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Nasdaq · USD

ELOX

Eloxx Pharmaceuticals, Inc.

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7180
SEC CIK
0001035354
Parsed reports
201

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.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 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
January 30, 2020 Filed Mar 4, 2020 19:30 UTC Amendment
Williams Gregory C.Director · CHIEF EXECUTIVE OFFICER · FORMER CHIEF OPERATING OFFICER
Tax withholdingCommon Stock 2,590 $3.91 $10,126.90
Disclosure

SEC source: 0001415889-20-000637 · form4a-03042020_020307.xml · nonDerivative · entry 2

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER · FORMER CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,910

Read SEC document
January 30, 2020 Filed Mar 4, 2020 19:30 UTC Amendment
Williams Gregory C.Director · CHIEF EXECUTIVE OFFICER · FORMER CHIEF OPERATING OFFICER
Exercise / conversionCommon Stock 7,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000637 · form4a-03042020_020307.xml · nonDerivative · entry 1

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER · FORMER CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reflects the restricted stock units issued to the reporting person on January 30, 2019 which have partially vested and settled for shares of the issuer's common stock. The original Form 4 filed on January 31, 2020 is amended in its entirety by this Form 4 Amendment to provide the: (a) correct date the restricted stock units were first issued to the reporting person; and (b) correct disposition of the derivative securities.

Read SEC document
January 30, 2020 Filed Mar 4, 2020 19:30 UTC Amendment
WEAVER GREGORY LCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000636 · form4a-03042020_020302.xml · derivative · entry 3

WEAVER GREGORY L · CIK 0001251779 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Reflects the restricted stock units issued to the reporting person on January 30, 2019 which have partially vested and settled for shares of the issuer's common stock. The original Form 4 filed on January 31, 2020 is amended in its entirety by this Form 4 Amendment to provide the: (a) correct date the restricted stock units were first issued to the reporting person; and (b) correct disposition of the derivative securities.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · shares: The original Form 4 filed on January 31, 2020 is amended by this Form 4 Amendment to correctly identify the nature of the transaction of the reporting person.

F4 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: Reflects the restricted stock units issued to the reporting person on January 30, 2019 which have partially vested and settled for shares of the issuer's common stock. The original Form 4 filed on January 31, 2020 is amended in its entirety by this Form 4 Amendment to provide the: (a) correct date the restricted stock units were first issued to the reporting person; and (b) correct disposition of the derivative securities.

F1 · derivative.expiration_date: Reflects the restricted stock units issued to the reporting person on January 30, 2019 which have partially vested and settled for shares of the issuer's common stock. The original Form 4 filed on January 31, 2020 is amended in its entirety by this Form 4 Amendment to provide the: (a) correct date the restricted stock units were first issued to the reporting person; and (b) correct disposition of the derivative securities.

F5 · balance_after: The remaining restricted stock units will vest ratably each quarter through January 30, 2023, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

Read SEC document
January 30, 2020 Filed Mar 4, 2020 19:30 UTC Amendment
WEAVER GREGORY LCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 1,733 $3.91 $6,776.03
Disclosure

SEC source: 0001415889-20-000636 · form4a-03042020_020302.xml · nonDerivative · entry 2

WEAVER GREGORY L · CIK 0001251779 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,767

Read SEC document
January 30, 2020 Filed Mar 4, 2020 19:30 UTC Amendment
WEAVER GREGORY LCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-20-000636 · form4a-03042020_020302.xml · nonDerivative · entry 1

WEAVER GREGORY L · CIK 0001251779 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reflects the restricted stock units issued to the reporting person on January 30, 2019 which have partially vested and settled for shares of the issuer's common stock. The original Form 4 filed on January 31, 2020 is amended in its entirety by this Form 4 Amendment to provide the: (a) correct date the restricted stock units were first issued to the reporting person; and (b) correct disposition of the derivative securities.

