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Nasdaq · USD

ELUT

ELUTIA INC.

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Tapewire entity
7342
SEC CIK
0001708527
Parsed reports
163

Last 12 months

Inside the activity.

16 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202550
Dec 202570
Jan 202640
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 10, 2025 Filed Mar 11, 2025 17:54 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-007697 · form4-03112025_090330.xml · derivative · entry 5

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Class A Common Stock · 12,500 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.

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

F5 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units, Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F5 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units, Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 17:54 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Tax withholdingClass A Common Stock 11,885 $3.00 $35,655.00
Disclosure

SEC source: 0001415889-25-007697 · form4-03112025_090330.xml · nonDerivative · entry 4

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 342,378

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

F4 · balance_after: Includes 5,760 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 17:54 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionClass A Common Stock 29,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-007697 · form4-03112025_090330.xml · nonDerivative · entry 3

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 354,263

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F4 · balance_after: Includes 5,760 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 17:54 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Tax withholdingClass A Common Stock 528 $2.77 $1,462.56
Disclosure

SEC source: 0001415889-25-007697 · form4-03112025_090330.xml · nonDerivative · entry 2

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,263

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

F4 · balance_after: Includes 5,760 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 21:47 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 27,083 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-007695 · form4-03112025_090340.xml · derivative · entry 3

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 352,083

Underlying: Class A Common Stock · 27,083 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.

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

F5 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 487,500 restricted stock units. Restricted stock units as to 162,500 shares vest in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $6.00, $10.00, $14.00 and $18.00 in each case determined based on twenty consecutive days of trading at or above the applicable threshold subject to the Reporting Person's continuous employment with the Issuer through the vesting date; provided, however, if the vesting date for any restricted stock units that vest on stock performance is not during one of the Company's open trading windows, the vesting shall be delayed until the first business day of the next open trading window.

F6 · derivative.exercise_date: Restricted stock units as to 325,000 shares vest as follows: 1/6 on June 10, 2024, and 1/12 quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F5 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 487,500 restricted stock units. Restricted stock units as to 162,500 shares vest in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $6.00, $10.00, $14.00 and $18.00 in each case determined based on twenty consecutive days of trading at or above the applicable threshold subject to the Reporting Person's continuous employment with the Issuer through the vesting date; provided, however, if the vesting date for any restricted stock units that vest on stock performance is not during one of the Company's open trading windows, the vesting shall be delayed until the first business day of the next open trading window.

F6 · derivative.expiration_date: Restricted stock units as to 325,000 shares vest as follows: 1/6 on June 10, 2024, and 1/12 quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 21:47 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Tax withholdingClass A Common Stock 10,706 $3.00 $32,118.00
Disclosure

SEC source: 0001415889-25-007695 · form4-03112025_090340.xml · nonDerivative · entry 2

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,293

F4 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

F3 · balance_after: Includes 5,618 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 21:47 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionClass A Common Stock 27,083 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-007695 · form4-03112025_090340.xml · nonDerivative · entry 1

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,999

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F3 · balance_after: Includes 5,618 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 17:15 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-007682 · form4-03112025_050301.xml · derivative · entry 3

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Class A Common Stock · 12,500 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.

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

F4 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units. Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F4 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units. Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 17:15 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Tax withholdingClass A Common Stock 4,613 $3.00 $13,839.00
Disclosure

SEC source: 0001415889-25-007682 · form4-03112025_050301.xml · nonDerivative · entry 2

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,286

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

Read SEC document
March 10, 2025 Filed Mar 11, 2025 17:15 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Exercise / conversionClass A Common Stock 12,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-007682 · form4-03112025_050301.xml · nonDerivative · entry 1

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,899

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
March 08, 2025 Filed Mar 11, 2025 17:54 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 1,287 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-007697 · form4-03112025_090330.xml · derivative · entry 7

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,287 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: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F7 · derivative.exercise_date: On March 8, 2021, the Reporting Person was granted 5,150 restricted stock units, vesting in four substantially equal annual installments beginning on March 8, 2022.

