Last 12 months
Inside the activity.
0 purchase rows · 83 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 4 |
| Dec 2025 | 0 | 9 |
| Jan 2026 | 0 | 3 |
| Feb 2026 | 0 | 2 |
| Mar 2026 | 0 | 17 |
| Apr 2026 | 0 | 8 |
| May 2026 | 0 | 9 |
| Jun 2026 | 0 | 8 |
| Jul 2026 | 0 | 9 |
| Aug 2026 | 0 | 4 |
| Sep 2026 | 0 | 8 |
| Oct 2026 | 0 | 2 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 16, 2018 Filed May 17, 2018 22:28 UTC |
Kaye Edward M. MDDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $9.45 Strike: $9.45 | $189,000.00 |
DisclosureSEC source: 0001061983-18-000028 · edgardoc.xml · derivative · entry 1 Kaye Edward M. MD · CIK 0001522780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-05-16 F1 · derivative.exercise_date: This option shall vest and become exercisable in 12 equal monthly installments and shall become fully vested on May 16, 2019 Read SEC document |
| May 16, 2018 Filed May 17, 2018 22:28 UTC |
HENDERSON JOHN TDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $9.45 Strike: $9.45 | $189,000.00 |
DisclosureSEC source: 0001061983-18-000027 · edgardoc.xml · derivative · entry 1 HENDERSON JOHN T · CIK 0001226488 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-05-16 F1 · derivative.exercise_date: This option shall vest and become exercisable in 12 equal monthly installments and shall become fully vested on May 16, 2019 Read SEC document |
| May 16, 2018 Filed May 17, 2018 22:28 UTC |
GAGE L PATRICKDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $9.45 Strike: $9.45 | $189,000.00 |
DisclosureSEC source: 0001061983-18-000026 · edgardoc.xml · derivative · entry 1 GAGE L PATRICK · CIK 0001196903 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-05-16 F1 · derivative.exercise_date: This option shall vest and become exercisable in 12 equal monthly installments and shall become fully vested on May 16, 2019 Read SEC document |
| May 16, 2018 Filed May 17, 2018 22:24 UTC |
Califf RobertDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $9.45 Strike: $9.45 | $189,000.00 |
DisclosureSEC source: 0001061983-18-000024 · edgardoc.xml · derivative · entry 1 Califf Robert · CIK 0001574557 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-05-16 F1 · derivative.exercise_date: This option shall vest and become exercisable in 12 equal monthly installments and shall become fully vested on May 16, 2019 Read SEC document |
| May 04, 2018 Filed May 4, 2018 22:08 UTC |
Blum Robert IDirector · President & CEO
|
SaleCommon Stock | 1,500 | $8.40 | $12,600.00 |
DisclosureSEC source: 0001061983-18-000022 · edgardoc.xml · nonDerivative · entry 4 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,022 F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 27, 2017. Read SEC document |
| May 04, 2018 Filed May 4, 2018 22:08 UTC |
Blum Robert IDirector · President & CEO
|
SaleCommon Stock | 1,800 | $8.38 | $15,075.00 |
DisclosureSEC source: 0001061983-18-000022 · edgardoc.xml · nonDerivative · entry 3 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,522 F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 27, 2017. Read SEC document |
| May 04, 2018 Filed May 4, 2018 22:08 UTC |
Blum Robert IDirector · President & CEO
|
SaleCommon Stock | 400 | $8.35 | $3,340.00 |
DisclosureSEC source: 0001061983-18-000022 · edgardoc.xml · nonDerivative · entry 2 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,322 F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 27, 2017. Read SEC document |
| May 04, 2018 Filed May 4, 2018 22:08 UTC |
Blum Robert IDirector · President & CEO
|
SaleCommon Stock | 300 | $8.30 | $2,490.00 |
DisclosureSEC source: 0001061983-18-000022 · edgardoc.xml · nonDerivative · entry 1 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,722 F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 27, 2017. Read SEC document |
| April 05, 2018 Filed Apr 6, 2018 22:01 UTC |
Blum Robert IDirector · President & CEO
|
SaleCommon Stock | 4,000 | $7.52 | $30,090.40 |
DisclosureSEC source: 0001061983-18-000020 · edgardoc.xml · nonDerivative · entry 1 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,701 F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 27, 2017. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:12 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Tax withholdingCommon Stock | 2,452 | $7.75 | $19,003.00 |
DisclosureSEC source: 0001061983-18-000017 · edgardoc.xml · nonDerivative · entry 2 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,548 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:12 UTC |
Malik Fady IbrahamEVP Research & Development
|
Tax withholdingCommon Stock | 4,149 | $7.75 | $32,154.75 |
DisclosureSEC source: 0001061983-18-000016 · edgardoc.xml · nonDerivative · entry 4 Malik Fady Ibraham · CIK 0001551778 · EVP Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,072 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:12 UTC |