Read SEC document
December 26, 2019 Filed Dec 27, 2019 21:10 UTC
Ward RobertDirector · CHAIRMAN AND CEO
Exercise / conversionRestricted Stock Units · Derivative 35,599 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001569 · form4-12272019_041201.xml · derivative · entry 3

Ward Robert · CIK 0001595111 · Director · CHAIRMAN AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,794

Underlying: Common Stock · 35,599 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · price: The restricted stock units were issued pursuant to the Issuer's 2013 Share Ownership and Option Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F6 · balance_after: The remaining restricted stock units will vest ratably each quarter through December 26, 2021 subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

Read SEC document
December 26, 2019 Filed Dec 27, 2019 21:10 UTC
Ward RobertDirector · CHAIRMAN AND CEO
Tax withholdingCommon Stock 15,806 $7.26 $114,751.56
Disclosure

SEC source: 0001415889-19-001569 · form4-12272019_041201.xml · nonDerivative · entry 2

Ward Robert · CIK 0001595111 · Director · CHAIRMAN AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,746

F3 · balance_after: Of this amount, 175,746 shares are held by the Robert E. Ward 2017 Revocable Trust of which Mr. Ward is a trustee.

Read SEC document
December 26, 2019 Filed Dec 27, 2019 21:10 UTC
Ward RobertDirector · CHAIRMAN AND CEO
Exercise / conversionCommon Stock 35,599 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001569 · form4-12272019_041201.xml · nonDerivative · entry 1

Ward Robert · CIK 0001595111 · Director · CHAIRMAN AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,552

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F2 · balance_after: Of this amount, 191,552 shares are held by the Robert E. Ward 2017 Revocable Trust of which Mr. Ward is a trustee.

Read SEC document
September 26, 2019 Filed Sep 27, 2019 20:10 UTC
Ward RobertDirector · CHAIRMAN AND CEO
Exercise / conversionRestricted Stock Units · Derivative 35,599 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001115 · form4-09272019_040902.xml · derivative · entry 3

Ward Robert · CIK 0001595111 · Director · CHAIRMAN AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,393

Underlying: Common Stock · 35,599 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · price: The restricted stock units were issued pursuant to the Issuer's 2013 Share Ownership and Option Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F6 · balance_after: The remaining restricted stock units will vest ratably each quarter through December 26, 2021 subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

Read SEC document
September 26, 2019 Filed Sep 27, 2019 20:10 UTC
Ward RobertDirector · CHAIRMAN AND CEO
Tax withholdingCommon Stock 10,467 $4.37 $45,740.79
Disclosure

SEC source: 0001415889-19-001115 · form4-09272019_040902.xml · nonDerivative · entry 2

Ward Robert · CIK 0001595111 · Director · CHAIRMAN AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,953

F3 · balance_after: Of this amount, 155,953 shares are held by the Robert E. Ward 2017 Revocable Trust of which Mr. Ward is a trustee.

Read SEC document
September 26, 2019 Filed Sep 27, 2019 20:10 UTC
Ward RobertDirector · CHAIRMAN AND CEO
Exercise / conversionCommon Stock 35,599 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-001115 · form4-09272019_040902.xml · nonDerivative · entry 1

Ward Robert · CIK 0001595111 · Director · CHAIRMAN AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,420

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F2 · balance_after: Of this amount, 166,420 shares are held by the Robert E. Ward 2017 Revocable Trust of which Mr. Ward is a trustee.

Read SEC document
September 12, 2019 Filed Sep 13, 2019 20:10 UTC
Snow David P.CHIEF BUSINESS OFFICER
GrantEmployee Stock Option (Right to Buy) · Derivative 150,000 $0.00 Strike: $6.47 $0.00
Disclosure

SEC source: 0001415889-19-001018 · form4-09132019_040911.xml · derivative · entry 1

Snow David P. · CIK 0001652972 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-09-12

F2 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on September 12, 2020, and the remainder vests in twelve equal quarterly installments thereafter.

Read SEC document
September 12, 2019 Filed Sep 13, 2019 20:10 UTC
Belloff Neil S.GENERAL COUNSEL/CORPORATE SECR
GrantEmployee Stock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $6.47 $0.00
Disclosure

SEC source: 0001415889-19-001017 · form4-09132019_040906.xml · derivative · entry 1

Belloff Neil S. · CIK 0001741670 · GENERAL COUNSEL/CORPORATE SECR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-09-12

F2 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on September 12, 2020, and the remainder vests in twelve equal quarterly installments thereafter.