F7 · derivative.expiration_date: On March 8, 2021, the Reporting Person was granted 5,150 restricted stock units, vesting in four substantially equal annual installments beginning on March 8, 2022.

Read SEC document
March 08, 2025 Filed Mar 11, 2025 17:54 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionClass A Common Stock 1,287 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-007697 · form4-03112025_090330.xml · nonDerivative · entry 1

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 320,031

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

F1 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
February 03, 2025 Filed Mar 13, 2025 20:28 UTC
HighCape Capital, L.P.Director · 10% owner
Zuga MattDirector · 10% owner
RAKIN KEVINDirector · 10% owner
PurchaseClass A Common Stock 420,000 $2.50 $1,050,000.00
Disclosure

SEC source: 0001104659-25-023484 · tm259106-1_4seq1.xml · nonDerivative · entry 1

HighCape Capital, L.P. · CIK 0001826279 · Director · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

HighCape Partners GP II, L.P. · CIK 0001957359 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 9,520,232

F1 · ownership.nature: Includes: (i) 53,818 shares of Common Stock held of record by HighCape Partners, L.P.; (ii) 4,001,428 shares of Common Stock held of record by HighCape Partners QP, L.P.; (iii) 499,145 shares of Common Stock held of record by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Common Stock held of record by HighCape Co-Investment Vehicle II, LLC; (v) 48,931 shares of Common Stock held of record by HighCape Capital, L.P; (vi) 95,197 shares of Common Stock held of record by HighCape Partners II, L.P.; and (vii) 4,562,431 shares of Common Stock held of record by HighCape Partners QP II, L.P.

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which is the general partner ("GP") of HighCape Partners GP, L.P., which is the GP of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which is the GP of HighCape Capital, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Partners GP II, LLC, which is the GP of HighCape Partners GP II, L.P., which is the GP of each of HighCape Partners II, L.P. and HighCape Partners QP II, L.P. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC.

F3 · ownership.nature: Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P., HighCape Partners QP, L.P., HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC, and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P. In addition, each of Mr. Rakin, Mr. Zuga, HighCape Partners GP II, LLC and HighCape Partners GP II, L.P. may be deemed to beneficially own the securities held by HighCape Partners II, L.P. and HighCape Partners QP II, L.P. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

Read SEC document
February 03, 2025 Filed Mar 13, 2025 20:30 UTC
HighCape Capital, L.P.Director · 10% owner
PurchaseClass A Common Stock 420,000 $2.50 $1,050,000.00
Disclosure

SEC source: 0001104659-25-023488 · tm259106-2_4seq1.xml · nonDerivative · entry 1

HighCape Capital, L.P. · CIK 0001826279 · Director · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 9,520,232

F1 · ownership.nature: Includes: (i) 53,818 shares of Common Stock held of record by HighCape Partners, L.P.; (ii) 4,001,428 shares of Common Stock held of record by HighCape Partners QP, L.P.; (iii) 499,145 shares of Common Stock held of record by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Common Stock held of record by HighCape Co-Investment Vehicle II, LLC; (v) 48,931 shares of Common Stock held of record by HighCape Capital, L.P; (vi) 95,197 shares of Common Stock held of record by HighCape Partners II, L.P.; and (vii) 4,562,431 shares of Common Stock held of record by HighCape Partners QP II, L.P.

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which is the general partner ("GP") of HighCape Partners GP, L.P., which is the GP of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which is the GP of HighCape Capital, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Partners GP II, LLC, which is the GP of HighCape Partners GP II, L.P., which is the GP of each of HighCape Partners II, L.P. and HighCape Partners QP II, L.P. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC.

