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OTC · USD

CVSI

CV Sciences, Inc.

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Tapewire entity
8316
SEC CIK
0001510964
Parsed reports
73

Last 12 months

Inside the activity.

10 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 202600
Jun 202600
Jul 202680
Aug 202620
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
August 07, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 94,854 $0.02 $1,897.08
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 10

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,648,711

Read SEC document
August 04, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 108,000 $0.02 $2,160.00
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 9

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,553,857

Read SEC document
July 31, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 1,730,000 $0.02 $34,600.00
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 8

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,445,857

Read SEC document
July 29, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 60,000 $0.02 $1,200.00
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 7

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,715,857

Read SEC document
July 28, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 1,830,000 $0.02 $36,600.00
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 6

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,655,857

Read SEC document
July 24, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 470,075 $0.02 $9,401.50
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 5

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,825,857

Read SEC document
July 22, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 272,500 $0.02 $5,450.00
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 4

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,355,782

Read SEC document
July 21, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 335,000 $0.02 $6,700.00
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 3

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,083,282

Read SEC document
July 17, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 749,000 $0.02 $14,980.00
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 2

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,748,282

Read SEC document
July 16, 2026 Filed Sep 9, 2026 22:43 UTC PurchaseCommon Stock, $0.0001 par value per share 91,387 $0.02 $1,827.74
Disclosure

SEC source: 0001202557-26-000005 · primary_doc.xml · nonDerivative · entry 1

CHEEVER CHARLIE E III · CIK 0001202557 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,999,282

Read SEC document
February 18, 2025 Filed Feb 20, 2025 22:28 UTC GrantStock Option (right to buy) · Derivative 500,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0000950170-25-024330 · ownership.xml · derivative · entry 1

Corroon James Michael Jr. · CIK 0001940094 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2035-02-17

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable on April 30, 2026, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
February 18, 2025 Filed Feb 20, 2025 22:28 UTC
Grasser JoergChief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 2,350,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0000950170-25-024329 · ownership.xml · derivative · entry 1

Grasser Joerg · CIK 0001763727 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,350,000

Underlying: Common Stock · 2,350,000 shares

Expires 2035-02-17

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from February 18, 2025, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after the termination of service.

Read SEC document
February 18, 2025 Filed Feb 20, 2025 22:27 UTC
Dowling Joseph DDirector · Chief Executive Officer
GrantEmployee Stock Option (right to buy) · Derivative 3,000,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0000950170-25-024328 · ownership.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,000,000

Underlying: Common Stock · 3,000,000 shares

Expires 2035-02-17

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from February 18, 2025, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after the termination of service.

Read SEC document
February 18, 2025 Filed Feb 20, 2025 22:27 UTC GrantStock Optoin (right to buy) · Derivative 500,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0000950170-25-024327 · ownership.xml · derivative · entry 1

McCorkle William · CIK 0001953074 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2035-02-17

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable on April 30, 2026, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:48 UTC GrantStock Option (right to buy) · Derivative 500,000 $0.00 Strike: $0.05 $0.00
Disclosure

SEC source: 0000950170-24-076938 · ownership.xml · derivative · entry 1

McCorkle William · CIK 0001953074 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2034-06-19

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable on April 30, 2025, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:46 UTC GrantStock Option (right to buy) · Derivative 500,000 $0.00 Strike: $0.05 $0.00
Disclosure

SEC source: 0000950170-24-076934 · ownership.xml · derivative · entry 1

Corroon James Michael Jr. · CIK 0001940094 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2034-06-19

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable on April 30, 2025, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:30 UTC
Grasser JoergChief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 2,350,000 $0.00 Strike: $0.05 $0.00
Disclosure

SEC source: 0000950170-24-076912 · ownership.xml · derivative · entry 1

Grasser Joerg · CIK 0001763727 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,350,000

Underlying: Common Stock · 2,350,000 shares

Expires 2034-06-19

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from June 20, 2024, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 21:25 UTC
Dowling Joseph DDirector · Chief Executive Officer
GrantEmployee Stock Option (right to buy) · Derivative 3,000,000 $0.00 Strike: $0.05 $0.00
Disclosure

SEC source: 0000950170-24-076906 · ownership.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,000,000