Read SEC document
September 12, 2019 Filed Sep 13, 2019 20:10 UTC
Williams Gregory C.CHIEF OPERATING OFFICER
GrantEmployee Stock Option (Right to Buy) · Derivative 225,000 $0.00 Strike: $6.47 $0.00
Disclosure

SEC source: 0001415889-19-001016 · form4-09132019_040902.xml · derivative · entry 1

Williams Gregory C. · CIK 0001597293 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 225,000 shares

Expires 2029-09-12

F2 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on September 12, 2020, and the remainder vests in twelve equal quarterly installments thereafter.

Read SEC document
June 26, 2019 Filed Jun 27, 2019 21:39 UTC
Ward RobertDirector · CHIEF EXECUTIVE OFFICER
Exercise / conversionRestricted Stock Units · Derivative 35,599 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000806 · form4-06272019_020637.xml · derivative · entry 3

Ward Robert · CIK 0001595111 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,992

Underlying: Common Stock · 35,599 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · price: The restricted stock units were issued pursuant to the Issuer's 2013 Share Ownership and Option Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F6 · balance_after: The remaining restricted stock units will vest ratably each quarter through December 26, 2021 subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

Read SEC document
June 26, 2019 Filed Jun 27, 2019 21:39 UTC
Ward RobertDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 10,467 $9.03 $94,517.01
Disclosure

SEC source: 0001415889-19-000806 · form4-06272019_020637.xml · nonDerivative · entry 2

Ward Robert · CIK 0001595111 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,821

F3 · balance_after: Of this amount, 130,821 shares are held by the Robert E. Ward 2017 Revocable Trust of which Mr. Ward is a trustee.

Read SEC document
June 26, 2019 Filed Jun 27, 2019 21:39 UTC
Ward RobertDirector · CHIEF EXECUTIVE OFFICER
Exercise / conversionCommon Stock 35,599 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000806 · form4-06272019_020637.xml · nonDerivative · entry 1

Ward Robert · CIK 0001595111 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,288

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F2 · balance_after: Of this amount, 141,288 shares are held by the Robert E. Ward 2017 Revocable Trust of which Mr. Ward is a trustee.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:48 UTC
Kariv TomerDirector
PurchaseCommon Stock 24,000 $9.00 $216,000.00
Disclosure

SEC source: 0001144204-19-032484 · tv524334_form4.xml · nonDerivative · entry 4

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 24,000

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F5 · ownership.nature: Represents shares of the Issuer held by Pontifax Late Stage Fund L.P.("Late Stage Fund"). Pontifax Late Stage GP Ltd., the general partner of Late Stage Fund, has a Strategic Alliance Agreement with Pontifax IV. By virtue of this relationship, Mr. Kariv may be deemed to share voting and dispositive power with respect to the shares held by Late Stage Fund. Mr. Kariv disclaims beneficial ownership of such shares, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:48 UTC
Kariv TomerDirector
PurchaseCommon Stock 46,933 $9.00 $422,397.00
Disclosure

SEC source: 0001144204-19-032484 · tv524334_form4.xml · nonDerivative · entry 3

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 567,329

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F4 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Kariv may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Kariv disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:48 UTC
Kariv TomerDirector
PurchaseCommon Stock 86,806 $9.00 $781,254.00
Disclosure

SEC source: 0001144204-19-032484 · tv524334_form4.xml · nonDerivative · entry 2

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 1,049,310

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Kariv may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Kariv disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:48 UTC
Kariv TomerDirector
PurchaseCommon Stock 42,261 $9.00 $380,349.00
Disclosure

SEC source: 0001144204-19-032484 · tv524334_form4.xml · nonDerivative · entry 1

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 510,846

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. Mr. Kariv is a Managing Partner of Management 4. By virtue of this relationship, Mr. Kariv may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Kariv disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:51 UTC
Nussbaum RanDirector
PurchaseCommon Stock 24,000 $9.00 $216,000.00
Disclosure