F3 · ownership.nature: Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P., HighCape Partners QP, L.P., HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC, and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P. In addition, each of Mr. Rakin, Mr. Zuga, HighCape Partners GP II, LLC and HighCape Partners GP II, L.P. may be deemed to beneficially own the securities held by HighCape Partners II, L.P. and HighCape Partners QP II, L.P. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 17:10 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-028994 · form4-12112024_051201.xml · derivative · entry 3

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Class A Common Stock · 12,500 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.

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

F4 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units. Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F4 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units. Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 17:10 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Tax withholdingClass A Common Stock 4,461 $4.29 $19,137.69
Disclosure

SEC source: 0001415889-24-028994 · form4-12112024_051201.xml · nonDerivative · entry 2

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,744

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 17:10 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionClass A Common Stock 12,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-028994 · form4-12112024_051201.xml · nonDerivative · entry 1

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 323,205

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 22:05 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 27,083 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-028991 · form4-12112024_051201.xml · derivative · entry 3

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,166

Underlying: Class A Common Stock · 27,083 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.

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

F4 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 487,500 restricted stock units. Restricted stock units as to 162,500 shares vest in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $6.00, $10.00, $14.00 and $18.00 in each case determined based on twenty consecutive days of trading at or above the applicable threshold subject to the Reporting Person's continuous employment with the Issuer through the vesting date; provided, however, if the vesting date for any restricted stock units that vest on stock performance is not during one of the Company's open trading windows, the vesting shall be delayed until the first business day of the next open trading window.

F5 · derivative.exercise_date: Restricted stock units as to 325,000 shares vest as follows: 1/6 on June 10, 2024, and 1/12 quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F4 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 487,500 restricted stock units. Restricted stock units as to 162,500 shares vest in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $6.00, $10.00, $14.00 and $18.00 in each case determined based on twenty consecutive days of trading at or above the applicable threshold subject to the Reporting Person's continuous employment with the Issuer through the vesting date; provided, however, if the vesting date for any restricted stock units that vest on stock performance is not during one of the Company's open trading windows, the vesting shall be delayed until the first business day of the next open trading window.

F5 · derivative.expiration_date: Restricted stock units as to 325,000 shares vest as follows: 1/6 on June 10, 2024, and 1/12 quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 22:05 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Tax withholdingClass A Common Stock 13,726 $4.29 $58,884.54
Disclosure

SEC source: 0001415889-24-028991 · form4-12112024_051201.xml · nonDerivative · entry 2

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,298

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 22:05 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionClass A Common Stock 27,083 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-028991 · form4-12112024_051201.xml · nonDerivative · entry 1

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 281,024

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-028988 · form4-12112024_051201.xml · derivative · entry 3

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Class A Common Stock · 12,500 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.

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

F4 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units. Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F4 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units. Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Tax withholdingClass A Common Stock 3,950 $4.29 $16,945.50
Disclosure

SEC source: 0001415889-24-028988 · form4-12112024_051201.xml · nonDerivative · entry 2

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,399

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

Read SEC document
December 10, 2024 Filed Dec 11, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Exercise / conversionClass A Common Stock 12,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-028988 · form4-12112024_051201.xml · nonDerivative · entry 1

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,349

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 17,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-023299 · form4-09122024_050901.xml · derivative · entry 4

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Class A Common Stock · 17,000 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.

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

F6 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 50,000 restricted stock units. Restricted stock units vest as to 34% on September 10, 2024, 33% on March 10, 2025 and 33% on September 10, 2025.

F6 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 50,000 restricted stock units. Restricted stock units vest as to 34% on September 10, 2024, 33% on March 10, 2025 and 33% on September 10, 2025.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-023299 · form4-09122024_050901.xml · derivative · entry 3

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Class A Common Stock · 12,500 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.

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

F5 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units, Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F5 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units, Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Tax withholdingClass A Common Stock 10,527 $4.14 $43,581.78
Disclosure

SEC source: 0001415889-24-023299 · form4-09122024_050901.xml · nonDerivative · entry 2

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,705

F4 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

F3 · balance_after: Includes 1,749 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionClass A Common Stock 29,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-023299 · form4-09122024_050901.xml · nonDerivative · entry 1

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 321,232

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F3 · balance_after: Includes 1,749 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 21:00 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 27,084 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-023300 · form4-09122024_050904.xml · derivative · entry 3

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 406,249

Underlying: Class A Common Stock · 27,084 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.

