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Definium Therapeutics, Inc.

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3884
SEC CIK
0001813814
Parsed reports
179

Last 12 months

Inside the activity.

0 purchase rows · 12 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202503
Jan 202600
Feb 202600
Mar 202603
Apr 202600
May 202600
Jun 202605
Jul 202600
Aug 202600
Sep 202601
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 26, 2023 Filed Dec 26, 2023 21:50 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 13,237 $3.63 $48,050.31
Disclosure

SEC source: 0000950170-23-073069 · ownership.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 596,721

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on December 26, 2023 at prices ranging from $3.60 to $3.67 US Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
December 26, 2023 Filed Dec 26, 2023 21:44 UTC
Greenway Schond L.Chief Financial Officer
SaleCommon Shares 5,652 $3.63 $20,516.76
Disclosure

SEC source: 0000950170-23-073063 · ownership.xml · nonDerivative · entry 1

Greenway Schond L. · CIK 0001848205 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,617

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on December 26, 2023 at prices ranging from $3.60 to $3.67 US Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
September 25, 2023 Filed Sep 26, 2023 01:30 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 8,231 $3.58 $29,466.98
Disclosure

SEC source: 0000950170-23-049779 · ownership.xml · nonDerivative · entry 2

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 611,729

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F3 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on September 25, 2023 at prices ranging from $3.57 to $3.60 US Dollars. The Reporting Person undertakes to provide 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

Read SEC document
September 25, 2023 Filed Sep 26, 2023 01:30 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 5,268 $3.57 $18,806.76
Disclosure

SEC source: 0000950170-23-049779 · ownership.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 619,960

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on September 25, 2023. These shares were sold in multiple transactions on September 25, 2023 at prices ranging from $4.78 to $4.84 CAD Dollars. The Reporting Person undertakes to provide 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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September 25, 2023 Filed Sep 26, 2023 01:30 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 3,240 $3.58 $11,599.20
Disclosure

SEC source: 0000950170-23-049778 · ownership.xml · nonDerivative · entry 2

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 371,804

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F3 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on September 25, 2023 at prices ranging from $3.57 to $3.60 US Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
September 25, 2023 Filed Sep 26, 2023 01:30 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 3,678 $3.57 $13,130.46
Disclosure

SEC source: 0000950170-23-049778 · ownership.xml · nonDerivative · entry 1

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,044

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on September 25, 2023. These shares were sold in multiple transactions on September 25, 2023 at prices ranging from $4.78 to $4.84 CAD Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
September 25, 2023 Filed Sep 26, 2023 01:30 UTC
Greenway Schond L.Chief Financial Officer
SaleCommon Shares 3,854 $3.58 $13,797.32
Disclosure

SEC source: 0000950170-23-049777 · ownership.xml · nonDerivative · entry 2

Greenway Schond L. · CIK 0001848205 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,269

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F3 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on September 25, 2023 at prices ranging from $3.57 to $3.60 US Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
September 25, 2023 Filed Sep 26, 2023 01:30 UTC
Greenway Schond L.Chief Financial Officer
SaleCommon Shares 1,908 $3.57 $6,811.56
Disclosure

SEC source: 0000950170-23-049777 · ownership.xml · nonDerivative · entry 1

Greenway Schond L. · CIK 0001848205 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 226,123

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on September 25, 2023. These shares were sold in multiple transactions on September 25, 2023 at prices ranging from $4.78 to $4.84 CAD Dollars. The Reporting Person undertakes to provide 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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August 25, 2023 Filed Aug 29, 2023 00:01 UTC
Greenway Schond L.Chief Financial Officer
SaleCommon Shares 20,000 $3.80 $76,000.00
Disclosure

SEC source: 0000950170-23-044853 · ownership.xml · nonDerivative · entry 1

Greenway Schond L. · CIK 0001848205 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,031

F1 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on August 25, 2023 at prices ranging from $3.76 to $3.87. The Reporting Person undertakes to provide 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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June 27, 2023 Filed Jun 27, 2023 23:41 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 8,416 $3.21 $27,015.36
Disclosure