SEC source: 0001144204-19-032486 · tv524333_form4.xml · nonDerivative · entry 4

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 24,000

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F5 · ownership.nature: Represents shares of the Issuer held by Pontifax Late Stage Fund L.P.("Late Stage Fund"). Pontifax Late Stage GP Ltd., the general partner of Late Stage Fund, has a Strategic Alliance Agreement with Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Late Stage Fund. Mr. Nussbaum disclaims beneficial ownership of such shares, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:51 UTC
Nussbaum RanDirector
PurchaseCommon Stock 46,933 $9.00 $422,397.00
Disclosure

SEC source: 0001144204-19-032486 · tv524333_form4.xml · nonDerivative · entry 3

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 567,329

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F4 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:51 UTC
Nussbaum RanDirector
PurchaseCommon Stock 86,806 $9.00 $781,254.00
Disclosure

SEC source: 0001144204-19-032486 · tv524333_form4.xml · nonDerivative · entry 2

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 1,049,310

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:51 UTC
Nussbaum RanDirector
PurchaseCommon Stock 42,261 $9.00 $380,349.00
Disclosure

SEC source: 0001144204-19-032486 · tv524333_form4.xml · nonDerivative · entry 1

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 510,846

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. Mr. Nussbaum is a Managing Partner of Management 4. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

Read SEC document
June 24, 2019 Filed Jun 26, 2019 20:44 UTC PurchaseCommon Stock 24,000 $9.00 $216,000.00
Disclosure

SEC source: 0001144204-19-032482 · tv524335_form4.xml · nonDerivative · entry 4

Pontifax Management 4 G.P. (2015) Ltd. · CIK 0001726334 · 10% owner

Pontifax (China) IV L.P. · CIK 0001726030 · 10% owner

Pontifax (Cayman) IV L.P. · CIK 0001726029 · 10% owner

Pontifax (Israel) IV, L.P. · CIK 0001726039 · 10% owner

Pontifax IV GP L.P. · CIK 0001726353 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 24,000

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F5 · ownership.nature: Represents shares of the Issuer held by Pontifax Late Stage Fund L.P.("Late Stage Fund"). Pontifax Late Stage GP Ltd. ("Late Stage GP"), the general partner of Late Stage Fund, has a Strategic Alliance Agreement with Pontifax IV. By virtue of this relationship, Pontifax IV may be deemed to share voting and dispositive power with respect to the shares held by Late Stage Fund. Each of Management 4, Pontifax IV, Late Stage Fund and Late Stage GP disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

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June 24, 2019 Filed Jun 26, 2019 20:44 UTC PurchaseCommon Stock 46,933 $9.00 $422,397.00
Disclosure

SEC source: 0001144204-19-032482 · tv524335_form4.xml · nonDerivative · entry 3

Pontifax Management 4 G.P. (2015) Ltd. · CIK 0001726334 · 10% owner

Pontifax (China) IV L.P. · CIK 0001726030 · 10% owner

Pontifax (Cayman) IV L.P. · CIK 0001726029 · 10% owner

Pontifax (Israel) IV, L.P. · CIK 0001726039 · 10% owner

Pontifax IV GP L.P. · CIK 0001726353 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 567,329

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F4 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. As a result, each of Management 4 and Pontifax IV may be deemed to share voting and dispositive power with respect to the shares held by China IV. Each of Management 4, Pontifax IV and China IV disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

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June 24, 2019 Filed Jun 26, 2019 20:44 UTC PurchaseCommon Stock 86,806 $9.00 $781,254.00
Disclosure

SEC source: 0001144204-19-032482 · tv524335_form4.xml · nonDerivative · entry 2

Pontifax Management 4 G.P. (2015) Ltd. · CIK 0001726334 · 10% owner

Pontifax (China) IV L.P. · CIK 0001726030 · 10% owner

Pontifax (Cayman) IV L.P. · CIK 0001726029 · 10% owner

Pontifax (Israel) IV, L.P. · CIK 0001726039 · 10% owner

Pontifax IV GP L.P. · CIK 0001726353 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 1,049,310