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

F5 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 487,500 restricted stock units. Restricted stock units as to 162,500 shares vest in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $6.00, $10.00, $14.00 and $18.00 in each case determined based on twenty consecutive days of trading at or above the applicable threshold subject to the Reporting Person's continuous employment with the Issuer through the vesting date; provided, however, if the vesting date for any restricted stock units that vest on stock performance is not during one of the Company's open trading windows, the vesting shall be delayed until the first business day of the next open trading window.

F6 · derivative.exercise_date: Restricted stock units as to 325,000 shares vest as follows: 1/6 on June 10, 2024, and 1/12 quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F5 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 487,500 restricted stock units. Restricted stock units as to 162,500 shares vest in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $6.00, $10.00, $14.00 and $18.00 in each case determined based on twenty consecutive days of trading at or above the applicable threshold subject to the Reporting Person's continuous employment with the Issuer through the vesting date; provided, however, if the vesting date for any restricted stock units that vest on stock performance is not during one of the Company's open trading windows, the vesting shall be delayed until the first business day of the next open trading window.

F6 · derivative.expiration_date: Restricted stock units as to 325,000 shares vest as follows: 1/6 on June 10, 2024, and 1/12 quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 21:00 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Tax withholdingClass A Common Stock 9,664 $4.14 $40,008.96
Disclosure

SEC source: 0001415889-24-023300 · form4-09122024_050904.xml · nonDerivative · entry 2

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,941

F4 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

F3 · balance_after: Includes 2,713 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 21:00 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionClass A Common Stock 27,084 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-023300 · form4-09122024_050904.xml · nonDerivative · entry 1

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 263,605

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

F3 · balance_after: Includes 2,713 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-023301 · form4-09122024_050906.xml · derivative · entry 3

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Class A Common Stock · 12,500 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.

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

F4 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units, Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

F4 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 150,000 restricted stock units, Restricted stock units as to 1/6 vest on June 10, 2024, and as to 1/12 vest quarterly on each of the following dates: September 10, 2024, December 10, 2024, March 10, 2025, June 10, 2025, September 10, 2025, December 10, 2025, March 10, 2026, June 10, 2026, September 10, 2026, and December 10, 2026.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Tax withholdingClass A Common Stock 3,951 $4.14 $16,357.14
Disclosure

SEC source: 0001415889-24-023301 · form4-09122024_050906.xml · nonDerivative · entry 2

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,849

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

Read SEC document
September 10, 2024 Filed Sep 12, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Exercise / conversionClass A Common Stock 12,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-023301 · form4-09122024_050906.xml · nonDerivative · entry 1

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,800

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-021194 · form4-08132024_050801.xml · derivative · entry 3

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 50,000 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.

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

F4 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 50,000 restricted stock units. The restricted stock units vested on the 10th business day following the clearance by the U.S. Food & Drug Administration ("FDA") of the Company's CanGarooRM antibiotic-eluting biologic envelope, unless such date is not during one of the Company's open trading windows, in which case such RSUs vested as of the first business day of the next open trading window. The CanGarooRM antibiotic-eluting biologic envelope, now known as EluPro, was cleared by the FDA on June 14, 2024 and the first business day of the next open trading window was August 12, 2024.

