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Nasdaq · USD

DNLI

Denali Therapeutics Inc.

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1735
SEC CIK
0001714899
Parsed reports
436

Last 12 months

Inside the activity.

0 purchase rows · 7 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202602
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202601
Sep 202604
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
June 01, 2023 Filed Jun 5, 2023 22:04 UTC GrantStock Option (right to buy) · Derivative 12,649 $0.00 Strike: $30.92 $0.00
Disclosure

SEC source: 0001714899-23-000097 · wk-form4_1686002689.xml · derivative · entry 2

Cook Jennifer E. · CIK 0001754371 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,649

Underlying: Common Stock · 12,649 shares

Expires 2033-06-01

F3 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:04 UTC GrantCommon Stock 4,216 $0.00 $0.00
Disclosure

SEC source: 0001714899-23-000097 · wk-form4_1686002689.xml · nonDerivative · entry 1

Cook Jennifer E. · CIK 0001754371 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,529

F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU") and a contingent right to receive one share of common stock of the Issuer. 100% of the RSUs shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

F2 · balance_after: Includes 4,216 unvested RSUs.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:04 UTC GrantStock Option (right to buy) · Derivative 12,649 $0.00 Strike: $30.92 $0.00
Disclosure

SEC source: 0001714899-23-000096 · wk-form4_1686002638.xml · derivative · entry 4

Schenkein David P · CIK 0001578200 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,649

Underlying: Common Stock · 12,649 shares

Expires 2033-06-01

F5 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:04 UTC GrantCommon Stock 4,216 $0.00 $0.00
Disclosure

SEC source: 0001714899-23-000096 · wk-form4_1686002638.xml · nonDerivative · entry 1

Schenkein David P · CIK 0001578200 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,529

F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU") and a contingent right to receive one share of common stock of the Issuer. 100% of the RSUs shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

F2 · balance_after: Includes 4,216 unvested RSUs.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:03 UTC GrantStock Option (right to buy) · Derivative 12,649 $0.00 Strike: $30.92 $0.00
Disclosure

SEC source: 0001714899-23-000095 · wk-form4_1686002576.xml · derivative · entry 2

FLATLEY JAY T · CIK 0001189130 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,649

Underlying: Common Stock · 12,649 shares

Expires 2033-06-01

F5 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:03 UTC GrantCommon Stock 4,216 $0.00 $0.00
Disclosure

SEC source: 0001714899-23-000095 · wk-form4_1686002576.xml · nonDerivative · entry 1

FLATLEY JAY T · CIK 0001189130 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 340,529

F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU") and a contingent right to receive one share of common stock of the Issuer. 100% of the RSUs shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

F2 · shares: Shares will be issued directly to The Flatley Family Trust.

F3 · balance_after: Includes 4,216 unvested RSUs.

F4 · ownership.nature: The shares are held of record by The Flatley Family Trust, for which the Reporting Person serves as a trustee.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:02 UTC
Harris ErikDirector
GrantStock Option (right to buy) · Derivative 12,649 $0.00 Strike: $30.92 $0.00
Disclosure

SEC source: 0001714899-23-000094 · wk-form4_1686002517.xml · derivative · entry 2

Harris Erik · CIK 0001780113 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,649

Underlying: Common Stock · 12,649 shares

Expires 2033-06-01

F3 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:02 UTC
Harris ErikDirector
GrantCommon Stock 4,216 $0.00 $0.00
Disclosure

SEC source: 0001714899-23-000094 · wk-form4_1686002517.xml · nonDerivative · entry 1

Harris Erik · CIK 0001780113 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,085

F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU") and a contingent right to receive one share of common stock of the Issuer. 100% of the RSUs shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

F2 · balance_after: Includes 9,368 unvested RSUs.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:01 UTC GrantStock Option (right to buy) · Derivative 12,649 $0.00 Strike: $30.92 $0.00
Disclosure

SEC source: 0001714899-23-000093 · wk-form4_1686002460.xml · derivative · entry 2

Cole Douglas G. · CIK 0001486373 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,649

Underlying: Common Stock · 12,649 shares

Expires 2033-06-01

F3 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 22:01 UTC GrantCommon Stock 4,216 $0.00 $0.00
Disclosure

SEC source: 0001714899-23-000093 · wk-form4_1686002460.xml · nonDerivative · entry 1

Cole Douglas G. · CIK 0001486373 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,564