Malik Fady IbrahamEVP Research & Development
|
Tax withholdingCommon Stock | 8,970 | $7.75 | $69,517.50 |
DisclosureSEC source: 0001061983-18-000016 · edgardoc.xml · nonDerivative · entry 3 Malik Fady Ibraham · CIK 0001551778 · EVP Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,221 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:12 UTC |
Malik Fady IbrahamEVP Research & Development
|
GrantCommon Stock | 25,000 | $0.00 | $25.00 |
DisclosureSEC source: 0001061983-18-000016 · edgardoc.xml · nonDerivative · entry 2 Malik Fady Ibraham · CIK 0001551778 · EVP Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,191 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:11 UTC |
Cragg DavidSVP Human Resources
|
Tax withholdingCommon Stock | 2,730 | $7.75 | $21,157.50 |
DisclosureSEC source: 0001061983-18-000014 · edgardoc.xml · nonDerivative · entry 4 Cragg David · CIK 0001316459 · SVP Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,865 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:11 UTC |
Cragg DavidSVP Human Resources
|
Tax withholdingCommon Stock | 5,741 | $7.75 | $44,492.75 |
DisclosureSEC source: 0001061983-18-000014 · edgardoc.xml · nonDerivative · entry 3 Cragg David · CIK 0001316459 · SVP Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,595 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:11 UTC |
Cragg DavidSVP Human Resources
|
GrantCommon Stock | 15,000 | $0.00 | $15.00 |
DisclosureSEC source: 0001061983-18-000014 · edgardoc.xml · nonDerivative · entry 2 Cragg David · CIK 0001316459 · SVP Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,336 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:11 UTC |
Blum Robert IDirector · President & CEO
|
Tax withholdingCommon Stock | 8,298 | $7.75 | $64,309.50 |
DisclosureSEC source: 0001061983-18-000013 · edgardoc.xml · nonDerivative · entry 4 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,701 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:11 UTC |
Blum Robert IDirector · President & CEO
|
Tax withholdingCommon Stock | 15,681 | $7.75 | $121,527.75 |
DisclosureSEC source: 0001061983-18-000013 · edgardoc.xml · nonDerivative · entry 3 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,999 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 00:11 UTC |
Blum Robert IDirector · President & CEO
|
GrantCommon Stock | 45,000 | $0.00 | $45.00 |
DisclosureSEC source: 0001061983-18-000013 · edgardoc.xml · nonDerivative · entry 2 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,680 Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
RODDY PETER SSVP Finance & CAO
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 24,688 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000018 · edgardoc.xml · derivative · entry 3 RODDY PETER S · CIK 0001233531 · SVP Finance & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,688 Underlying: Common Stock · 24,688 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
RODDY PETER SSVP Finance & CAO
|
GrantIncentive Stock Option (right to buy) · Derivative | 5,312 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000018 · edgardoc.xml · derivative · entry 2 RODDY PETER S · CIK 0001233531 · SVP Finance & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,312 Underlying: Common Stock · 5,312 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
RODDY PETER SSVP Finance & CAO
|
GrantCommon Stock | 20,000 | $0.00 | $20.00 |
DisclosureSEC source: 0001061983-18-000018 · edgardoc.xml · nonDerivative · entry 1 RODDY PETER S · CIK 0001233531 · SVP Finance & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,520 F1 · balance_after: The restricted stock units vest in three annual installments. Vested shares will be delivered to the reporting person as follows: 40% on 02/27/2019, 40% on 02/27/2020 and 20% on 03/01/2021. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 14,774 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000017 · edgardoc.xml · derivative · entry 4 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,774 Underlying: Common Stock · 14,774 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
GrantIncentive Stock Option (right to buy) · Derivative | 15,226 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000017 · edgardoc.xml · derivative · entry 3 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,226 Underlying: Common Stock · 15,226 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
GrantCommon Stock | 20,000 | $0.00 | $20.00 |
DisclosureSEC source: 0001061983-18-000017 · edgardoc.xml · nonDerivative · entry 1 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 F1 · balance_after: The restricted stock units vest in three annual installments. Vested shares will be delivered to the reporting person as follows: 40% on 02/27/2019, 40% on 02/27/2020 and 20% on 03/01/2021. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