F4 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 50,000 restricted stock units. The restricted stock units vested on the 10th business day following the clearance by the U.S. Food & Drug Administration ("FDA") of the Company's CanGarooRM antibiotic-eluting biologic envelope, unless such date is not during one of the Company's open trading windows, in which case such RSUs vested as of the first business day of the next open trading window. The CanGarooRM antibiotic-eluting biologic envelope, now known as EluPro, was cleared by the FDA on June 14, 2024 and the first business day of the next open trading window was August 12, 2024.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Tax withholdingClass A Common Stock 17,840 $2.84 $50,665.60
Disclosure

SEC source: 0001415889-24-021194 · form4-08132024_050801.xml · nonDerivative · entry 2

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,983

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionClass A Common Stock 50,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-021194 · form4-08132024_050801.xml · nonDerivative · entry 1

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307,823

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 21:00 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 162,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-021197 · form4-08132024_050806.xml · derivative · entry 3

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 162,500 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.

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

F4 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 162,500 restricted stock units. The restricted stock units vested on the 10th business day following the clearance by the U.S. Food & Drug Administration ("FDA") of the Company's CanGarooRM antibiotic-eluting biologic envelope, unless such date is not during one of the Company's open trading windows, in which case such RSUs vested as of the first business day of the next open trading window. The CanGarooRM antibiotic-eluting biologic envelope, now known as EluPro, was cleared by the FDA on June 14, 2024 and the first business day of the next open trading window was August 12, 2024.

F4 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 162,500 restricted stock units. The restricted stock units vested on the 10th business day following the clearance by the U.S. Food & Drug Administration ("FDA") of the Company's CanGarooRM antibiotic-eluting biologic envelope, unless such date is not during one of the Company's open trading windows, in which case such RSUs vested as of the first business day of the next open trading window. The CanGarooRM antibiotic-eluting biologic envelope, now known as EluPro, was cleared by the FDA on June 14, 2024 and the first business day of the next open trading window was August 12, 2024.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 21:00 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Tax withholdingClass A Common Stock 58,659 $2.84 $166,591.56
Disclosure

SEC source: 0001415889-24-021197 · form4-08132024_050806.xml · nonDerivative · entry 2

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,808

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 21:00 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionClass A Common Stock 162,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-021197 · form4-08132024_050806.xml · nonDerivative · entry 1

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,467

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Exercise / conversionRestricted Stock Units · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-021196 · form4-08132024_050803.xml · derivative · entry 3

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 50,000 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.

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

F4 · derivative.exercise_date: On January 31, 2024, the Reporting Person was granted 50,000 restricted stock units. The restricted stock units vested on the 10th business day following the clearance by the U.S. Food & Drug Administration ("FDA") of the Company's CanGarooRM antibiotic-eluting biologic envelope, unless such date is not during one of the Company's open trading windows, in which case such RSUs vested as of the first business day of the next open trading window. The CanGarooRM antibiotic-eluting biologic envelope, now known as EluPro, was cleared by the FDA on June 14, 2024 and the first business day of the next open trading window was August 12, 2024.

F4 · derivative.expiration_date: On January 31, 2024, the Reporting Person was granted 50,000 restricted stock units. The restricted stock units vested on the 10th business day following the clearance by the U.S. Food & Drug Administration ("FDA") of the Company's CanGarooRM antibiotic-eluting biologic envelope, unless such date is not during one of the Company's open trading windows, in which case such RSUs vested as of the first business day of the next open trading window. The CanGarooRM antibiotic-eluting biologic envelope, now known as EluPro, was cleared by the FDA on June 14, 2024 and the first business day of the next open trading window was August 12, 2024.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Tax withholdingClass A Common Stock 15,800 $2.84 $44,872.00
Disclosure

SEC source: 0001415889-24-021196 · form4-08132024_050803.xml · nonDerivative · entry 2

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,300

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

Read SEC document
August 12, 2024 Filed Aug 13, 2024 17:00 UTC
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
Exercise / conversionClass A Common Stock 50,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-021196 · form4-08132024_050803.xml · nonDerivative · entry 1

Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,100

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Read SEC document
July 31, 2024 Filed Jul 31, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionWarrants (rights to buy) · Derivative 105,080 $0.00 Strike: $1.43 $0.00
Disclosure

SEC source: 0001415889-24-020441 · form4-07312024_050701.xml · derivative · entry 2

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 105,080 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.