F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU") and a contingent right to receive one share of common stock of the Issuer. 100% of the RSUs shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

F2 · balance_after: Includes 4,216 unvested RSUs.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 21:59 UTC
SATO VICKI LDirector
GrantStock Option (right to buy) · Derivative 12,649 $0.00 Strike: $30.92 $0.00
Disclosure

SEC source: 0001714899-23-000092 · wk-form4_1686002389.xml · derivative · entry 2

SATO VICKI L · CIK 0001197020 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,649

Underlying: Common Stock · 12,649 shares

Expires 2033-06-01

F4 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 21:59 UTC
SATO VICKI LDirector
GrantCommon Stock 4,216 $0.00 $0.00
Disclosure

SEC source: 0001714899-23-000092 · wk-form4_1686002389.xml · nonDerivative · entry 1

SATO VICKI L · CIK 0001197020 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,369

F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU") and a contingent right to receive one share of common stock of the Issuer. 100% of the RSUs shall vest upon the earlier of (i) the one year anniversary of the grant date or (ii) the day preceding the Issuer's next annual meeting of stockholders occurring after the grant date.

F2 · balance_after: Includes 4,216 unvested RSUs.

F3 · balance_after: The total reported in Column 5 has been adjusted to correct an overstatement of total holdings by 9,996 shares first reflected in a Form 4 filed on 06/02/2022.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:56 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $5.28 $0.00
Disclosure

SEC source: 0001714899-23-000076 · wf-form4_168435700588836.xml · derivative · entry 5

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,937

Underlying: Common Stock · 10,000 shares

Expires 2027-03-07

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.

F7 · derivative.exercise_date: 25% of the shares subject to the option vested on March 8, 2018 and an additional 1/48 of the shares vested monthly thereafter.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:56 UTC
Schuth Alexander O.COFO and Secretary
SaleCommon Stock 800 $29.23 $23,384.00
Disclosure

SEC source: 0001714899-23-000076 · wf-form4_168435700588836.xml · nonDerivative · entry 3

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 528,691

F3 · kind: The sales reported by the Reporting Person were affected pursuant to a Rule 10b5-1 trading plan adopted September 30, 2022.

F5 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $29.20 to $29.25 per share. Upon request by the Commission staff, the Issuer, or a securityholder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:56 UTC
Schuth Alexander O.COFO and Secretary
SaleCommon Stock 9,200 $28.55 $262,660.00
Disclosure

SEC source: 0001714899-23-000076 · wf-form4_168435700588836.xml · nonDerivative · entry 2

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 529,491

F3 · kind: The sales reported by the Reporting Person were affected pursuant to a Rule 10b5-1 trading plan adopted September 30, 2022.

F4 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $28.15 to $29.07 per share. Upon request by the Commission staff, the Issuer, or a securityholder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:56 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionCommon Stock 10,000 $5.28 $52,800.00
Disclosure

SEC source: 0001714899-23-000076 · wf-form4_168435700588836.xml · nonDerivative · entry 1

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 538,691

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 · balance_after: Exercised shares were issued to the Schuth Family Trust.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 23:10 UTC
Watts Ryan J.Director · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 24,800 $0.00 Strike: $0.68 $0.00
Disclosure

SEC source: 0001714899-23-000066 · wf-form4_168237782624985.xml · derivative · entry 7

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,170,617

Underlying: Common Stock · 24,800 shares

Expires 2025-08-20

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.

F5 · derivative.exercise_date: The vesting of the shares subject to the option are contingent upon the achievement of certain performance metrics. 50% of the shares subject to the option vested on March 3, 2021, and 50% of the sharessubject to the option will vest on the date the closing price of Issuer's Common Stock equals or exceeds $80.00 per share on NASDAQ for 90 consecutive trading days.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 23:10 UTC
Watts Ryan J.Director · President and CEO
SaleCommon Stock 24,800 $25.15 $623,720.00
Disclosure

SEC source: 0001714899-23-000066 · wf-form4_168237782624985.xml · nonDerivative · entry 4

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,239,913

F2 · kind: The sales reported by the Reporting Person were affected pursuant to a Rule 10b5-1 trading plan adopted February 10, 2023.

