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ELDN

Eledon Pharmaceuticals, Inc.

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Tapewire entity
6160
SEC CIK
0001404281
Parsed reports
141

Last 12 months

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0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 09, 2024 Filed May 13, 2024 21:04 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseCommon Stock, $0.001 par value 75,431 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-24-001131 · form407422010_05132024.xml · nonDerivative · entry 3

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,460

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that collectively beneficially owns over 10% of the Issuer's outstanding shares of Common Stock (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: Pursuant to a securities purchase agreement between the Issuer and certain institutional and accredited investors, including certain of the Reporting Persons (the "2024 Purchasers"), the Issuer agreed to issue and sell to the 2024 Purchasers in a private placement (the "2024 Private Placement") shares of Common Stock at a price of $2.37 per share, and pre-funded warrants (the "2024 Pre-Funded Warrants") at a price of $2.369 per underlying share, which are exercisable into shares of Common Stock at an exercise price of $0.001 per share.

F3 · shares: Shares of Common Stock purchased in the 2024 Private Placement.

F2 · price: Pursuant to a securities purchase agreement between the Issuer and certain institutional and accredited investors, including certain of the Reporting Persons (the "2024 Purchasers"), the Issuer agreed to issue and sell to the 2024 Purchasers in a private placement (the "2024 Private Placement") shares of Common Stock at a price of $2.37 per share, and pre-funded warrants (the "2024 Pre-Funded Warrants") at a price of $2.369 per underlying share, which are exercisable into shares of Common Stock at an exercise price of $0.001 per share.

F3 · price: Shares of Common Stock purchased in the 2024 Private Placement.

F7 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

Read SEC document
May 09, 2024 Filed May 13, 2024 21:04 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseCommon Stock, $0.001 par value 821,121 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-24-001131 · form407422010_05132024.xml · nonDerivative · entry 2

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,633,679

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that collectively beneficially owns over 10% of the Issuer's outstanding shares of Common Stock (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: Pursuant to a securities purchase agreement between the Issuer and certain institutional and accredited investors, including certain of the Reporting Persons (the "2024 Purchasers"), the Issuer agreed to issue and sell to the 2024 Purchasers in a private placement (the "2024 Private Placement") shares of Common Stock at a price of $2.37 per share, and pre-funded warrants (the "2024 Pre-Funded Warrants") at a price of $2.369 per underlying share, which are exercisable into shares of Common Stock at an exercise price of $0.001 per share.

F3 · shares: Shares of Common Stock purchased in the 2024 Private Placement.

F2 · price: Pursuant to a securities purchase agreement between the Issuer and certain institutional and accredited investors, including certain of the Reporting Persons (the "2024 Purchasers"), the Issuer agreed to issue and sell to the 2024 Purchasers in a private placement (the "2024 Private Placement") shares of Common Stock at a price of $2.37 per share, and pre-funded warrants (the "2024 Pre-Funded Warrants") at a price of $2.369 per underlying share, which are exercisable into shares of Common Stock at an exercise price of $0.001 per share.

F3 · price: Shares of Common Stock purchased in the 2024 Private Placement.

F6 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

Read SEC document
May 09, 2024 Filed May 13, 2024 21:04 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseCommon Stock, $0.001 par value 1,031,385 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-24-001131 · form407422010_05132024.xml · nonDerivative · entry 1

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,361,803

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that collectively beneficially owns over 10% of the Issuer's outstanding shares of Common Stock (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: Pursuant to a securities purchase agreement between the Issuer and certain institutional and accredited investors, including certain of the Reporting Persons (the "2024 Purchasers"), the Issuer agreed to issue and sell to the 2024 Purchasers in a private placement (the "2024 Private Placement") shares of Common Stock at a price of $2.37 per share, and pre-funded warrants (the "2024 Pre-Funded Warrants") at a price of $2.369 per underlying share, which are exercisable into shares of Common Stock at an exercise price of $0.001 per share.