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. As a result, each of Management 4 and Pontifax IV may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Each of Management 4, Pontifax IV and Israel IV disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

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June 24, 2019 Filed Jun 26, 2019 20:44 UTC PurchaseCommon Stock 42,261 $9.00 $380,349.00
Disclosure

SEC source: 0001144204-19-032482 · tv524335_form4.xml · nonDerivative · entry 1

Pontifax Management 4 G.P. (2015) Ltd. · CIK 0001726334 · 10% owner

Pontifax (China) IV L.P. · CIK 0001726030 · 10% owner

Pontifax (Cayman) IV L.P. · CIK 0001726029 · 10% owner

Pontifax (Israel) IV, L.P. · CIK 0001726039 · 10% owner

Pontifax IV GP L.P. · CIK 0001726353 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 510,846

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that closed on June 24, 2019.

F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. As a result, each of Management 4 and Pontifax IV may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Each of Management 4, Pontifax IV and Cayman IV disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

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May 29, 2019 Filed May 29, 2019 21:17 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000625 · form4-05292019_020511.xml · derivative · entry 1

Avnur Zafrira · CIK 0001726049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date

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May 29, 2019 Filed May 29, 2019 21:21 UTC
Nussbaum RanDirector
GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000626 · form4-05292019_020529.xml · derivative · entry 1

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

F2 · ownership.direct: The Reporting Person will assign the economic interests of this grant to the Pontifax funds, where he serves as a director of the General Partner.

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May 29, 2019 Filed May 29, 2019 21:10 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000621 · form4-05292019_020542.xml · derivative · entry 1

Seehra Jasbir · CIK 0001732369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

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May 29, 2019 Filed May 29, 2019 21:08 UTC
Veinrib GadiDirector
GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000620 · form4-05292019_020516.xml · derivative · entry 1

Veinrib Gadi · CIK 0001726015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

Read SEC document
May 29, 2019 Filed May 29, 2019 21:22 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000627 · form4-05292019_020533.xml · derivative · entry 1

Noiman Silvia · CIK 0001340877 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

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May 29, 2019 Filed May 29, 2019 21:15 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000624 · form4-05292019_020508.xml · derivative · entry 2

Pontifax Management 4 G.P. (2015) Ltd. · CIK 0001726334 · 10% owner

Pontifax IV GP L.P. · CIK 0001726353 · 10% owner

Pontifax (Cayman) IV L.P. · CIK 0001726029 · 10% owner

Pontifax (China) IV L.P. · CIK 0001726030 · 10% owner

Pontifax (Israel) IV, L.P. · CIK 0001726039 · 10% owner

Pontifax Management III G.P. (2011) Ltd. · CIK 0001726335 · 10% owner

Pontifax Management Fund III L.P. · CIK 0001726340 · 10% owner

Pontifax (Cayman) III, L.P. · CIK 0001726028 · 10% owner

Pontifax (Israel) III, L.P. · CIK 0001726038 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

F3 · ownership.nature: The reported securities are owned by Ran Nussbaum, a director of Pontifax. Mr. Nussbaum will assign the economic interests of the reported securities to Pontifax and Pontifax may be deemed the indirect beneficial owner of the security. Pontifax disclaims beneficial ownership of the security except to the extent of its pecuniary interest therein.

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May 29, 2019 Filed May 29, 2019 21:15 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000624 · form4-05292019_020508.xml · derivative · entry 1

Pontifax Management 4 G.P. (2015) Ltd. · CIK 0001726334 · 10% owner

Pontifax IV GP L.P. · CIK 0001726353 · 10% owner

Pontifax (Cayman) IV L.P. · CIK 0001726029 · 10% owner

Pontifax (China) IV L.P. · CIK 0001726030 · 10% owner

Pontifax (Israel) IV, L.P. · CIK 0001726039 · 10% owner

Pontifax Management III G.P. (2011) Ltd. · CIK 0001726335 · 10% owner

Pontifax Management Fund III L.P. · CIK 0001726340 · 10% owner

Pontifax (Cayman) III, L.P. · CIK 0001726028 · 10% owner

Pontifax (Israel) III, L.P. · CIK 0001726038 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