Underlying: Common Stock · 3,000,000 shares

Expires 2034-06-19

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from June 20, 2024, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
March 15, 2023 Filed Mar 17, 2023 20:44 UTC
Dowling Joseph DDirector · CEO
GrantEmployee Stock Option (right to buy) · Derivative 2,500,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0001510964-23-000009 · wf-form4_167908588567379.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500,000

Underlying: Common Stock · 2,500,000 shares

Expires 2033-03-14

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from March 15, 2023, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
March 15, 2023 Filed Mar 17, 2023 20:43 UTC GrantEmployee Stock Option (right to buy) · Derivative 1,250,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0001510964-23-000008 · wf-form4_167908577042844.xml · derivative · entry 1

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250,000

Underlying: Common Stock · 1,250,000 shares

Expires 2033-03-14

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. The option shares vest and become exercisable in a series of thirty-six (36) successive equal monthly installments measured from March 15, 2023, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
October 21, 2022 Filed Nov 7, 2022 23:27 UTC GrantEmployee Stock Option (right to buy) · Derivative 500,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0001510964-22-000083 · wf-form4_166786366189238.xml · derivative · entry 1

McCorkle William · CIK 0001953074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2032-10-20

F1 · derivative.exercise_date: The option is durational based. Fifty percent (50%) of the option shares vest and become exercisable on each of October 21, 2023 and October 21, 2024, provided, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

Read SEC document
August 12, 2022 Filed Aug 15, 2022 20:58 UTC GrantEmployee Stock Option (right to buy) · Derivative 500,000 $0.03 Strike: $0.03 $16,250.00
Disclosure

SEC source: 0001510964-22-000070 · wf-form4_166059514822325.xml · derivative · entry 1

Corroon James Michael Jr. · CIK 0001940094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2032-08-11

F1 · derivative.exercise_date: The option is durational based. Fifty (50%) of the option shares vest and become exercisable on August 12, 2023 and August 12, 2024, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:22 UTC Disposition to issuerEmployee Stock Option (right to buy) · Derivative 250,000 Not disclosed Strike: $0.66 Not disclosed
Disclosure

SEC source: 0001510964-22-000027 · wf-form4_164885893634966.xml · derivative · entry 4

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 shares

Expires 2028-12-25

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F3 · derivative.exercise_date: The option is durational based. All option shares were vested and exercisable on the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:22 UTC Disposition to issuerEmployee Stock Option (right to buy) · Derivative 250,000 Not disclosed Strike: $0.66 Not disclosed
Disclosure

SEC source: 0001510964-22-000027 · wf-form4_164885893634966.xml · derivative · entry 3

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 shares

Expires 2029-03-14

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F3 · derivative.exercise_date: The option is durational based. All option shares were vested and exercisable on the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:22 UTC Disposition to issuerEmployee Stock Option (right to buy) · Derivative 750,000 Not disclosed Strike: $0.33 Not disclosed
Disclosure

SEC source: 0001510964-22-000027 · wf-form4_164885893634966.xml · derivative · entry 2

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires 2030-03-19

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F3 · derivative.exercise_date: The option is durational based. All option shares were vested and exercisable on the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:22 UTC Disposition to issuerEmployee Stock Option (right to buy) · Derivative 750,000 Not disclosed Strike: $0.59 Not disclosed
Disclosure

SEC source: 0001510964-22-000027 · wf-form4_164885893634966.xml · derivative · entry 1

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires 2031-03-08

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F1 · derivative.exercise_date: The option is durational based. 375,000 option shares were vested and exercisable on the date of cancellation. Twenty-five (25%) of the option shares were scheduled to vest and become exercisable on September 1, 2022 and March 1, 2023, provided, that there was no termination of service as of such date.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 1,000,000 Not disclosed Strike: $0.37 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 10

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2027-04-06

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F6 · derivative.exercise_date: The option is performance-based. 250,000 option shares were vested and exercisable on the date of cancellation. The remaining option shares were scheduled to vest and become exercisable in accordance with certain performance criteria which were not met at the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 1,000,000 Not disclosed Strike: $0.37 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 9

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires 2026-07-05

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F5 · derivative.exercise_date: The option is performance-based. 500,000 option shares were vested and exercisable on the date of cancellation. The remaining option shares were scheduled to vest and become exercisable in accordance with certain performance criteria which were not met at the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 600,000 Not disclosed Strike: $0.38 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 8