F3 · shares: Shares of Common Stock purchased in the 2024 Private Placement.

F2 · price: Pursuant to a securities purchase agreement between the Issuer and certain institutional and accredited investors, including certain of the Reporting Persons (the "2024 Purchasers"), the Issuer agreed to issue and sell to the 2024 Purchasers in a private placement (the "2024 Private Placement") shares of Common Stock at a price of $2.37 per share, and pre-funded warrants (the "2024 Pre-Funded Warrants") at a price of $2.369 per underlying share, which are exercisable into shares of Common Stock at an exercise price of $0.001 per share.

F3 · price: Shares of Common Stock purchased in the 2024 Private Placement.

F5 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

Read SEC document
October 02, 2023 Filed Oct 3, 2023 20:19 UTC GrantStock Option (Right to Buy) · Derivative 150,437 $1.55 Strike: $1.55 $233,177.35
Disclosure

SEC source: 0001209191-23-051460 · doc4.xml · derivative · entry 1

Robinson James A. Jr. · CIK 0001734295 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,437

Underlying: Common Stock · 150,437 shares

Expires 2033-10-02

F1 · derivative.exercise_date: This option represents a right to purchase up to 150,437 shares of Common Stock, which option vests with respect to 75,219 shares on October 2, 2024 and with respect to 75,218 shares on October 2, 2025.

Read SEC document
October 02, 2023 Filed Oct 3, 2023 20:17 UTC
Kirk AllanDirector
GrantStock Option (Right to Buy) · Derivative 150,437 $1.55 Strike: $1.55 $233,177.35
Disclosure

SEC source: 0001209191-23-051456 · doc4.xml · derivative · entry 1

Kirk Allan · CIK 0001995409 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,437

Underlying: Common Stock · 150,437 shares

Expires 2033-10-02

F1 · derivative.exercise_date: This option represents a right to purchase up to 150,437 shares of Common Stock, which option vests with respect to 75,219 shares on October 2, 2024 and with respect to 75,218 shares on October 2, 2025.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseWarrants to Purchase Common Stock · Derivative 252,291 Not disclosed Strike: $3.00 Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · derivative · entry 24

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 252,291

Underlying: Common Stock, $0.001 par value · 252,291 shares

Expires not disclosed

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · price: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.exercise_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · derivative.exercise_date: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.expiration_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · derivative.expiration_date: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F8 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseWarrants to Purchase Common Stock · Derivative 2,446,209 Not disclosed Strike: $3.00 Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · derivative · entry 23

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,446,209

Underlying: Common Stock, $0.001 par value · 2,446,209 shares

Expires not disclosed

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · price: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.exercise_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · derivative.exercise_date: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.expiration_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · derivative.expiration_date: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F7 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseWarrants to Purchase Common Stock · Derivative 3,084,090 Not disclosed Strike: $3.00 Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · derivative · entry 22

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,084,090

Underlying: Common Stock, $0.001 par value · 3,084,090 shares

Expires not disclosed

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · price: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.exercise_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · derivative.exercise_date: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.expiration_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F5 · derivative.expiration_date: 2023 Common Warrants purchased in the 2023 Private Placement. The 2023 Common Warrants are exercisable immediately and have a term of exercise equal to five years. The 2023 Common Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F6 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchasePre-funded Warrants to Purchase Common Stock · Derivative 165,950 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · derivative · entry 21

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,950

Underlying: Common Stock, $0.001 par value · 165,950 shares

Expires not disclosed

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · price: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.exercise_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · derivative.exercise_date: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.expiration_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · derivative.expiration_date: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F8 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchasePre-funded Warrants to Purchase Common Stock · Derivative 1,609,063 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · derivative · entry 20

