Last 12 months
Inside the activity.
9 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 3 | 0 |
| Mar 2026 | 6 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
Sistilli CarloDirector
|
PurchaseCommon Share Warrants (Right to Buy) · Derivative | 1,218 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000269 · section16.xml · derivative · entry 3 Sistilli Carlo · CIK 0001777988 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by York-Cav Enterprises, Inc. Disclosed balance after: 1,218 Underlying: Common Shares · 1,218 shares Expires 2020-11-08 F4 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F2 · ownership.nature: York-Cav Enterprises, Inc. is partially owned by the reporting party.Mr. Sistilli disclaims beneficial ownership except to the extent of his precautionary interest therein. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
Sistilli CarloDirector
|
PurchaseCommon Share Warrants (Right to Buy) · Derivative | 1,827 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000269 · section16.xml · derivative · entry 2 Sistilli Carlo · CIK 0001777988 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by York-Cav Enterprises, Inc. Disclosed balance after: 1,827 Underlying: Common Shares · 1,827 shares Expires 2023-07-08 F3 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F2 · ownership.nature: York-Cav Enterprises, Inc. is partially owned by the reporting party.Mr. Sistilli disclaims beneficial ownership except to the extent of his precautionary interest therein. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
Sistilli CarloDirector
|
PurchaseCommon Shares | 2,436 | $4.11 | $10,011.96 |
DisclosureSEC source: 0001654954-20-000269 · section16.xml · nonDerivative · entry 1 Sistilli Carlo · CIK 0001777988 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by York-Cav Enterprises, Inc. Disclosed balance after: 2,436 F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F2 · ownership.nature: York-Cav Enterprises, Inc. is partially owned by the reporting party.Mr. Sistilli disclaims beneficial ownership except to the extent of his precautionary interest therein. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:36 UTC |
NIFFENEGGER KATHIChief Financial Officer
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 609 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000310 · section16.xml · derivative · entry 3 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 609 Underlying: Common Shares · 609 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:36 UTC |
NIFFENEGGER KATHIChief Financial Officer
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 914 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000310 · section16.xml · derivative · entry 2 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 914 Underlying: Common Shares · 914 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:36 UTC |
NIFFENEGGER KATHIChief Financial Officer
|
GrantCommon Shares | 1,218 | $4.11 | $5,005.98 |
DisclosureSEC source: 0001654954-20-000310 · section16.xml · nonDerivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 1,218 F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
PurchaseCommon Share Warrants (Right to Buy) · Derivative | 5,952 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000270 · section16.xml · derivative · entry 6 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II (International), L.P. Disclosed balance after: 5,952 Underlying: Common Shares · 5,952 shares Expires 2020-11-08 F5 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F2 · price: The reported securities are included within 11,903 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
PurchaseCommon Share Warrants (Right to Buy) · Derivative | 64,362 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000270 · section16.xml · derivative · entry 5 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II, L.P. Disclosed balance after: 64,362 Underlying: Common Shares · 64,362 shares Expires 2020-11-08 F5 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F1 · price: The reported securities are included within 128,722 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
PurchaseCommon Share Warrants (Right to Buy) · Derivative | 8,928 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000270 · section16.xml · derivative · entry 4 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II (International), L.P. Disclosed balance after: 8,928 Underlying: Common Shares · 8,928 shares Expires 2023-07-08 F4 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F2 · price: The reported securities are included within 11,903 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
PurchaseCommon Share Warrants (Right to Buy) · Derivative | 96,542 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000270 · section16.xml · derivative · entry 3 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II, L.P. Disclosed balance after: 96,542 Underlying: Common Shares · 96,542 shares Expires 2023-07-08 F4 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F1 · price: The reported securities are included within 128,722 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
PurchaseCommon Shares | 11,903 | $3.20 | $38,089.60 |
DisclosureSEC source: 0001654954-20-000270 · section16.xml · nonDerivative · entry 2 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II (International), L.P. Disclosed balance after: 169,502 F2 · price: The reported securities are included within 11,903 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:13 UTC |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