SEC source: 0000950170-23-030256 · ownership.xml · nonDerivative · entry 2

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 623,457

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F3 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on June 27, 2023 at prices ranging from $3.20 to $3.23 US Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
June 27, 2023 Filed Jun 27, 2023 23:41 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 7,086 $3.19 $22,604.34
Disclosure

SEC source: 0000950170-23-030256 · ownership.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 631,873

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on June 27, 2023. These shares were sold in multiple transactions on June 27, 2023 at prices ranging from $4.20 to $4.23 CAD Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
June 27, 2023 Filed Jun 27, 2023 23:00 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 2,963 $3.21 $9,511.23
Disclosure

SEC source: 0000950170-23-030247 · ownership.xml · nonDerivative · entry 2

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 378,722

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F3 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on June 27, 2023 at prices ranging from $3.20 to $3.23 US Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
June 27, 2023 Filed Jun 27, 2023 23:00 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 3,820 $3.19 $12,185.80
Disclosure

SEC source: 0000950170-23-030247 · ownership.xml · nonDerivative · entry 1

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 381,685

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on June 27, 2023. These shares were sold in multiple transactions on June 27, 2023 at prices ranging from $4.20 to $4.23 CAD Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
June 27, 2023 Filed Jun 27, 2023 22:53 UTC
Greenway Schond L.Chief Financial Officer
SaleCommon Shares 3,941 $3.21 $12,650.61
Disclosure

SEC source: 0000950170-23-030242 · ownership.xml · nonDerivative · entry 2

Greenway Schond L. · CIK 0001848205 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248,031

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F3 · price: The reported price is a weighted average sales price. These shares were sold in multiple transactions on June 27, 2023 at prices ranging from $3.20 to $3.23 US Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
June 27, 2023 Filed Jun 27, 2023 22:53 UTC
Greenway Schond L.Chief Financial Officer
SaleCommon Shares 7,694 $3.19 $24,543.86
Disclosure

SEC source: 0000950170-23-030242 · ownership.xml · nonDerivative · entry 1

Greenway Schond L. · CIK 0001848205 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 251,972

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on June 27, 2023. These shares were sold in multiple transactions on June 27, 2023 at prices ranging from $4.20 to $4.23 CAD Dollars. The Reporting Person undertakes to provide 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.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 22:04 UTC GrantDirector's Deferred Share Units · Derivative 13,131 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-016426 · doc4.xml · derivative · entry 3

GRYSKA DAVID W · CIK 0001202335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,131

Underlying: Common Shares · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: Represents Directors' Deferred Share Units ("DDSUs") granted pursuant to the Issuer's Directors' Deferred Share Unit Plan (the "Plan"). DDSUs will vest 1/3 on June 21, 2024, with the remaining portion vesting in equal monthly installments over the two years thereafter. The DDSUs are to be settled in cash upon the termination of the Reporting Persons' directorship (each DDSU representing the right to receive the cash equivalent of the fair market value of one Common Share). Pursuant to the Plan, the fair market value of a Common Share is equal to the volume weighted average trading price of a Common Share on the Nasdaq Stock Market for the five business days immediately preceding the DDSUs vesting date. The DDSUs granted expire no later than 90 days after the Reporting Person's termination date or such other reasonable time as may be determined by the Administrators (defined in the Plan).

F3 · price: Represents Directors' Deferred Share Units ("DDSUs") granted pursuant to the Issuer's Directors' Deferred Share Unit Plan (the "Plan"). DDSUs will vest 1/3 on June 21, 2024, with the remaining portion vesting in equal monthly installments over the two years thereafter. The DDSUs are to be settled in cash upon the termination of the Reporting Persons' directorship (each DDSU representing the right to receive the cash equivalent of the fair market value of one Common Share). Pursuant to the Plan, the fair market value of a Common Share is equal to the volume weighted average trading price of a Common Share on the Nasdaq Stock Market for the five business days immediately preceding the DDSUs vesting date. The DDSUs granted expire no later than 90 days after the Reporting Person's termination date or such other reasonable time as may be determined by the Administrators (defined in the Plan).

