.00
Disclosure

SEC source: 0001493152-24-007463 · ownership.xml · derivative · entry 1

BRANCACCIO JOHN P · CIK 0001276551 · Director · Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,563

Underlying: Common Stock · 85,000 shares

Expires 2034-02-19

Read SEC document
February 19, 2024 Filed Feb 22, 2024 01:01 UTC GrantStock Options · Derivative 85,000 $0.00 Strike: $2.56 $0.00
Disclosure

SEC source: 0001493152-24-007465 · ownership.xml · derivative · entry 1

Block Timothy M. · CIK 0001593465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,562

Underlying: Common Stock · 85,000 shares

Expires 2034-02-19

Read SEC document
November 27, 2023 Filed Nov 28, 2023 06:55 UTC PurchaseCommon Stock 2,500 $3.05 $7,625.00
Disclosure

SEC source: 0001104659-23-121427 · tm2331632-1_4seq1.xml · nonDerivative · entry 2

Wijngaard Peter · CIK 0001778501 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,501

Read SEC document
November 24, 2023 Filed Nov 28, 2023 06:55 UTC PurchaseCommon Stock 2,500 $3.09 $7,725.00
Disclosure

SEC source: 0001104659-23-121427 · tm2331632-1_4seq1.xml · nonDerivative · entry 1

Wijngaard Peter · CIK 0001778501 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,001

Read SEC document
September 19, 2023 Filed Sep 20, 2023 11:27 UTC PurchaseCommon Stock 1,000 $5.64 $5,640.00
Disclosure

SEC source: 0001104659-23-102209 · tm2326377-2_4seq1.xml · nonDerivative · entry 4

Wijngaard Peter · CIK 0001778501 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,501

Read SEC document
September 18, 2023 Filed Sep 19, 2023 13:01 UTC
Foster Robert TDirector · CEO and Director
PurchaseCommon Stock 1,600 $5.60 $8,960.00
Disclosure

SEC source: 0001104659-23-101784 · tm2326377-1_4seq1.xml · nonDerivative · entry 1

Foster Robert T · CIK 0001677370 · Director · CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,470

Read SEC document
September 15, 2023 Filed Sep 18, 2023 12:00 UTC
Foster Robert TDirector · CEO,CSO and Director
PurchaseCommon Stock 1,600 $5.40 $8,640.00
Disclosure

SEC source: 0001104659-23-101391 · tm2326273-1_4seq1.xml · nonDerivative · entry 1

Foster Robert T · CIK 0001677370 · Director · CEO,CSO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,870

Read SEC document
September 15, 2023 Filed Sep 20, 2023 11:27 UTC PurchaseCommon Stock 861 $5.37 $4,623.57
Disclosure

SEC source: 0001104659-23-102209 · tm2326377-2_4seq1.xml · nonDerivative · entry 3

Wijngaard Peter · CIK 0001778501 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,501

Read SEC document
September 15, 2023 Filed Sep 20, 2023 11:27 UTC PurchaseCommon Stock 139 $5.45 $757.55
Disclosure

SEC source: 0001104659-23-102209 · tm2326377-2_4seq1.xml · nonDerivative · entry 2

Wijngaard Peter · CIK 0001778501 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,640

Read SEC document
September 15, 2023 Filed Sep 20, 2023 11:27 UTC PurchaseCommon Stock 1,000 $5.82 $5,820.00
Disclosure

SEC source: 0001104659-23-102209 · tm2326377-2_4seq1.xml · nonDerivative · entry 1

Wijngaard Peter · CIK 0001778501 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,501

Read SEC document
May 18, 2021 Filed May 20, 2021 16:37 UTC GrantStock Options · Derivative 200,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001104659-21-069942 · tm2117144-8_4seq1.xml · derivative · entry 1

Wijngaard Peter · CIK 0001778501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 200,000 shares

Expires 2031-05-18

F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.

Read SEC document
May 18, 2021 Filed May 20, 2021 20:36 UTC
JACOB GARY SDirector
GrantStock Options · Derivative 250,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001104659-21-069940 · tm2117144d6_4seq1.xml · derivative · entry 1

JACOB GARY S · CIK 0001266802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,785

Underlying: Common Stock · 250,000 shares

Expires 2031-05-18

F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.

Read SEC document
May 18, 2021 Filed May 20, 2021 16:33 UTC GrantStock Options · Derivative 200,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001104659-21-069934 · tm2117144-1_4seq1.xml · derivative · entry 1

ADAMS THOMAS PHD · CIK 0001234366 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,050

Underlying: Common Stock · 200,000 shares

Expires 2031-05-18

F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.

Read SEC document
May 18, 2021 Filed May 20, 2021 20:34 UTC GrantStock Options · Derivative 200,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001104659-21-069936 · tm2117144d3_4seq1.xml · derivative · entry 1

BRANCACCIO JOHN P · CIK 0001276551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,332

Underlying: Common Stock · 200,000 shares

Expires 2031-05-18

F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.

Read SEC document
May 18, 2021 Filed May 20, 2021 19:12 UTC
Lippa ArnoldDirector
GrantStock Options · Derivative 200,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001104659-21-070074 · tm2117144-7_4seq1.xml · derivative · entry 1

Lippa Arnold · CIK 0001363763 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,110

Underlying: Common Stock · 200,000 shares

Expires 2031-05-18

F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.

Read SEC document
May 18, 2021 Filed May 20, 2021 16:35 UTC
Cavan John TChief Financial Officer
GrantStock Options · Derivative 1,200,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001104659-21-069938 · tm2117144-4_4seq1.xml · derivative · entry 1

Cavan John T · CIK 0001503738 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,581,060

Underlying: Common Stock · 1,200,000 shares

Expires 2031-05-18

F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.

F2 · derivative.exercise_date: 400,000 of the stock options vest on 5/18/2022 and the remainder vests monthly in equal amounts over 24 months.

Read SEC document
May 18, 2021 Filed May 20, 2021 20:36 UTC
Foster Robert TDirector · CEO, CSO and Director
GrantStock Options · Derivative 1,900,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001104659-21-069939 · tm2117144-5_4seq1.xml · derivative · entry 1

Foster Robert T · CIK 0001677370 · Director · CEO, CSO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,501,879

Underlying: Common Stock · 1,900,000 shares

Expires 2031-05-18

F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.

F2 · derivative.exercise_date: 633,333 of the stock options vest on 5/18/2022 and the remainder vests monthly in equal amounts over 24 months.

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May 18, 2021 Filed May 20, 2021 20:34 UTC GrantStock Options · Derivative 200,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001104659-21-069935 · tm2117144-2_4seq1.xml · derivative · entry 1

Block Timothy M. · CIK 0001593465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,276

Underlying: Common Stock · 200,000 shares

Expires 2031-05-18

F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.

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February 18, 2021 Filed Feb 18, 2021 16:05 UTC
Cavan John TChief Financial Officer
PurchaseCommon Stock 10,000 $2.00 $20,000.00
Disclosure

SEC source: 0001104659-21-025196 · tm217063-1_4seq1.xml · nonDerivative · entry 1

Cavan John T · CIK 0001503738 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,800

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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.