PurchaseCommon Shares | 128,722 | $3.20 | $411,910.40 |
DisclosureSEC source: 0001654954-20-000270 · section16.xml · nonDerivative · entry 1 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II, L.P. Disclosed balance after: 1,833,066 F1 · price: The reported securities are included within 128,722 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:42 UTC |
OAKES FRANK R.Director
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 609 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000313 · section16.xml · derivative · entry 4 OAKES FRANK R. · CIK 0001620188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 609 Underlying: Common Shares · 609 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:42 UTC |
OAKES FRANK R.Director
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 914 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000313 · section16.xml · derivative · entry 3 OAKES FRANK R. · CIK 0001620188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 914 Underlying: Common Shares · 914 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:42 UTC |
OAKES FRANK R.Director
|
GrantCommon Shares | 1,218 | $4.11 | $5,005.98 |
DisclosureSEC source: 0001654954-20-000313 · section16.xml · nonDerivative · entry 1 OAKES FRANK R. · CIK 0001620188 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 1,218 F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:34 UTC |
Pay Paul WilliamDirector
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 1,218 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000308 · section16.xml · derivative · entry 3 Pay Paul William · CIK 0001778480 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,218 Underlying: Common Shares · 1,218 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:34 UTC |
Pay Paul WilliamDirector
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 1,827 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000308 · section16.xml · derivative · entry 2 Pay Paul William · CIK 0001778480 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,827 Underlying: Common Shares · 1,827 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:34 UTC |
Pay Paul WilliamDirector
|
GrantCommon Shares | 2,436 | $4.11 | $10,011.96 |
DisclosureSEC source: 0001654954-20-000308 · section16.xml · nonDerivative · entry 1 Pay Paul William · CIK 0001778480 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,436 F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:09 UTC |
Brooks Michael JPresident
|
PurchaseCommon Share Warrants (Right to Buy) · Derivative | 914 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000265 · section16.xml · derivative · entry 3 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 914 Underlying: Common Shares · 914 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F1 · price: The reported securities are included within 1,371 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:09 UTC |
Brooks Michael JPresident
|
PurchaseCommon Share Warrants (Right to Buy) · Derivative | 1,371 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000265 · section16.xml · derivative · entry 2 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,371 Underlying: Common Shares · 1,371 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F1 · price: The reported securities are included within 1,371 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 19:09 UTC |
Brooks Michael JPresident
|
PurchaseCommon Shares | 1,827 | $4.11 | $7,508.97 |
DisclosureSEC source: 0001654954-20-000265 · section16.xml · nonDerivative · entry 1 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,827 F1 · price: The reported securities are included within 1,371 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 08:30 UTC Amendment |
JOHNSON LORIN KDirector
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 4,262 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000335 · section16.xml · derivative · entry 3 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,262 Underlying: Common Shares · 4,262 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 08:30 UTC Amendment |
JOHNSON LORIN KDirector
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 6,393 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000335 · section16.xml · derivative · entry 2 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,393 Underlying: Common Shares · 6,393 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 08:30 UTC Amendment |
JOHNSON LORIN KDirector
|
GrantCommon Shares | 8,524 | $4.11 | $35,033.64 |
DisclosureSEC source: 0001654954-20-000335 · section16.xml · nonDerivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,524 F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 13:30 UTC Amendment |
Sistilli CarloDirector
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 1,218 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000336 · section16.xml · derivative · entry 3 Sistilli Carlo · CIK 0001777988 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by York-Cav Enterprises, Inc. Disclosed balance after: 1,218 Underlying: Common Shares · 1,218 shares Expires 2020-11-08 F4 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F5 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F2 · ownership.nature: York-Cav Enterprises, Inc. is partially owned by the reporting party.Mr. Sistilli disclaims beneficial ownership except to the extent of his precautionary interest therein. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 13:30 UTC Amendment |