F3 · derivative.exercise_date: Represents Directors' Deferred Share Units ("DDSUs") granted pursuant to the Issuer's Directors' Deferred Share Unit Plan (the "Plan"). DDSUs will vest 1/3 on June 21, 2024, with the remaining portion vesting in equal monthly installments over the two years thereafter. The DDSUs are to be settled in cash upon the termination of the Reporting Persons' directorship (each DDSU representing the right to receive the cash equivalent of the fair market value of one Common Share). Pursuant to the Plan, the fair market value of a Common Share is equal to the volume weighted average trading price of a Common Share on the Nasdaq Stock Market for the five business days immediately preceding the DDSUs vesting date. The DDSUs granted expire no later than 90 days after the Reporting Person's termination date or such other reasonable time as may be determined by the Administrators (defined in the Plan).

F3 · derivative.expiration_date: Represents Directors' Deferred Share Units ("DDSUs") granted pursuant to the Issuer's Directors' Deferred Share Unit Plan (the "Plan"). DDSUs will vest 1/3 on June 21, 2024, with the remaining portion vesting in equal monthly installments over the two years thereafter. The DDSUs are to be settled in cash upon the termination of the Reporting Persons' directorship (each DDSU representing the right to receive the cash equivalent of the fair market value of one Common Share). Pursuant to the Plan, the fair market value of a Common Share is equal to the volume weighted average trading price of a Common Share on the Nasdaq Stock Market for the five business days immediately preceding the DDSUs vesting date. The DDSUs granted expire no later than 90 days after the Reporting Person's termination date or such other reasonable time as may be determined by the Administrators (defined in the Plan).

F3 · derivative.underlying_shares: Represents Directors' Deferred Share Units ("DDSUs") granted pursuant to the Issuer's Directors' Deferred Share Unit Plan (the "Plan"). DDSUs will vest 1/3 on June 21, 2024, with the remaining portion vesting in equal monthly installments over the two years thereafter. The DDSUs are to be settled in cash upon the termination of the Reporting Persons' directorship (each DDSU representing the right to receive the cash equivalent of the fair market value of one Common Share). Pursuant to the Plan, the fair market value of a Common Share is equal to the volume weighted average trading price of a Common Share on the Nasdaq Stock Market for the five business days immediately preceding the DDSUs vesting date. The DDSUs granted expire no later than 90 days after the Reporting Person's termination date or such other reasonable time as may be determined by the Administrators (defined in the Plan).

Read SEC document
June 21, 2023 Filed Jun 23, 2023 22:04 UTC GrantStock Option (Right to Buy) · Derivative 37,594 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0000899243-23-016426 · doc4.xml · derivative · entry 2

GRYSKA DAVID W · CIK 0001202335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,594

Underlying: Common Shares · 37,594 shares

Expires 2033-06-20

F2 · derivative.exercise_date: The shares underlying the option shall vest and become exercisable 1/3 on June 21, 2024, with the remaining portion vesting in equal monthly installments over the two years thereafter, subject to the Reporting Person providing continuous service to the Issuer on each such date.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 22:04 UTC GrantCommon Shares 13,851 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-016426 · doc4.xml · nonDerivative · entry 1

GRYSKA DAVID W · CIK 0001202335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,851

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one Common Share of the Issuer. These RSUs will vest in three equal annual installments over such three-year period; provided, that in the event that the Reporting Person's continuous service as a member of the Board terminates for any reason other than for cause after the first anniversary of the grant date, a portion of these RSUs that would have vested on the next annual vesting date following the date of departure will immediately vest in full as of the date of termination of service on a prorated basis.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 21:53 UTC GrantStock Option (Right to Buy) · Derivative 19,203 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0000899243-23-016423 · doc4.xml · derivative · entry 2

CRYSTAL ROGER · CIK 0001656633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,267

Underlying: Common Shares · 19,203 shares

Expires 2033-06-20

F3 · derivative.exercise_date: The shares underlying the option shall vest in twelve (12) equal monthly installments starting from the grant date or upon the next Annual Meeting date, if earlier, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

F2 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 21:53 UTC GrantCommon Shares 13,671 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-016423 · doc4.xml · nonDerivative · entry 1

CRYSTAL ROGER · CIK 0001656633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,623