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 600,000 shares

Expires 2024-09-30

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F1 · derivative.exercise_date: The option is durational based. All option shares were vested and exercisable on the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 100,000 Not disclosed Strike: $0.38 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 7

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2025-05-20

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F1 · derivative.exercise_date: The option is durational based. All option shares were vested and exercisable on the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 200,000 Not disclosed Strike: $0.73 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 6

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2015-09-22

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F1 · derivative.exercise_date: The option is durational based. All option shares were vested and exercisable on the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 100,000 Not disclosed Strike: $0.38 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 5

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2027-03-14

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F4 · derivative.exercise_date: The option was fully vested on the date of grant.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 500,000 Not disclosed Strike: $0.40 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 4

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2028-03-19

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 500,000 Not disclosed Strike: $0.66 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 3

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2029-02-19

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F1 · derivative.exercise_date: The option is durational based. All option shares were vested and exercisable on the date of cancellation.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 1,500,000 Not disclosed Strike: $0.59 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 2

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500,000 shares

Expires 2031-03-08

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F3 · derivative.exercise_date: The option is durational based. 750,000 option shares were vested and exercisable on the date of cancellation. Twenty-five (25%) of the option shares were scheduled to vest and become exercisable on September 1, 2022 and March 1, 2023, provided, that there was no termination of service as of such date.

Read SEC document
March 30, 2022 Filed Apr 2, 2022 00:15 UTC
Dowling Joseph DDirector · CEO
Disposition to issuerEmployee Stock Option (right to buy) · Derivative 1,500,000 Not disclosed Strike: $0.33 Not disclosed
Disclosure

SEC source: 0001510964-22-000026 · wf-form4_164885852291255.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500,000 shares

Expires 2030-03-19

F2 · price: On March 30, 2022, the stock options were cancelled by mutual agreement of the reporting person and the issuer. The reporting person received an aggregate of $100 as consideration for the cancellation.

F1 · derivative.exercise_date: The option is durational based. All option shares were vested and exercisable on the date of cancellation.

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June 02, 2021 Filed Jun 3, 2021 17:00 UTC GrantStock Option (right to buy) · Derivative 275,000 $0.00 Strike: $0.39 $0.00
Disclosure

SEC source: 0001510964-21-000038 · wf-form4_162275399709514.xml · derivative · entry 1

MAROON JOSEPH C MD · CIK 0001221600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option is durational-based. All 275,000 option shares vest and become exercisable on April 15, 2022, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

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June 02, 2021 Filed Jun 3, 2021 17:03 UTC
BLAKE PAULDirector
GrantStock Option (right to buy) · Derivative 275,000 $0.00 Strike: $0.39 $0.00
Disclosure

SEC source: 0001510964-21-000040 · wf-form4_162275414244753.xml · derivative · entry 1

BLAKE PAUL · CIK 0001209719 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option is durational-based. All 275,000 option shares vest and become exercisable on April 15, 2022, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

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June 02, 2021 Filed Jun 3, 2021 16:58 UTC GrantStock Option (right to buy) · Derivative 275,000 $0.00 Strike: $0.39 $0.00
Disclosure

SEC source: 0001510964-21-000037 · wf-form4_162275389924467.xml · derivative · entry 1

GRAHAM TERRI F · CIK 0001189952 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option is durational-based. All 275,000 option shares vest and become exercisable on April 15, 2022, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

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June 02, 2021 Filed Jun 3, 2021 21:01 UTC GrantStock Option (right to buy) · Derivative 275,000 $0.00 Strike: $0.39 $0.00
Disclosure

SEC source: 0001510964-21-000039 · wf-form4_162275405116413.xml · derivative · entry 1

Altman Elizabeth Ann · CIK 0001792340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The option is durational-based. All 275,000 option shares vest and become exercisable on April 15, 2022, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

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May 21, 2021 Filed May 24, 2021 16:59 UTC PurchaseCommon Stock 50,000 $0.38 $19,000.00
Disclosure

SEC source: 0001510964-21-000030 · wf-form4_162188994877451.xml · nonDerivative · entry 1

MAROON JOSEPH C MD · CIK 0001221600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 791,116

F1 · price: The shares were purchased in multiple transactions, each at a price of $0.38 per share.