Sistilli CarloDirector
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 1,827 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000336 · section16.xml · derivative · entry 2 Sistilli Carlo · CIK 0001777988 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by York-Cav Enterprises, Inc. Disclosed balance after: 1,827 Underlying: Common Shares · 1,827 shares Expires 2023-07-08 F3 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F5 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F2 · ownership.nature: York-Cav Enterprises, Inc. is partially owned by the reporting party.Mr. Sistilli disclaims beneficial ownership except to the extent of his precautionary interest therein. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 13:30 UTC Amendment |
Sistilli CarloDirector
|
GrantCommon Shares | 2,436 | $4.11 | $10,011.96 |
DisclosureSEC source: 0001654954-20-000336 · section16.xml · nonDerivative · entry 1 Sistilli Carlo · CIK 0001777988 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by York-Cav Enterprises, Inc. Disclosed balance after: 2,436 F5 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 2,436 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F2 · ownership.nature: York-Cav Enterprises, Inc. is partially owned by the reporting party.Mr. Sistilli disclaims beneficial ownership except to the extent of his precautionary interest therein. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 15:11 UTC Amendment |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 5,952 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000350 · section16.xml · derivative · entry 6 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II (International), L.P. Disclosed balance after: 5,952 Underlying: Common Shares · 5,952 shares Expires 2020-11-08 F5 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F6 · kind: Amended to reflect acquisition from the issuer. F2 · price: The reported securities are included within 11,903 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 15:11 UTC Amendment |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 64,362 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000350 · section16.xml · derivative · entry 5 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II, L.P. Disclosed balance after: 64,362 Underlying: Common Shares · 64,362 shares Expires 2020-11-08 F5 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F6 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 128,722 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 15:11 UTC Amendment |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 8,928 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000350 · section16.xml · derivative · entry 4 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II (International), L.P. Disclosed balance after: 8,928 Underlying: Common Shares · 8,928 shares Expires 2023-07-08 F4 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F6 · kind: Amended to reflect acquisition from the issuer. F2 · price: The reported securities are included within 11,903 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 15:11 UTC Amendment |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 96,542 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000350 · section16.xml · derivative · entry 3 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II, L.P. Disclosed balance after: 96,542 Underlying: Common Shares · 96,542 shares Expires 2023-07-08 F4 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F6 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 128,722 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 15:11 UTC Amendment |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
GrantCommon Shares | 11,903 | $3.20 | $38,089.60 |
DisclosureSEC source: 0001654954-20-000350 · section16.xml · nonDerivative · entry 2 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II (International), L.P. Disclosed balance after: 169,502 F6 · kind: Amended to reflect acquisition from the issuer. F2 · price: The reported securities are included within 11,903 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 15:11 UTC Amendment |
van der Velden PeterDirector · 10% owner
Lumira Capital Investment Management Inc.Director · 10% owner
|
GrantCommon Shares | 128,722 | $3.20 | $411,910.40 |
DisclosureSEC source: 0001654954-20-000350 · section16.xml · nonDerivative · entry 1 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II, L.P. Disclosed balance after: 1,833,066 F6 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 128,722 Common Shares purchased by the reporting person for $3.20 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 13:31 UTC Amendment |
Brooks Michael JPresident
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 914 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000338 · section16.xml · derivative · entry 3 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 914 Underlying: Common Shares · 914 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 1,827 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 13:31 UTC Amendment |
Brooks Michael JPresident
|