F3 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $25.00 to $25.36 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

Read SEC document
April 21, 2023 Filed Apr 24, 2023 23:10 UTC
Watts Ryan J.Director · President and CEO
Exercise / conversionCommon Stock 24,800 $0.68 $16,864.00
Disclosure

SEC source: 0001714899-23-000066 · wf-form4_168237782624985.xml · nonDerivative · entry 3

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,264,713

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 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

Read SEC document
April 20, 2023 Filed Apr 24, 2023 23:10 UTC
Watts Ryan J.Director · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 200 $0.00 Strike: $0.68 $0.00
Disclosure

SEC source: 0001714899-23-000066 · wf-form4_168237782624985.xml · derivative · entry 6

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,195,417

Underlying: Common Stock · 200 shares

Expires 2025-08-20

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.

F5 · derivative.exercise_date: The vesting of the shares subject to the option are contingent upon the achievement of certain performance metrics. 50% of the shares subject to the option vested on March 3, 2021, and 50% of the sharessubject to the option will vest on the date the closing price of Issuer's Common Stock equals or exceeds $80.00 per share on NASDAQ for 90 consecutive trading days.

Read SEC document
April 20, 2023 Filed Apr 24, 2023 23:10 UTC
Watts Ryan J.Director · President and CEO
SaleCommon Stock 200 $25.00 $5,000.00
Disclosure

SEC source: 0001714899-23-000066 · wf-form4_168237782624985.xml · nonDerivative · entry 2

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,239,913

F2 · kind: The sales reported by the Reporting Person were affected pursuant to a Rule 10b5-1 trading plan adopted February 10, 2023.

F1 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

Read SEC document
April 20, 2023 Filed Apr 24, 2023 23:10 UTC
Watts Ryan J.Director · President and CEO
Exercise / conversionCommon Stock 200 $0.68 $136.00
Disclosure

SEC source: 0001714899-23-000066 · wf-form4_168237782624985.xml · nonDerivative · entry 1

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,240,113

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 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

Read SEC document
April 13, 2023 Filed Apr 14, 2023 22:27 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionStock Option (right to buy) · Derivative 4,898 $0.00 Strike: $5.28 $0.00
Disclosure

SEC source: 0001714899-23-000055 · wf-form4_168151121787982.xml · derivative · entry 7

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,937

Underlying: Common Stock · 4,898 shares

Expires 2027-03-07

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.

F7 · derivative.exercise_date: 25% of the shares subject to the option vested on March 8, 2018 and an additional 1/48 of the shares vested monthly thereafter.

Read SEC document
April 13, 2023 Filed Apr 14, 2023 22:27 UTC
Schuth Alexander O.COFO and Secretary
SaleCommon Stock 4,898 $25.04 $122,645.92
Disclosure

SEC source: 0001714899-23-000055 · wf-form4_168151121787982.xml · nonDerivative · entry 4

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 528,691

F3 · kind: The sales reported by the Reporting Person were affected pursuant to a Rule 10b5-1 trading plan adopted September 30, 2022.

F5 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $25.00 to $25.10 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
April 13, 2023 Filed Apr 14, 2023 22:27 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionCommon Stock 4,898 $5.28 $25,861.44
Disclosure

SEC source: 0001714899-23-000055 · wf-form4_168151121787982.xml · nonDerivative · entry 3

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 533,589

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 · balance_after: Exercised shares were issued to the Schuth Family Trust.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
April 12, 2023 Filed Apr 14, 2023 22:27 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionStock Option (right to buy) · Derivative 5,102 $0.00 Strike: $5.28 $0.00
Disclosure

SEC source: 0001714899-23-000055 · wf-form4_168151121787982.xml · derivative · entry 6

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,835

Underlying: Common Stock · 5,102 shares

Expires 2027-03-07

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.

F7 · derivative.exercise_date: 25% of the shares subject to the option vested on March 8, 2018 and an additional 1/48 of the shares vested monthly thereafter.

Read SEC document
April 12, 2023 Filed Apr 14, 2023 22:27 UTC
Schuth Alexander O.COFO and Secretary
SaleCommon Stock 5,102 $25.04 $127,754.08
Disclosure

SEC source: 0001714899-23-000055 · wf-form4_168151121787982.xml · nonDerivative · entry 2

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 528,691

F3 · kind: The sales reported by the Reporting Person were affected pursuant to a Rule 10b5-1 trading plan adopted September 30, 2022.