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March 09, 2021 Filed Mar 11, 2021 16:51 UTC
MacKay Douglas JesseSr VP Scientific/Regulatory
GrantEmployee Stock Option (right to buy) · Derivative 400,000 $0.00 Strike: $0.59 $0.00
Disclosure

SEC source: 0001510964-21-000004 · wf-form4_161549946302123.xml · derivative · entry 1

MacKay Douglas Jesse · CIK 0001804634 · Sr VP Scientific/Regulatory

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-03-08

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. Twenty-five percent (25%) of the option shares vest and become exercisable on each of the following dates: September 1, 2021, March 1, 2022, September 1, 2022, and March 1, 2023, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

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March 09, 2021 Filed Mar 11, 2021 22:01 UTC
Dowling Joseph DDirector · CEO
GrantEmployee Stock Option (right to buy) · Derivative 1,500,000 $0.00 Strike: $0.59 $0.00
Disclosure

SEC source: 0001510964-21-000006 · wf-form4_161550003123434.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2031-03-08

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. Twenty-five percent (25%) of the option shares vest and become exercisable on each of the following dates: September 1, 2021, March 1, 2022, September 1, 2022, and March 1, 2023, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

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March 09, 2021 Filed Mar 11, 2021 21:56 UTC GrantEmployee Stock Option (right to buy) · Derivative 750,000 $0.00 Strike: $0.59 $0.00
Disclosure

SEC source: 0001510964-21-000005 · wf-form4_161549975322122.xml · derivative · entry 1

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2031-03-08

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant. Twenty-five percent (25%) of the option shares vest and become exercisable on each of the following dates: September 1, 2021, March 1, 2022, September 1, 2022, and March 1, 2023, provided, that there has not been a termination of service as of such date. In no event will any unvested portion of the option vest or become exercisable for any additional option shares after a termination of service.

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January 15, 2021 Filed Feb 9, 2021 22:46 UTC SaleCommon Stock 16,600 $0.66 $10,939.40
Disclosure

SEC source: 0001572795-21-000002 · primary_doc.xml · nonDerivative · entry 3

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,812,060

F3 · balance_after: As of the date of this filing, the reporting person owns a total of 1,986,722 shares of common stock of the issuer, of which, the reporting person indirectly owns 174,662 shares of common stock of the issuer through Aegean Limited LLC, and directly owns 1,812,060 shares of common stock of the issuer.

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January 14, 2021 Filed Feb 9, 2021 22:46 UTC SaleCommon Stock 100,000 $0.63 $62,950.00
Disclosure

SEC source: 0001572795-21-000002 · primary_doc.xml · nonDerivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,828,660

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.619 to $0.64 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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January 13, 2021 Filed Feb 9, 2021 22:46 UTC SaleCommon Stock 100,000 $0.61 $61,070.00
Disclosure

SEC source: 0001572795-21-000002 · primary_doc.xml · nonDerivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,928,660

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.60 to $0.62 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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January 07, 2021 Filed Jan 19, 2021 21:51 UTC SaleCommon Stock 75,140 $0.57 $42,882.40
Disclosure

SEC source: 0001572795-21-000001 · primary_doc.xml · nonDerivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,028,660

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.562134 to $0.59 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: As of the date of this filing, the reporting person owns a total of 2,203,322 shares of common stock of the issuer, of which, the reporting person indirectly owns 174,662 shares of common stock of the issuer through Aegean Limited LLC, and directly owns 2,028,660 shares of common stock of the issuer.

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January 06, 2021 Filed Jan 19, 2021 21:51 UTC SaleCommon Stock 75,000 $0.56 $41,625.00
Disclosure

SEC source: 0001572795-21-000001 · primary_doc.xml · nonDerivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,103,800

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.55 to $0.56 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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December 02, 2020 Filed Dec 8, 2020 18:19 UTC SaleCommon Stock 42,800 $0.61 $26,197.88
Disclosure

SEC source: 0001572795-20-000005 · primary_doc.xml · nonDerivative · entry 3

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,178,800

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.601 to $0.619 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · balance_after: As of the date of this filing, the reporting person owns a total of 2,353,462 shares of common stock of the issuer, of which, the reporting person indirectly owns 174,662 shares of common stock of the issuer through Aegean Limited LLC, and directly owns 2,178,800 shares of common stock of the issuer.

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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.