GrantCommon Share Warrants (Right to Buy) · Derivative | 1,371 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000338 · section16.xml · derivative · entry 2 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,371 Underlying: Common Shares · 1,371 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 1,827 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 13:31 UTC Amendment |
Brooks Michael JPresident
|
GrantCommon Shares | 1,827 | $4.11 | $7,508.97 |
DisclosureSEC source: 0001654954-20-000338 · section16.xml · nonDerivative · entry 1 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,827 F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 1,827 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:24 UTC |
OAKES FRANK R.Director
|
SaleCommon Shares | 1,809 | $5.72 | $10,345.13 |
DisclosureSEC source: 0001654954-19-010741 · section16.xml · nonDerivative · entry 1 OAKES FRANK R. · CIK 0001620188 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,165 F1 · shares: All share numbers reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F1 · balance_after: All share numbers reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 21:40 UTC |
MacDonald Sean ArthurDirector
|
GrantCommon Shares | 786 | $0.00 | $0.00 |
DisclosureSEC source: 0001778981-19-000003 · primary_doc.xml · nonDerivative · entry 1 MacDonald Sean Arthur · CIK 0001778981 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,369 F1 · shares: Represents additional common shares of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. F2 · shares: All share numbers reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:51 UTC |
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
|
GrantStock Option (right to buy) · Derivative | 91 | $0.00 Strike: $2.16 | $0.00 |
DisclosureSEC source: 0001777962-19-000003 · primary_doc.xml · derivative · entry 5 Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,620 Underlying: Common Shares · 91 shares Expires 2028-12-28 F4 · derivative.exercise_price: In Canadian currency. F3 · shares: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan. F5 · shares: This option was issued in replacement of an option to purchase shares of Edesa. F7 · derivative.exercise_date: This option vests and becomes exercisable 1/3 on December 28, 2019, and monthly thereafter through December 28, 2021. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:51 UTC |
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
|
GrantStock Option (right to buy) · Derivative | 2,667 | $0.00 Strike: $2.16 | $0.00 |
DisclosureSEC source: 0001777962-19-000003 · primary_doc.xml · derivative · entry 4 Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,490 Underlying: Common Shares · 2,667 shares Expires 2027-09-26 F4 · derivative.exercise_price: In Canadian currency. F3 · shares: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan. F5 · shares: This option was issued in replacement of an option to purchase shares of Edesa. F6 · derivative.exercise_date: This option vests and becomes exercisable 1/3 on September 26, 2018, and monthly thereafter through September 26, 2020. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:51 UTC |
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
|
GrantCommon Shares | 12,588 | $0.00 | $0.00 |
DisclosureSEC source: 0001777962-19-000003 · primary_doc.xml · nonDerivative · entry 3 Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by The Digestive Health Clinic Inc. Disclosed balance after: 224,094 F1 · shares: Represents additional common shares or options to purchase common shares, as applicable, of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. F2 · shares: All share numbers and exercise prices reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F3 · ownership.nature: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:51 UTC |
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
|
GrantCommon Shares | 118,345 | $0.00 | $0.00 |
DisclosureSEC source: 0001777962-19-000003 · primary_doc.xml · nonDerivative · entry 2 Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation. Disclosed balance after: 2,106,769 F1 · shares: Represents additional common shares or options to purchase common shares, as applicable, of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. F2 · shares: All share numbers and exercise prices reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F3 · ownership.nature: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:51 UTC |
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
|
GrantCommon Shares | 30,183 | $0.00 | $0.00 |
DisclosureSEC source: 0001777962-19-000003 · primary_doc.xml · nonDerivative · entry 1 Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 537,312 F1 · shares: Represents additional common shares or options to purchase common shares, as applicable, of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. F2 · shares: All share numbers and exercise prices reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 23:22 UTC |
van der Velden PeterDirector · 10% owner
|
GrantCommon Shares | 8,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-042699 · a4.xml · nonDerivative · entry 2 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II (International), L.P. Disclosed balance after: 157,599 F1 · shares: Represents additional common shares of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. F2 · shares: All share numbers reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 23:22 UTC |
van der Velden PeterDirector · 10% owner
|