F2 · ownership.nature: The reported securities are owned directly by Tomer Kariv, a director of Pontifax Management 4 G.P. (2015) Ltd. and Pontifax Management III G.P. (2011) Ltd. (collectively, "Pontifax"). Pontifax Management 4.G.P. (2015) Ltd., is the general partner of Pontifax Management 4 G.P. L.P., which is the general partner of each of Pontifax (Cayman) IV L.P., Pontifax (China) IV L.P. and Pontifax (Israel) IV L.P. Pontifax Management III G.P. (2011) Ltd. is the general partner of Pontifax Management Fund III L.P., which is the general partner of each of Pontifax (Cayman) III L.P. and Pontifax (Israel) III L.P. Mr. Kariv will assign the economic interests of the reported securities to Pontifax and Pontifax may be deemed the indirect beneficial owner of the security. Pontifax disclaims beneficial ownership of the security except to the extent of its pecuniary interest therein.

Read SEC document
May 29, 2019 Filed May 29, 2019 21:13 UTC
Kariv TomerDirector
GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000623 · form4-05292019_020503.xml · derivative · entry 1

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

F2 · ownership.direct: The Reporting Person will assign the economic interests of this grant to the Pontifax funds, where he serves as a director of the General Partner.

Read SEC document
May 29, 2019 Filed May 29, 2019 21:12 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000622 · form4-05292019_020546.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

Read SEC document
May 29, 2019 Filed May 30, 2019 19:45 UTC Amendment
Nussbaum RanDirector
GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000632 · form4a-05302019_120527.xml · derivative · entry 1

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

F2 · ownership.direct: The Reporting Person will assign the economic interests of this grant to the Pontifax funds, where he serves as a director of the General Partner.

Read SEC document
May 29, 2019 Filed May 30, 2019 18:06 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $9.02 $0.00
Disclosure

SEC source: 0001415889-19-000630 · form4-05302019_110553.xml · derivative · entry 1

Kleijwegt Martijn · CIK 0001726016 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-05-29

F1 · derivative.exercise_date: One half (1/2) of the shares underlying the option shall vest on May 29, 2020 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

Read SEC document
March 26, 2019 Filed Mar 28, 2019 20:15 UTC
Ward RobertDirector · CHIEF EXECUTIVE OFFICER
Exercise / conversionRestricted Stock Units · Derivative 35,599 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000399 · form4-03282019_040301.xml · derivative · entry 3

Ward Robert · CIK 0001595111 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,591

Underlying: Common Stock · 35,599 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · price: The restricted stock units were issued pursuant to the Issuer's 2013 Share Ownership and Option Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F6 · balance_after: The remaining restricted stock units will vest ratably each quarter through December 26, 2021 subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

Read SEC document
March 26, 2019 Filed Mar 28, 2019 20:15 UTC
Ward RobertDirector · CHIEF EXECUTIVE OFFICER
Tax withholdingCommon Stock 10,467 $11.50 $120,370.50
Disclosure

SEC source: 0001415889-19-000399 · form4-03282019_040301.xml · nonDerivative · entry 2

Ward Robert · CIK 0001595111 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,689

F3 · balance_after: Of this amount, 105,689 shares are held by the Robert E. Ward 2017 Revocable Trust of which Mr. Ward is a trustee.

Read SEC document
March 26, 2019 Filed Mar 28, 2019 20:15 UTC
Ward RobertDirector · CHIEF EXECUTIVE OFFICER
Exercise / conversionCommon Stock 35,599 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000399 · form4-03282019_040301.xml · nonDerivative · entry 1

Ward Robert · CIK 0001595111 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,156

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The restricted stock units issued to the reporting person on December 26, 2017 have partially vested and settled for shares of the Issuer's common stock.