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,609,063

Underlying: Common Stock, $0.001 par value · 1,609,063 shares

Expires not disclosed

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · price: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.exercise_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · derivative.exercise_date: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.expiration_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · derivative.expiration_date: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F7 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchasePre-funded Warrants to Purchase Common Stock · Derivative 2,028,645 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · derivative · entry 19

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,028,645

Underlying: Common Stock, $0.001 par value · 2,028,645 shares

Expires not disclosed

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · price: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.exercise_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · derivative.exercise_date: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F2 · derivative.expiration_date: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F4 · derivative.expiration_date: 2023 Pre-Funded Warrants purchased in the 2023 Private Placement. The 2023 Pre-Funded Warrants are exercisable immediately and shall expire when exercised in full. The 2023 Pre-Funded Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the outstanding shares of Common Stock, subject to certain exceptions.

F6 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseCommon Stock, $0.001 par value 86,341 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · nonDerivative · entry 3

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,029

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F3 · shares: Shares of Common Stock purchased in the 2023 Private Placement.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F3 · price: Shares of Common Stock purchased in the 2023 Private Placement.

F8 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseCommon Stock, $0.001 par value 837,146 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · nonDerivative · entry 2

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,812,558

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F3 · shares: Shares of Common Stock purchased in the 2023 Private Placement.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F3 · price: Shares of Common Stock purchased in the 2023 Private Placement.

F7 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

Read SEC document
May 05, 2023 Filed May 10, 2023 00:25 UTC
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
PurchaseCommon Stock, $0.001 par value 1,055,445 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-23-001098 · form407422eldn_05092023.xml · nonDerivative · entry 1

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · 10% owner

BVF INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,330,418

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · shares: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F3 · shares: Shares of Common Stock purchased in the 2023 Private Placement.

F2 · price: The Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors, including certain of the Reporting Persons (the "Purchasers"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement (the "2023 Private Placement"), in an initial closing, shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "2023 Pre-Funded Warrants"), and common stock warrants exercisable into shares of Common Stock (or 2023 Pre-Funded Warrants in lieu thereof) (the "2023 Common Warrants") at a per share purchase price equal to $2.31 (less $0.001 for each Pre-Funded Warrant, as applicable).

F3 · price: Shares of Common Stock purchased in the 2023 Private Placement.

F6 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

Read SEC document
May 01, 2023 Filed May 2, 2023 22:44 UTC
LYONS GARY ADirector
GrantCommon Stock · Derivative 150,437 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026725 · doc4.xml · derivative · entry 1

LYONS GARY A · CIK 0001123343 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,437

Underlying: Common Stock · 150,437 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 150,437 shares of Common Stock, which option vests with respect to 75,219 shares on May 1, 2024 and with respect to 75,218 shares on May 1, 2025.

Read SEC document
May 01, 2023 Filed May 2, 2023 18:42 UTC
Hillson JanDirector
GrantStock Option (right to buy) · Derivative 150,437 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026721 · doc4.xml · derivative · entry 1

Hillson Jan · CIK 0001871936 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,437

Underlying: Common Stock · 150,437 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 150,437 shares of Common Stock, which option vests with respect to 75,219 shares on May 1, 2024 and with respect to 75,218 shares on May 1, 2025.

Read SEC document
May 01, 2023 Filed May 2, 2023 22:50 UTC
Perrin StevenDirector · President
GrantStock Option (right to buy) · Derivative 317,147 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026733 · doc4.xml · derivative · entry 1

Perrin Steven · CIK 0001824545 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 317,147

Underlying: Common Stock · 317,147 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 317,147 shares of Common Stock, which option vests with respect to 79,287 shares on May 1, 2024, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending May 1, 2027.

Read SEC document
May 01, 2023 Filed May 2, 2023 18:50 UTC
Smith Bryan E.General Counsel, Corporate Sec
GrantStock Option (right to buy) · Derivative 179,000 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026734 · doc4.xml · derivative · entry 1

Smith Bryan E. · CIK 0001748041 · General Counsel, Corporate Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,000

Underlying: Common Stock · 179,000 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 179,000 shares of Common Stock, which option vests with respect to 44,750 shares on May 1, 2024, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending May 1, 2027.