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one Common Share of the Issuer. The RSUs shall vest in four (4) equal quarterly installments from the grant date or upon the next Annual Meeting date, if earlier, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

F2 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 21:52 UTC GrantStock Option (Right to Buy) · Derivative 19,203 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0000899243-23-016422 · doc4.xml · derivative · entry 2

Krebs Andreas · CIK 0001438946 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,748

Underlying: Common Shares · 19,203 shares

Expires 2033-06-20

F3 · derivative.exercise_date: The shares underlying the option shall vest in twelve (12) equal monthly installments starting from the grant date or upon the next Annual Meeting date, if earlier, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

F2 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 21:52 UTC GrantCommon Shares 13,671 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-016422 · doc4.xml · nonDerivative · entry 1

Krebs Andreas · CIK 0001438946 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,107

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one Common Share of the Issuer. The RSUs shall vest in four (4) equal quarterly installments from the grant date or upon the next Annual Meeting date, if earlier, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

F2 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 21:41 UTC GrantStock Option (Right to Buy) · Derivative 19,203 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0000899243-23-016419 · doc4.xml · derivative · entry 2

Vallone Carol A · CIK 0001422058 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,205

Underlying: Common Shares · 19,203 shares

Expires 2033-06-20

F3 · derivative.exercise_date: The shares underlying the option shall vest in twelve (12) equal monthly installments starting from the grant date or upon the next Annual Meeting date, if earlier, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

F2 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 21:41 UTC GrantCommon Shares 13,671 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-016419 · doc4.xml · nonDerivative · entry 1

Vallone Carol A · CIK 0001422058 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,544

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one Common Share of the Issuer. The RSUs shall vest in four (4) equal quarterly installments from the grant date or upon the next Annual Meeting date, if earlier, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

F2 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 21:39 UTC GrantStock Option (Right to Buy) · Derivative 19,203 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0000899243-23-016417 · doc4.xml · derivative · entry 2

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,267

Underlying: Common Shares · 19,203 shares

Expires 2033-06-20

F3 · derivative.exercise_date: The shares underlying the option shall vest in twelve (12) equal monthly installments starting from the grant date or upon the next Annual Meeting date, if earlier, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

F2 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

Read SEC document
June 21, 2023 Filed Jun 23, 2023 21:39 UTC GrantCommon Shares 13,671 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-016417 · doc4.xml · nonDerivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,623

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one Common Share of the Issuer. The RSUs shall vest in four (4) equal quarterly installments from the grant date or upon the next Annual Meeting date, if earlier, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

F2 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

Read SEC document
April 13, 2023 Filed Apr 14, 2023 20:45 UTC
Sullivan MarkChief Legal Officer
GrantCommon Shares 200,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-024335 · doc4.xml · nonDerivative · entry 1

Sullivan Mark · CIK 0001331843 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer, with 25% of the RSUs vesting on April 13, 2024, and the remaining RSUs vesting in 12 equal quarterly installments over the subsequent three years thereafter, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 14, 2023 Filed Mar 17, 2023 22:41 UTC
Barrow RobertDirector · Chief Executive Officer
GrantCommon Shares 400,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019896 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 638,959

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 14, 2023, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 14, 2023 Filed Mar 17, 2023 22:40 UTC
Liao CarrieVP, Controller&Acct Principal
GrantCommon Shares 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019895 · doc4.xml · nonDerivative · entry 1

Liao Carrie · CIK 0001899817 · VP, Controller&Acct Principal

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 478,430

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 14, 2023, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 14, 2023 Filed Mar 17, 2023 22:40 UTC
Karlin DanielChief Medical Officer
GrantCommon Shares 125,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019894 · doc4.xml · nonDerivative · entry 1

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 385,505

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 14, 2023, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 14, 2023 Filed Mar 17, 2023 22:39 UTC
Halperin Wernli MiriDirector · Executive President
GrantCommon Shares 100,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019893 · doc4.xml · nonDerivative · entry 1

Wernli Miri Halperin · CIK 0001897615 · Director · Executive President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,375,000

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 14, 2023, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 14, 2023 Filed Mar 17, 2023 22:38 UTC
Greenway Schond L.Chief Financial Officer
GrantCommon Shares 175,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019890 · doc4.xml · nonDerivative · entry 1