F2 · derivative.expiration_date: The warrant expires upon the earlier of (a) 30 trading days after the clearance by the U.S. Food & Drug Administration of the issuer's CanGarooRM antibiotic-eluting biologic envelope or (b) September 21, 2028.

Read SEC document
July 31, 2024 Filed Jul 31, 2024 17:00 UTC
Ferguson MatthewCHIEF FINANCIAL OFFICER
Exercise / conversionClass A Common Stock 105,080 $1.43 $150,001.70
Disclosure

SEC source: 0001415889-24-020441 · form4-07312024_050701.xml · nonDerivative · entry 1

Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,823

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 · shares: Transaction represents shares of the Issuer's Class A Common Stock received from the exercise of the warrant dated September 21, 2023.

Read SEC document
July 30, 2024 Filed Aug 1, 2024 20:54 UTC
HighCape Capital, L.P.Director · 10% owner
Zuga MattDirector · 10% owner
RAKIN KEVINDirector · 10% owner
OtherWarrants (right to buy) · Derivative 2,101,577 $0.00 Strike: $1.43 $0.00
Disclosure

SEC source: 0001104659-24-084967 · tm2420609-2_4seq1.xml · derivative · entry 2

HighCape Capital, L.P. · CIK 0001826279 · Director · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners QP II, L.P. · CIK 0001770972 · 10% owner

HighCape Partners GP II, LLC · CIK 0001957360 · 10% owner

HighCape Partners GP II, L.P. · CIK 0001957359 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,101,577 shares

Expires not disclosed

F4 · derivative.expiration_date: The warrant has expired. The warrant provided for expiration upon the earlier of (a) 30 trading days after the clearance by the U.S. Food & Drug Administration of the issuer's CanGarooRM antibiotic-eluting biologic envelope (which has elapsed) or (b) September 21, 2028.

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which is the general partner ("GP") of HighCape Partners GP, L.P., which is the GP of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which is the GP of HighCape Capital, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Partners GP II, LLC, which is the GP of HighCape Partners GP II, L.P., which is the GP of each of HighCape Partners II, L.P. and HighCape Partners QP II, L.P. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC.

F3 · ownership.nature: Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P., HighCape Partners QP, L.P., HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC, and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P. In addition, each of Mr. Rakin, Mr. Zuga, HighCape Partners GP II, LLC and HighCape Partners GP II, L.P. may be deemed to beneficially own the securities held by HighCape Partners II, L.P. and HighCape Partners QP II, L.P. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

F5 · ownership.nature: Warrants for 2,058,623 shares of Common Stock were exercised by HighCape Partners QP II, L.P. and warrants for 42,954 shares of Common Stock were exercised by HighCape Partners II, L.P.

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July 30, 2024 Filed Aug 1, 2024 20:54 UTC
HighCape Capital, L.P.Director · 10% owner
Zuga MattDirector · 10% owner
RAKIN KEVINDirector · 10% owner
OtherClass A Common Stock 2,101,577 $1.43 $3,000,001.17
Disclosure

SEC source: 0001104659-24-084967 · tm2420609-2_4seq1.xml · nonDerivative · entry 1

HighCape Capital, L.P. · CIK 0001826279 · Director · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners QP II, L.P. · CIK 0001770972 · 10% owner

HighCape Partners GP II, LLC · CIK 0001957360 · 10% owner

HighCape Partners GP II, L.P. · CIK 0001957359 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 9,100,232

F1 · ownership.nature: Includes: (i) 53,818 shares of Common Stock held of record by HighCape Partners, L.P.; (ii) 4,001,428 shares of Common Stock held of record by HighCape Partners QP, L.P.; (iii) 499,145 shares of Common Stock held of record by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Common Stock held of record by HighCape Co-Investment Vehicle II, LLC; (v) 48,931 shares of Common Stock held of record by HighCape Capital, L.P; (vi) 86,613 shares of Common Stock held of record by HighCape Partners II, L.P.; and (vii) 4,151,015 shares of Common Stock held of record by HighCape Partners QP II, L.P.