Read SEC document
May 01, 2023 Filed May 2, 2023 22:49 UTC
Gros David-Alexandre CDirector · Chief Executive Officer
GrantCommon Stock (right to buy) · Derivative 383,299 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026732 · doc4.xml · derivative · entry 1

Gros David-Alexandre C · CIK 0001644489 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 383,299

Underlying: Common Stock · 383,299 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 383,299 shares of Common Stock, which option vests with respect to 95,825 shares on May 1, 2024, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending May 1, 2027.

Read SEC document
May 01, 2023 Filed May 2, 2023 18:44 UTC GrantStock Option (right to buy) · Derivative 150,437 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026727 · doc4.xml · derivative · entry 1

McBride John S. · CIK 0001618251 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,437

Underlying: Common Stock · 150,437 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 150,437 shares of Common Stock, which option vests with respect to 75,219 shares on May 1, 2024 and with respect to 75,218 shares on May 1, 2025.

Read SEC document
May 01, 2023 Filed May 2, 2023 22:48 UTC GrantStock Option (right to buy) · Derivative 150,437 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026731 · doc4.xml · derivative · entry 1

Ogier Walter C · CIK 0001344644 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,437

Underlying: Common Stock · 150,437 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 150,437 shares of Common Stock, which option vests with respect to 75,219 shares on May 1, 2024 and with respect to 75,218 shares on May 1, 2025.

Read SEC document
May 01, 2023 Filed May 2, 2023 22:47 UTC
Little Paul SeanChief Financial Officer
GrantStock Option (right to buy) · Derivative 198,126 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026730 · doc4.xml · derivative · entry 1

Little Paul Sean · CIK 0001749385 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 198,126

Underlying: Common Stock · 198,126 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 198,126 shares of Common Stock, which option vests with respect to 49,531 shares on May 1, 2024, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending May 1, 2027.

Read SEC document
May 01, 2023 Filed May 2, 2023 22:45 UTC
Katkin KeithDirector
GrantStock Option (right to buy) · Derivative 752,185 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026728 · doc4.xml · derivative · entry 1

Katkin Keith · CIK 0001314596 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 752,185

Underlying: Common Stock · 752,185 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 752,185 shares of Common Stock, which option vests with respect to 376,093 shares on May 1, 2024 and with respect to 376,092 shares on May 1, 2025.

Read SEC document
May 01, 2023 Filed May 2, 2023 22:43 UTC
Lee JuneDirector
GrantStock Option (right to buy) · Derivative 150,437 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-23-026724 · doc4.xml · derivative · entry 1

Lee June · CIK 0001696493 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,437

Underlying: Common Stock · 150,437 shares

Expires 2033-05-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 150,437 shares of Common Stock, which option vests with respect to 75,219 shares on May 1, 2024 and with respect to 75,218 shares on May 1, 2025.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 23:07 UTC
LYONS GARY ADirector
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006351 · doc4.xml · derivative · entry 1

LYONS GARY A · CIK 0001123343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2024.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 17:58 UTC
Hillson JanDirector
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006329 · doc4.xml · derivative · entry 1

Hillson Jan · CIK 0001871936 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2024.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 23:11 UTC
Perrin StevenDirector · President
GrantStock Option (right to buy) · Derivative 155,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006364 · doc4.xml · derivative · entry 1

Perrin Steven · CIK 0001824545 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 155,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 155,000 shares of Common Stock, which option vests with respect to 38,750 shares on February 1, 2024, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending February 1, 2027.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 17:43 UTC
Smith Bryan E.General Counsel, Corporate Sec
GrantStock Option (right to buy) · Derivative 155,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006309 · doc4.xml · derivative · entry 1