Greenway Schond L. · CIK 0001848205 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,445,000

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 14, 2023, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 14, 2023 Filed Apr 24, 2023 23:34 UTC Amendment
Greenway Schond L.Chief Financial Officer
GrantCommon Shares 175,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025476 · doc4a.xml · nonDerivative · entry 1

Greenway Schond L. · CIK 0001848205 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 259,666

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 14, 2023, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 14, 2023 Filed Apr 24, 2023 23:33 UTC Amendment
Halperin Wernli MiriDirector · Executive President
GrantCommon Shares 100,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025475 · doc4a.xml · nonDerivative · entry 1

Wernli Miri Halperin · CIK 0001897615 · Director · Executive President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,000

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 14, 2023, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 14, 2023 Filed Apr 24, 2023 23:31 UTC Amendment
Liao CarrieChief Accounting Officer
GrantCommon Shares 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025474 · doc4a.xml · nonDerivative · entry 1

Liao Carrie · CIK 0001899817 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,895

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 14, 2023, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.

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March 01, 2023 Filed Mar 3, 2023 02:45 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 3,577 $3.51 $12,555.27
Disclosure

SEC source: 0000899243-23-006788 · doc4.xml · nonDerivative · entry 1

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,505

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on March 1, 2023. These shares were sold in multiple transactions on March 1, 2023 at prices ranging from $4.75 to $4.80 CAD Dollars. The Reporting Person undertakes to provide 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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March 01, 2023 Filed Mar 3, 2023 02:43 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 8,273 $3.51 $29,038.23
Disclosure

SEC source: 0000899243-23-006786 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,959

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on March 1, 2023. These shares were sold in multiple transactions on March 1, 2023 at prices ranging from $4.75 to $4.80 CAD Dollars. The Reporting Person undertakes to provide 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 21, 2022 Filed Dec 22, 2022 21:32 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 1,211 $2.69 $3,257.59
Disclosure

SEC source: 0000899243-22-039212 · doc4.xml · nonDerivative · entry 1

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,082

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on November 24, 2022 and November 26, 2022, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on December 21, 2022. These shares were sold in multiple transactions on December 21, 2022 at prices ranging from $3.65 to $3.67 CAD Dollars. The Reporting Person undertakes to provide 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 21, 2022 Filed Dec 22, 2022 21:37 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 3,861 $2.69 $10,386.09
Disclosure

SEC source: 0000899243-22-039214 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,232

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on November 15, 2022, November 24, 2022, and December 15, 2022, pursuant to sell-to-cover elections.

F2 · price: The reported price is a weighted average sales price. This represents the price in United States Dollars using the conversion rate on December 21, 2022. These shares were sold in multiple transactions on December 21, 2022 at prices ranging from $3.65 to $3.67 CAD Dollars. The Reporting Person undertakes to provide 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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October 27, 2022 Filed Oct 27, 2022 21:52 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 644 $3.00 $1,932.00
Disclosure

SEC source: 0000899243-22-034336 · doc4.xml · nonDerivative · entry 2

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,293

F3 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on October 26, 2022 pursuant to sell-to-cover elections.

F4 · price: The Common Shares were sold in multiple transactions, all at a price of $4.07 CAD Dollars. This represents the price in United States Dollars using the conversion rate on October 27, 2022.

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October 25, 2022 Filed Oct 25, 2022 21:57 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 1,207 $2.81 $3,391.67
Disclosure

SEC source: 0000899243-22-034146 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,093

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on October 24, 2022 pursuant to sell-to-cover elections.

F2 · price: The Common Shares were sold in multiple transactions, all at a price of $3.83 CAD Dollars. This represents the price in United States Dollars using the conversion rate on October 25, 2022.

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October 25, 2022 Filed Oct 27, 2022 21:52 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 541 $2.81 $1,520.21
Disclosure

SEC source: 0000899243-22-034336 · doc4.xml · nonDerivative · entry 1

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,937

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on October 24, 2022 pursuant to sell-to-cover elections.

F2 · price: The Common Shares were sold in multiple transactions, all at a price of $3.83 CAD Dollars. This represents the price in United States Dollars using the conversion rate on October 25, 2022.