GrantCommon Shares | 93,006 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-042699 · a4.xml · nonDerivative · entry 1 van der Velden Peter · CIK 0001778046 · Director · 10% owner Lumira Capital Investment Management Inc. · CIK 0001702636 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Lumira Capital II, L.P. Disclosed balance after: 1,704,344 F1 · shares: Represents additional common shares of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. F2 · shares: All share numbers reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F3 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:31 UTC |
Brooks Michael JPresident
|
GrantStock Option (right to buy) · Derivative | 91 | $0.00 Strike: $2.16 | $0.00 |
DisclosureSEC source: 0001779126-19-000003 · primary_doc.xml · derivative · entry 3 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,620 Underlying: Common Shares · 91 shares Expires 2028-12-28 F1 · derivative.exercise_price: In Canadian currency. F2 · shares: Represents additional options to purchase common stock of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. This option was issued in replacement of an option to purchase shares of Edesa. F3 · shares: All share numbers and exercise prices reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F6 · derivative.exercise_date: This option vests and becomes exercisable 1/3 on December 28, 2019, and monthly thereafter through December 28, 2021. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:31 UTC |
Brooks Michael JPresident
|
GrantStock Option (right to buy) · Derivative | 1,365 | $0.00 Strike: $2.16 | $0.00 |
DisclosureSEC source: 0001779126-19-000003 · primary_doc.xml · derivative · entry 2 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,299 Underlying: Common Shares · 1,365 shares Expires 2027-09-26 F1 · derivative.exercise_price: In Canadian currency. F2 · shares: Represents additional options to purchase common stock of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. This option was issued in replacement of an option to purchase shares of Edesa. F3 · shares: All share numbers and exercise prices reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F5 · derivative.exercise_date: This option vests and becomes exercisable 1/3 on September 26, 2018, and monthly thereafter through September 26, 2020. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:31 UTC |
Brooks Michael JPresident
|
GrantStock Option (right to buy) · Derivative | 7,663 | $0.00 Strike: $2.16 | $0.00 |
DisclosureSEC source: 0001779126-19-000003 · primary_doc.xml · derivative · entry 1 Brooks Michael J · CIK 0001779126 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,416 Underlying: Common Shares · 7,663 shares Expires 2027-08-28 F1 · derivative.exercise_price: In Canadian currency. F2 · shares: Represents additional options to purchase common stock of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa"), and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. This option was issued in replacement of an option to purchase shares of Edesa. F3 · shares: All share numbers and exercise prices reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F4 · derivative.exercise_date: This option was fully vested on August 28, 2017. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 22:03 UTC |
Pay Paul WilliamDirector
|
GrantStock Option (right to buy) · Derivative | 1,820 | $0.00 Strike: $2.16 | $0.00 |
DisclosureSEC source: 0001778480-19-000003 · primary_doc.xml · derivative · entry 1 Pay Paul William · CIK 0001778480 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,399 Underlying: Common Shares · 1,820 shares Expires 2027-09-26 F4 · derivative.exercise_price: In Canadian currency. F1 · shares: Represents additional options to purchase common shares of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.) (the "Issuer") issued pursuant to the post-closing adjustment contemplated by that certain Share Exchange Agreement, dated as of March 7, 2019, by and among the Issuer, Edesa Biotech, Inc. ("Edesa") and the shareholders of Edesa. The closing of the share exchange transaction contemplated by the Share Exchange Agreement occurred on June 7, 2019, at which time the Issuer acquired all the outstanding capital shares of Edesa from the Edesa shareholders. F2 · shares: All share numbers and exercise prices reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. F3 · derivative.exercise_date: This option vests and becomes exercisable 1/3 on September 26, 2018, and monthly thereafter through September 26, 2020. This option was issued in replacement of an option to purchase shares of Edesa. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 21:45 UTC |
MacDonald Sean ArthurDirector
|
GrantCommon Shares | 13,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001778981-19-000002 · primary_doc.xml · nonDerivative · entry 1 MacDonald Sean Arthur · CIK 0001778981 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,583 F1 · shares: Represents common shares of Edesa Biotech, Inc. (formerly known as Stellar Biotechnologies, Inc.)(the "Issuer") issued in the share exchange transaction that was completed on June 7, 2019, pursuant to that certain Share Exchange Agreement, dated March 7, 2019, by and among the Issuer, Edesa Biotech Inc. and the shareholders of Edesa Biotech Inc. All share numbers reflect the 1-for-6 reverse split of the Issuer's common shares which occurred on June 7, 2019. 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.