Smith Bryan E. · CIK 0001748041 · General Counsel, Corporate Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 155,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 155,000 shares of Common Stock, which option vests with respect to 38,750 shares on February 1, 2024, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending February 1, 2027.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 22:56 UTC
Gros David-Alexandre CDirector · Chief Executive Officer
GrantStock Option (right to buy) · Derivative 153,600 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-23-006324 · doc4.xml · derivative · entry 2

Gros David-Alexandre C · CIK 0001644489 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,600

Underlying: Common Stock · 153,600 shares

Expires 2032-02-01

F2 · derivative.exercise_date: This transaction represents the attainment of the performance conditions applicable to an option award subject to both performance-based and time-based vesting criteria granted to the reporting person on February 1, 2022. The option satisfied the performance criteria with respect to 153,600 shares of underlying Common Stock and these credited shares will satisfy the time-based vesting criteria with respect to 38,400 shares of Common Stock on February 1, 2023, and then with respect to 1/48th of the credited shares monthly over the three-year period ending February 1, 2026.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 22:56 UTC
Gros David-Alexandre CDirector · Chief Executive Officer
GrantStock Option (right to buy) · Derivative 300,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006324 · doc4.xml · derivative · entry 1

Gros David-Alexandre C · CIK 0001644489 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 300,000 shares of Common Stock, which options vests with respect to 75,000 shares on February 1, 2024, and then with respect to 6.25% of the underlying shares quarterly over the three year period ending February 1, 2027.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 18:08 UTC GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006355 · doc4.xml · derivative · entry 1

McBride John S. · CIK 0001618251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2024.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 23:10 UTC GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006359 · doc4.xml · derivative · entry 1

Ogier Walter C · CIK 0001344644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2024.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 23:05 UTC
Lee JuneDirector
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006345 · doc4.xml · derivative · entry 1

Lee June · CIK 0001696493 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2024.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 23:04 UTC
Katkin KeithDirector
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006339 · doc4.xml · derivative · entry 1

Katkin Keith · CIK 0001314596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2024.

Read SEC document
February 01, 2023 Filed Feb 2, 2023 22:40 UTC
Little Paul SeanChief Financial Officer
GrantStock Option (right to buy) · Derivative 155,000 $0.00 Strike: $3.08 $0.00
Disclosure

SEC source: 0001209191-23-006300 · doc4.xml · derivative · entry 1

Little Paul Sean · CIK 0001749385 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 155,000 shares

Expires 2033-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 155,000 shares of Common Stock, which option vests with respect to 38,750 shares on February 1, 2024, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending February 1, 2027.

Read SEC document
November 23, 2022 Filed Nov 23, 2022 21:05 UTC
Perrin StevenDirector · President
PurchaseCommon Stock 1,000 $2.60 $2,596.90
Disclosure

SEC source: 0001209191-22-058608 · doc4.xml · nonDerivative · entry 1

Perrin Steven · CIK 0001824545 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

F1 · kind: This Form 4 reports an open market purchase by the Reporting Person of shares of common stock in accordance with the Issuer's trading policies.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 22:33 UTC
LYONS GARY ADirector
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006476 · doc4.xml · derivative · entry 1

LYONS GARY A · CIK 0001123343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2023.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 17:29 UTC
Hillson JanDirector
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006464 · doc4.xml · derivative · entry 1

Hillson Jan · CIK 0001871936 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2023.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 22:37 UTC
Perrin StevenDirector · President
GrantStock Option (right to buy) · Derivative 155,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006486 · doc4.xml · derivative · entry 1

Perrin Steven · CIK 0001824545 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 155,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 155,000 shares of Common Stock, which option vests with respect to 38,750 shares on February 1, 2023, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending February 1, 2026.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 17:37 UTC
Smith Bryan E.General Counsel, Corporate Sec
GrantStock Option (right to buy) · Derivative 120,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006489 · doc4.xml · derivative · entry 1