Malik Fady IbrahamEVP Research & Development
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 61,886 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000016 · edgardoc.xml · derivative · entry 6 Malik Fady Ibraham · CIK 0001551778 · EVP Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,886 Underlying: Common Stock · 61,886 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
Malik Fady IbrahamEVP Research & Development
|
GrantIncentive Stock Option (right to buy) · Derivative | 13,114 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000016 · edgardoc.xml · derivative · entry 5 Malik Fady Ibraham · CIK 0001551778 · EVP Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,114 Underlying: Common Stock · 13,114 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:12 UTC |
Malik Fady IbrahamEVP Research & Development
|
GrantCommon Stock | 40,000 | $0.00 | $40.00 |
DisclosureSEC source: 0001061983-18-000016 · edgardoc.xml · nonDerivative · entry 1 Malik Fady Ibraham · CIK 0001551778 · EVP Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,191 F1 · balance_after: The restricted stock units vest in three annual installments. Vested shares will be delivered to the reporting person as follows: 40% on 02/27/2019, 40% on 02/27/2020 and 20% on 03/01/2021. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Jaw ChingSVP Finance & CFO
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 38,333 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000015 · edgardoc.xml · derivative · entry 3 Jaw Ching · CIK 0001710875 · SVP Finance & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,333 Underlying: Common Stock · 38,333 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Jaw ChingSVP Finance & CFO
|
GrantIncentive Stock Option (right to buy) · Derivative | 1,667 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000015 · edgardoc.xml · derivative · entry 2 Jaw Ching · CIK 0001710875 · SVP Finance & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,667 Underlying: Common Stock · 1,667 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Jaw ChingSVP Finance & CFO
|
GrantCommon Stock | 20,000 | $0.00 | $20.00 |
DisclosureSEC source: 0001061983-18-000015 · edgardoc.xml · nonDerivative · entry 1 Jaw Ching · CIK 0001710875 · SVP Finance & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · balance_after: The restricted stock units vest in three annual installments. Vested shares will be delivered to the reporting person as follows: 40% on 02/27/2019, 40% on 02/27/2020 and 20% on 03/01/2021. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Cragg DavidSVP Human Resources
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 24,268 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000014 · edgardoc.xml · derivative · entry 6 Cragg David · CIK 0001316459 · SVP Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,268 Underlying: Common Stock · 24,268 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Cragg DavidSVP Human Resources
|
GrantIncentive Stock Option (right to buy) · Derivative | 15,732 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000014 · edgardoc.xml · derivative · entry 5 Cragg David · CIK 0001316459 · SVP Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,732 Underlying: Common Stock · 15,732 shares Expires 2028-02-27 F2 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Cragg DavidSVP Human Resources
|
GrantCommon Stock | 30,000 | $0.00 | $30.00 |
DisclosureSEC source: 0001061983-18-000014 · edgardoc.xml · nonDerivative · entry 1 Cragg David · CIK 0001316459 · SVP Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,336 F1 · balance_after: The restricted stock units vest in three annual installments. Vested shares will be delivered to the reporting person as follows: 40% on 02/27/2019, 40% on 02/27/2020 and 20% on 03/01/2021. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Blum Robert IDirector · President & CEO
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 190,454 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000013 · edgardoc.xml · derivative · entry 8 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,454 Underlying: Common Stock · 190,454 shares Expires 2028-02-27 F4 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Blum Robert IDirector · President & CEO
|
GrantIncentive Stock Option (right to buy) · Derivative | 9,546 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001061983-18-000013 · edgardoc.xml · derivative · entry 7 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,546 Underlying: Common Stock · 9,546 shares Expires 2028-02-27 F4 · derivative.exercise_date: When the ISO and NQ dated 02/27/2018 are combined, the total grant shall vest and become exercisable in equal monthly installments such that the option shall be 100% vested on 02/27/2022. Read SEC document |