F2 · balance_after: Of this amount, 116,156 shares are held by the Robert E. Ward 2017 Revocable Trust of which Mr. Ward is a trustee.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 01:25 UTC
Williams Gregory C.CHIEF OPERATING OFFICER
GrantRestricted Stock Units · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000117 · form4-01312019_050137.xml · derivative · entry 2

Williams Gregory C. · CIK 0001597293 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F4 · derivative.exercise_date: The restricted stock units will vest as follows: 25% after first anniversary and ratably each quarter over the next three years thereafter subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances. Vested shares will be delivered promptly after each vesting date.

F4 · derivative.expiration_date: The restricted stock units will vest as follows: 25% after first anniversary and ratably each quarter over the next three years thereafter subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances. Vested shares will be delivered promptly after each vesting date.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 01:25 UTC
Williams Gregory C.CHIEF OPERATING OFFICER
GrantStock Options · Derivative 100,000 $0.00 Strike: $11.53 $0.00
Disclosure

SEC source: 0001415889-19-000117 · form4-01312019_050137.xml · derivative · entry 1

Williams Gregory C. · CIK 0001597293 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-01-30

F2 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on January 30, 2020, and the remainder vests in twelve equal quarterly installments thereafter.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 00:56 UTC
Snow David P.CHIEF BUSINESS OFFICER
GrantRestricted Stock Units · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000114 · form4-01312019_040109.xml · derivative · entry 2

Snow David P. · CIK 0001652972 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F4 · derivative.exercise_date: The restricted stock units will vest as follows: 25% after first anniversary and ratably each quarter over the next three years thereafter subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances. Vested shares will be delivered promptly after each vesting date.

F4 · derivative.expiration_date: The restricted stock units will vest as follows: 25% after first anniversary and ratably each quarter over the next three years thereafter subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances. Vested shares will be delivered promptly after each vesting date.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 00:56 UTC
Snow David P.CHIEF BUSINESS OFFICER
GrantStock Options · Derivative 55,000 $0.00 Strike: $11.53 $0.00
Disclosure

SEC source: 0001415889-19-000114 · form4-01312019_040109.xml · derivative · entry 1

Snow David P. · CIK 0001652972 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2029-01-30

F2 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on January 30, 2020, and the remainder vests in twelve equal quarterly installments thereafter.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 00:54 UTC
Belloff Neil S.GENERAL COUNSEL/CORPORATE SECR
GrantRestricted Stock Units · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000113 · form4-01312019_040128.xml · derivative · entry 2

Belloff Neil S. · CIK 0001741670 · GENERAL COUNSEL/CORPORATE SECR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F4 · derivative.exercise_date: The restricted stock units will vest as follows: 25% after first anniversary and ratably each quarter over the next three years thereafter subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances. Vested shares will be delivered promptly after each vesting date.

F4 · derivative.expiration_date: The restricted stock units will vest as follows: 25% after first anniversary and ratably each quarter over the next three years thereafter subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances. Vested shares will be delivered promptly after each vesting date.

Read SEC document
January 30, 2019 Filed Feb 1, 2019 00:54 UTC
Belloff Neil S.GENERAL COUNSEL/CORPORATE SECR
GrantStock Options · Derivative 50,000 $0.00 Strike: $11.53 $0.00
Disclosure

SEC source: 0001415889-19-000113 · form4-01312019_040128.xml · derivative · entry 1

Belloff Neil S. · CIK 0001741670 · GENERAL COUNSEL/CORPORATE SECR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-01-30

F2 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on January 30, 2020, and the remainder vests in twelve equal quarterly installments thereafter.

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January 30, 2019 Filed Feb 1, 2019 00:49 UTC
WEAVER GREGORY LCHIEF FINANCIAL OFFICER
GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-19-000111 · form4-01312019_040123.xml · derivative · entry 2

WEAVER GREGORY L · CIK 0001251779 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F4 · derivative.exercise_date: The restricted stock units will vest as follows: 25% after first anniversary and ratably each quarter over the next three years thereafter subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances. Vested shares will be delivered promptly after each vesting date.

F4 · derivative.expiration_date: The restricted stock units will vest as follows: 25% after first anniversary and ratably each quarter over the next three years thereafter subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances. Vested shares will be delivered promptly after each vesting date.

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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.