Smith Bryan E. · CIK 0001748041 · General Counsel, Corporate Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 120,000 shares of Common Stock, which option vests with respect to 30,000 shares on February 1, 2023, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending February 1, 2026.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 22:38 UTC
Gros David-Alexandre CDirector · Chief Executive Officer
GrantStock Option (right to buy) · Derivative 108,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006492 · doc4.xml · derivative · entry 1

Gros David-Alexandre C · CIK 0001644489 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,000

Underlying: Common Stock · 108,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 108,000 shares of Common Stock, which option vests with respect to 27,000 shares on February 1, 2023, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending February 1, 2026.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 17:35 UTC GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006480 · doc4.xml · derivative · entry 1

McBride John S. · CIK 0001618251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2023.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 22:36 UTC GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006485 · doc4.xml · derivative · entry 1

Ogier Walter C · CIK 0001344644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2023.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 22:32 UTC
Lee JuneDirector
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006471 · doc4.xml · derivative · entry 1

Lee June · CIK 0001696493 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2023.

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February 01, 2022 Filed Feb 2, 2022 22:30 UTC
Katkin KeithDirector
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006466 · doc4.xml · derivative · entry 1

Katkin Keith · CIK 0001314596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 20,000 shares of Common Stock, which option vests with respect to 100% of the total number of shares on 2/1/2023.

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February 01, 2022 Filed Feb 2, 2022 22:23 UTC
Little Paul SeanChief Financial Officer
GrantStock Option (right to buy) · Derivative 155,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001209191-22-006446 · doc4.xml · derivative · entry 1

Little Paul Sean · CIK 0001749385 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 155,000 shares

Expires 2032-02-01

F1 · derivative.exercise_date: This option represents a right to purchase up to 155,000 shares of Common Stock, which option vests with respect to 38,750 shares on February 1, 2023, and then with respect to 6.25% of the underlying shares quarterly over the three-year period ending February 1, 2026.

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December 20, 2021 Filed Dec 21, 2021 21:05 UTC
Gros David-Alexandre CDirector · Chief Executive Officer
PurchaseCommon Stock 2,000 $4.48 $8,960.00
Disclosure

SEC source: 0000899243-21-049171 · doc4.xml · nonDerivative · entry 1

Gros David-Alexandre C · CIK 0001644489 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

F1 · kind: These shares were purchased in an open market transaction in accordance with the Issuer's trading policies.

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August 17, 2021 Filed Aug 19, 2021 20:05 UTC
Gros David-Alexandre CDirector · Chief Executive Officer
PurchaseCommon Stock 4,000 $6.21 $24,840.00
Disclosure

SEC source: 0001209191-21-052519 · doc4.xml · nonDerivative · entry 1

Gros David-Alexandre C · CIK 0001644489 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

F1 · kind: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple open market transactions in accordance with the Issuer's trading policies at prices ranging from $6.20 to $6.22 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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June 11, 2021 Filed Jun 14, 2021 21:24 UTC
Little Paul SeanCHIEF FINANCIAL OFFICER
PurchaseCommon Stock 10,000 $8.87 $88,700.00
Disclosure

SEC source: 0000899243-21-023640 · doc4.xml · nonDerivative · entry 1

Little Paul Sean · CIK 0001749385 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · kind: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple open market transactions in accordance with the Issuer's trading policies at prices ranging from $8.76 to $8.99 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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June 09, 2021 Filed Jun 10, 2021 21:25 UTC
Gros David-Alexandre CDirector · Chief Executive Officer
PurchaseCommon Stock 3,000 $8.01 $24,030.00
Disclosure

SEC source: 0000899243-21-022998 · doc4.xml · nonDerivative · entry 1

Gros David-Alexandre C · CIK 0001644489 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

F1 · kind: This Form 4 reports an open market purchase by the Reporting Person of shares of common stock in accordance with the Issuer's trading policies.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.