F4 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $25.00 to $25.49 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
April 12, 2023 Filed Apr 14, 2023 22:27 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionCommon Stock 5,102 $5.28 $26,938.56
Disclosure

SEC source: 0001714899-23-000055 · wf-form4_168151121787982.xml · nonDerivative · entry 1

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 533,793

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 · balance_after: Exercised shares were issued to the Schuth Family Trust.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
February 15, 2023 Filed Feb 17, 2023 21:20 UTC
Ho CaroleChief Medical Officer
SaleCommon Stock 1,476 $29.40 $43,394.40
Disclosure

SEC source: 0001714899-23-000033 · wf-form4_167666882057002.xml · nonDerivative · entry 1

Ho Carole · CIK 0001724605 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 182,809

F1 · kind: The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan.

F2 · ownership.nature: The shares are held of record by the Rohatgi-Ho Family 2009 Revocable Trust, for which Reporting Person serves as trustee.

Read SEC document
February 13, 2023 Filed Feb 15, 2023 00:06 UTC
Ho CaroleChief Medical Officer
SaleCommon Stock 2,548 $30.10 $76,694.80
Disclosure

SEC source: 0001714899-23-000025 · wf-form4_167641959398926.xml · nonDerivative · entry 2

Ho Carole · CIK 0001724605 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 184,285

F3 · kind: Shares sold to satisfy the tax obligations by the Reporting Person in connection with the settlement of previously vested restricted stock units.

F4 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $29.90 to $30.22 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F5 · balance_after: Reflects the issuance of shares to the Rohatgi-Ho Family 2009 Revocable Trust in connection with the vesting of 7,468 RSUs held by the Reporting Person.

F2 · ownership.nature: The shares are held of record by the Rohatgi-Ho Family 2009 Revocable Trust, for which Reporting Person serves as trustee.

Read SEC document
February 13, 2023 Filed Feb 16, 2023 00:01 UTC
Watts Ryan J.Director · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $0.68 $0.00
Disclosure

SEC source: 0001714899-23-000029 · wf-form4_167650567156375.xml · derivative · entry 5

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,195,617

Underlying: Common Stock · 25,000 shares

Expires 2025-08-20

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.

F8 · derivative.exercise_date: The vesting of the shares subject to the option are contingent upon the achievement of certain performance metrics. 50% of the shares subject to the option vested on March 3, 2021, and 50% of the shares subject to the option will vest on the date the closing price of Issuer's Common Stock equals or exceeds $80.00 per share on NASDAQ for 90 consecutive trading days.

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February 13, 2023 Filed Feb 16, 2023 00:01 UTC
Watts Ryan J.Director · President and CEO
SaleCommon Stock 25,000 $30.08 $752,000.00
Disclosure

SEC source: 0001714899-23-000029 · wf-form4_167650567156375.xml · nonDerivative · entry 3

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,239,913

F5 · kind: The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan.

F6 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $30.00 to $30.26 per share. Upon request by the Commission staff, the Issuer, or asecurityholder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F4 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

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February 13, 2023 Filed Feb 16, 2023 00:01 UTC
Watts Ryan J.Director · President and CEO
Exercise / conversionCommon Stock 25,000 $0.68 $17,000.00
Disclosure

SEC source: 0001714899-23-000029 · wf-form4_167650567156375.xml · nonDerivative · entry 2

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,264,913

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.

F4 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

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February 13, 2023 Filed Feb 16, 2023 00:01 UTC
Watts Ryan J.Director · President and CEO
SaleCommon Stock 8,815 $30.09 $265,243.35
Disclosure

SEC source: 0001714899-23-000029 · wf-form4_167650567156375.xml · nonDerivative · entry 1

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,239,913

F1 · kind: Shares sold to satisfy the tax obligations by the reporting person in connection with the settlement of previously vested restricted stock units.

F2 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $29.95 to $30.24 per share. Upon request by the Commission staff, the Issuer, or a securityholder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3 · balance_after: Reflects the issuance of shares to the Watts Family 2015 Trust in connection with the vesting of 19,697 restricted stock units held by the Reporting Person.

F4 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

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February 13, 2023 Filed Feb 16, 2023 00:02 UTC SaleCommon Stock 2,119 $30.10 $63,781.90
Disclosure

SEC source: 0001714899-23-000031 · wf-form4_167650571634751.xml · nonDerivative · entry 1

Krognes Steve E. · CIK 0001666236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,002

F1 · kind: Shares sold to satisfy the tax obligations by the reporting person in connection with the settlement of previously vested restricted stock units.

F2 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $29.90 to $30.22 per share. Upon request by the Commission staff, the Issuer, or a securityholder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3 · balance_after: Includes 32,286 RSUs.