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October 18, 2022 Filed Oct 18, 2022 20:34 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 1,220 $3.11 $3,794.20
Disclosure

SEC source: 0000899243-22-033749 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,300

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on October 15, 2022 pursuant to sell-to-cover elections.

F2 · price: The Common Shares were sold in one transaction at a price of $4.28 CAD Dollars. This represents the price in United States Dollars using the conversion rate on October 18, 2022.

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September 27, 2022 Filed Sep 28, 2022 00:48 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 640 $5.87 $3,756.80
Disclosure

SEC source: 0000899243-22-032169 · doc4.xml · nonDerivative · entry 2

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,478

F3 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on September 26, 2022 pursuant to sell-to-cover elections.

F4 · price: The Common Shares were sold in one transaction at a price of $8.06 CAD Dollars. This represents the price in United States Dollars using the conversion rate on September 27, 2022.

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September 26, 2022 Filed Sep 28, 2022 00:48 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 565 $5.51 $3,113.15
Disclosure

SEC source: 0000899243-22-032169 · doc4.xml · nonDerivative · entry 1

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,118

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on September 24, 2022 pursuant to sell-to-cover elections.

F2 · price: The Common Shares were sold in one transaction at a price of $7.60 CAD Dollars. This represents the price in United States Dollars using the conversion rate on September 26, 2022.

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September 26, 2022 Filed Sep 27, 2022 22:39 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 1,264 $5.51 $6,964.64
Disclosure

SEC source: 0000899243-22-032164 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,520

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on September 24, 2022 pursuant to sell-to-cover elections.

F2 · price: The Common Shares were sold in one transaction at a price of $7.60 CAD Dollars. This represents the price in United States Dollars using the conversion rate on September 26, 2022.

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September 16, 2022 Filed Sep 19, 2022 16:58 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 1,350 $7.26 $9,801.00
Disclosure

SEC source: 0000899243-22-031430 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,784

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on September 15, 2022 pursuant to sell-to-cover elections

F2 · price: The Common Shares were sold in one transaction at a price of $9.65 CAD Dollars. This represents the price in United States Dollars using the conversion rate on September 16, 2022.

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August 31, 2022 Filed Sep 1, 2022 16:24 UTC
Karlin DanielChief Medical Officer
SaleCommon Shares 1,204 $11.67 $14,050.68
Disclosure

SEC source: 0000899243-22-030159 · doc4.xml · nonDerivative · entry 1

Karlin Dan · CIK 0001897618 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,683

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on August 24, 2022 and on August 26, 2022 pursuant to sell-to-cover elections.

F2 · price: The Common Shares were sold in one transaction at a price of $15.31 CAD Dollars. This represents the price in United States Dollars using the conversion rate on August 31, 2022.

F3 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

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August 31, 2022 Filed Sep 1, 2022 16:16 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 1,228 $11.67 $14,330.76
Disclosure

SEC source: 0000899243-22-030156 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,134

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on August 24, 2022 pursuant to sell-to-cover elections

F2 · price: The Common Shares were sold in one transaction at a price of $15.31 CAD Dollars. This represents the price in United States Dollars using the conversion rate on August 31, 2022.

F3 · balance_after: On August 26, 2022, the Issuer effected a 1-for-15 reverse stock split (the" Reverse Stock Split"). The number of securities reported on the Form 4 have been adjusted to reflect the Reverse Stock Split.

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August 16, 2022 Filed Aug 17, 2022 22:36 UTC
Barrow RobertDirector · Chief Executive Officer
SaleCommon Shares 20,350 $0.68 $13,838.00
Disclosure

SEC source: 0000899243-22-029072 · doc4.xml · nonDerivative · entry 1

Barrow Robert · CIK 0001897557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,860,438

F1 · kind: Common Shares sold to satisfy withholding tax obligations upon the delivery of Common Shares for restricted stock units that vested on August 15, 2022 pursuant to sell-to-cover elections.

F2 · price: The Common Shares were sold in one transaction at a price of $0.87 CAD Dollars. This represents the price in United States Dollars using the conversion rate on August 16, 2022.

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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.