| February 27, 2018 Filed Mar 2, 2018 00:11 UTC |
Blum Robert IDirector · President & CEO
|
GrantCommon Stock | 100,000 | $0.00 | $100.00 |
DisclosureSEC source: 0001061983-18-000013 · edgardoc.xml · nonDerivative · entry 1 Blum Robert I · CIK 0001288859 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,680 F1 · balance_after: The restricted stock units vest in three annual installments. Vested shares will be delivered to the reporting person as follows: 40% on 02/27/2019, 40% on 02/27/2020 and 20% on 03/01/2021. Read SEC document |
| February 08, 2018 Filed Feb 12, 2018 23:18 UTC |
Califf RobertDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $8.35 | $0.00 |
DisclosureSEC source: 0001061983-18-000010 · edgardoc.xml · derivative · entry 1 Califf Robert · CIK 0001574557 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-02-08 F1 · derivative.exercise_date: This option shall vest and become exercisable as to 35,000 shares divided into equal monthly installments such that the option shall be 100% vested on February 8, 2021. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 77 | $0.00 Strike: $6.67 | $0.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · derivative · entry 18 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 921 Underlying: Common Stock · 77 shares Expires 2026-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 77 | $0.00 Strike: $6.67 | $0.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · derivative · entry 17 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 998 Underlying: Common Stock · 77 shares Expires 2026-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 653 | $0.00 Strike: $6.67 | $0.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · derivative · entry 16 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,038 Underlying: Common Stock · 653 shares Expires 2026-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 652 | $0.00 Strike: $6.67 | $0.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · derivative · entry 15 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,691 Underlying: Common Stock · 652 shares Expires 2026-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 625 | $0.00 Strike: $6.37 | $0.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · derivative · entry 14 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,625 Underlying: Common Stock · 625 shares Expires 2025-05-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 625 | $0.00 Strike: $6.37 | $0.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · derivative · entry 13 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,250 Underlying: Common Stock · 625 shares Expires 2025-05-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
SaleCommon Stock | 625 | $9.00 | $5,625.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · nonDerivative · entry 12 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2017. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionCommon Stock | 625 | $6.37 | $3,981.25 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · nonDerivative · entry 11 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,625 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The exercise reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2017. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
SaleCommon Stock | 625 | $9.00 | $5,625.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · nonDerivative · entry 10 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2017. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionCommon Stock | 625 | $6.37 | $3,981.25 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · nonDerivative · entry 9 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,625 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The exercise reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2017. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
SaleCommon Stock | 653 | $9.00 | $5,877.00 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · nonDerivative · entry 8 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2017. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 01:10 UTC |
McDowell Caryn GordonGC & Chief Compliance Officer
|
Exercise / conversionCommon Stock | 653 | $6.67 | $4,355.51 |
DisclosureSEC source: 0001061983-18-000007 · edgardoc.xml · nonDerivative · entry 7 McDowell Caryn Gordon · CIK 0001674232 · GC & Chief Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,653 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The exercise reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.