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February 13, 2023 Filed Feb 16, 2023 00:01 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $0.68 $0.00
Disclosure

SEC source: 0001714899-23-000030 · wf-form4_167650569228111.xml · derivative · entry 4

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,078

Underlying: Common Stock · 25,000 shares

Expires 2025-08-20

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.

F7 · derivative.exercise_date: The vesting of the shares subject to the option are contingent upon the achievement of certain performance metrics. 50% of the shares subject to the option vested on March 3, 2021, and 50% of the shares subject to the option will vest on the date the closing price of Issuer's Common Stock equals or exceeds $80.00 per share on NASDAQ for 90 consecutive trading days.

Read SEC document
February 13, 2023 Filed Feb 16, 2023 00:01 UTC
Schuth Alexander O.COFO and Secretary
SaleCommon Stock 3,497 $30.09 $105,224.73
Disclosure

SEC source: 0001714899-23-000030 · wf-form4_167650569228111.xml · nonDerivative · entry 2

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 528,691

F3 · kind: Shares sold to satisfy the tax obligations by the Reporting Person in connection with the settlement of previously vested restricted stock units.

F4 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $29.92 to $30.24 per share. Upon request by the Commission staff, the Issuer, or a securityholder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F5 · balance_after: Reflects the issuance of shares to The Schuth Family Trust U/A DTD 06/05/2017 in connection with the vesting of 7,286 RSUs held by the Reporting Person.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
February 13, 2023 Filed Feb 16, 2023 00:01 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionCommon Stock 25,000 $0.68 $17,000.00
Disclosure

SEC source: 0001714899-23-000030 · wf-form4_167650569228111.xml · nonDerivative · entry 1

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 524,902

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 · balance_after: Exercised shares were issued to the Schuth Family Trust.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

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February 10, 2023 Filed Feb 14, 2023 00:14 UTC
Watts Ryan J.Director · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $0.68 $0.00
Disclosure

SEC source: 0001714899-23-000023 · wf-form4_167633361457163.xml · derivative · entry 5

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,220,617

Underlying: Common Stock · 25,000 shares

Expires 2025-08-20

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.

F8 · derivative.exercise_date: The vesting of the shares subject to the option is contingent upon the achievement of certain performance metrics. 50% of the shares subject to the option vested on the date the closing price of Issuer's Common Stock equaled or exceeded $40.00 per share on NASDAQ for 90 consecutive trading days, beginning no earlier than June 10, 2018; and 50% of the shares subject to the option vest on the date the closing price of Issuer's Common Stock equals or exceeds $80.00 per share on NASDAQ for 90 consecutive trading days, beginning no earlier than June 10, 2018.

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February 10, 2023 Filed Feb 14, 2023 00:14 UTC
Watts Ryan J.Director · President and CEO
SaleCommon Stock 25,000 $29.10 $727,500.00
Disclosure

SEC source: 0001714899-23-000023 · wf-form4_167633361457163.xml · nonDerivative · entry 3

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,229,031

F5 · kind: The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan.

F6 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $28.75 to $29.57 per share. Upon request by the Commission staff, the Issuer, or a securityholder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F4 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

Read SEC document
February 10, 2023 Filed Feb 14, 2023 00:14 UTC
Watts Ryan J.Director · President and CEO
Exercise / conversionCommon Stock 25,000 $0.68 $17,000.00
Disclosure

SEC source: 0001714899-23-000023 · wf-form4_167633361457163.xml · nonDerivative · entry 2

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,254,031

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.

F4 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

Read SEC document
February 10, 2023 Filed Feb 15, 2023 00:06 UTC
Ho CaroleChief Medical Officer
SaleCommon Stock 818 $29.80 $24,376.40
Disclosure

SEC source: 0001714899-23-000025 · wf-form4_167641959398926.xml · nonDerivative · entry 1

Ho Carole · CIK 0001724605 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 179,365

F1 · kind: The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan.

F2 · ownership.nature: The shares are held of record by the Rohatgi-Ho Family 2009 Revocable Trust, for which Reporting Person serves as trustee.

Read SEC document
February 09, 2023 Filed Feb 14, 2023 00:14 UTC
Watts Ryan J.Director · President and CEO
SaleCommon Stock 3,433 $30.59 $105,015.47
Disclosure

SEC source: 0001714899-23-000023 · wf-form4_167633361457163.xml · nonDerivative · entry 1

Watts Ryan J. · CIK 0001724310 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,229,031

F1 · kind: Shares sold to satisfy the tax obligations by the reporting person in connection with the settlement of previously vested restricted stock units.

F2 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $30.39 to $30.66 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3 · balance_after: Reflects the issuance of shares to the Watts Family 2015 Trust in connection with the vesting of 8,800 restricted stock units held by the Reporting Person

F4 · ownership.nature: The shares are held of record by the Watts Family 2015 Trust dated July 7, 2015, for which the Reporting Person serves as trustee.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:11 UTC
Schuth Alexander O.COFO and Secretary
SaleCommon Stock 1,521 $30.89 $46,983.69
Disclosure

SEC source: 0001714899-23-000020 · wf-form4_167607068513350.xml · nonDerivative · entry 1

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 499,902

F1 · kind: Shares sold to satisfy the tax obligations by the Reporting Person in connection with the settlement of previously vested restricted stock units.

F2 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $30.78 to $31.34 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3 · balance_after: Reflects the issuance of shares to The Schuth Family Trust U/A DTD 06/05/2017 in connection with the vesting of 4,250 RSUs held by the Reporting Person.

F4 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:12 UTC
Ho CaroleChief Medical Officer
SaleCommon Stock 1,521 $30.88 $46,968.48
Disclosure

SEC source: 0001714899-23-000021 · wf-form4_167607072949570.xml · nonDerivative · entry 1

Ho Carole · CIK 0001724605 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 180,183

F1 · kind: Shares sold to satisfy the tax obligations by the Reporting Person in connection with the settlement of previously vested restricted stock units.

F2 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $30.80 to $31.34 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3 · balance_after: Reflects the issuance of shares to the Rohatgi-Ho Family 2009 Revocable Trust in connection with the vesting of 4,250 RSUs held by the Reporting Person.

F4 · ownership.nature: The shares are held of record by the Rohatgi-Ho Family 2009 Revocable Trust, for which Reporting Person serves as trustee.

Read SEC document
February 08, 2023 Filed Feb 10, 2023 23:10 UTC SaleCommon Stock 1,377 $30.88 $42,521.76
Disclosure

SEC source: 0001714899-23-000019 · wf-form4_167607058932396.xml · nonDerivative · entry 1

Krognes Steve E. · CIK 0001666236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,121

F1 · kind: Shares sold to satisfy the tax obligations by the reporting person in connection with the settlement of previously vested restricted stock units.

F2 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $30.76 to $31.34 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3 · balance_after: Includes 39,572 restricted stock units.

Read SEC document
January 17, 2023 Filed Jan 19, 2023 22:09 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $5.28 $0.00
Disclosure

SEC source: 0001714899-23-000018 · wf-form4_167416615634275.xml · derivative · entry 5

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,937

Underlying: Common Stock · 10,000 shares

Expires 2027-03-07

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.

F6 · derivative.exercise_date: 25% of the shares subject to the option vested on March 8, 2018 and an additional 1/48 of the shares vested monthly thereafter.

Read SEC document
January 17, 2023 Filed Jan 19, 2023 22:09 UTC
Schuth Alexander O.COFO and Secretary
SaleCommon Stock 114 $29.87 $3,405.18
Disclosure

SEC source: 0001714899-23-000018 · wf-form4_167416615634275.xml · nonDerivative · entry 3

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 497,173

F3 · kind: The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
January 17, 2023 Filed Jan 19, 2023 22:09 UTC
Schuth Alexander O.COFO and Secretary
SaleCommon Stock 9,886 $29.53 $291,933.58
Disclosure

SEC source: 0001714899-23-000018 · wf-form4_167416615634275.xml · nonDerivative · entry 2

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 497,287

F3 · kind: The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan.

F4 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $28.87 to $29.83 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

Read SEC document
January 17, 2023 Filed Jan 19, 2023 22:09 UTC
Schuth Alexander O.COFO and Secretary
Exercise / conversionCommon Stock 10,000 $5.28 $52,800.00
Disclosure

SEC source: 0001714899-23-000018 · wf-form4_167416615634275.xml · nonDerivative · entry 1

Schuth Alexander O. · CIK 0001724311 · COFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 507,173

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 · balance_after: Exercised shares were issued to the Schuth Family Trust.

F2 · ownership.nature: The shares are held of record by The Schuth Family Trust U/A DTD 06/05/2017, for which the Reporting Person serves as trustee.

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.