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which is the general partner ("GP") of HighCape Partners GP, L.P., which is the GP of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which is the GP of HighCape Capital, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Partners GP II, LLC, which is the GP of HighCape Partners GP II, L.P., which is the GP of each of HighCape Partners II, L.P. and HighCape Partners QP II, L.P. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC.

F3 · ownership.nature: Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P., HighCape Partners QP, L.P., HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC, and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P. In addition, each of Mr. Rakin, Mr. Zuga, HighCape Partners GP II, LLC and HighCape Partners GP II, L.P. may be deemed to beneficially own the securities held by HighCape Partners II, L.P. and HighCape Partners QP II, L.P. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

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July 30, 2024 Filed Aug 1, 2024 20:53 UTC OtherWarrants (right to buy) · Derivative 2,101,577 $0.00 Strike: $1.43 $0.00
Disclosure

SEC source: 0001104659-24-084966 · tm2420609-1_4seq1.xml · derivative · entry 2

HighCape Capital, LLC · CIK 0001827500 · 10% owner

HighCape Partners II, L.P. · CIK 0001770952 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,101,577 shares

Expires not disclosed

F4 · derivative.expiration_date: The warrant has expired. The warrant provided for expiration upon the earlier of (a) 30 trading days after the clearance by the U.S. Food & Drug Administration of the issuer's CanGarooRM antibiotic-eluting biologic envelope (which has elapsed) or (b) September 21, 2028.

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which is the general partner ("GP") of HighCape Partners GP, L.P., which is the GP of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which is the GP of HighCape Capital, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Partners GP II, LLC, which is the GP of HighCape Partners GP II, L.P., which is the GP of each of HighCape Partners II, L.P. and HighCape Partners QP II, L.P. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC.

F3 · ownership.nature: Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P., HighCape Partners QP, L.P., HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC, and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P. In addition, each of Mr. Rakin, Mr. Zuga, HighCape Partners GP II, LLC and HighCape Partners GP II, L.P. may be deemed to beneficially own the securities held by HighCape Partners II, L.P. and HighCape Partners QP II, L.P. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

F5 · ownership.nature: Warrants for 2,058,623 shares of Common Stock were exercised by HighCape Partners QP II, L.P. and warrants for 42,954 shares of Common Stock were exercised by HighCape Partners II, L.P.

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July 30, 2024 Filed Aug 1, 2024 20:53 UTC OtherClass A Common Stock 2,101,577 $1.43 $3,000,001.17
Disclosure

SEC source: 0001104659-24-084966 · tm2420609-1_4seq1.xml · nonDerivative · entry 1

HighCape Capital, LLC · CIK 0001827500 · 10% owner

HighCape Partners II, L.P. · CIK 0001770952 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 9,100,232

F1 · ownership.nature: Includes: (i) 53,818 shares of Common Stock held of record by HighCape Partners, L.P.; (ii) 4,001,428 shares of Common Stock held of record by HighCape Partners QP, L.P.; (iii) 499,145 shares of Common Stock held of record by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Common Stock held of record by HighCape Co-Investment Vehicle II, LLC; (v) 48,931 shares of Common Stock held of record by HighCape Capital, L.P; (vi) 86,613 shares of Common Stock held of record by HighCape Partners II, L.P.; and (vii) 4,151,015 shares of Common Stock held of record by HighCape Partners QP II, L.P.

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which is the general partner ("GP") of HighCape Partners GP, L.P., which is the GP of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which is the GP of HighCape Capital, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Partners GP II, LLC, which is the GP of HighCape Partners GP II, L.P., which is the GP of each of HighCape Partners II, L.P. and HighCape Partners QP II, L.P. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC.

F3 · ownership.nature: Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P., HighCape Partners QP, L.P., HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC, and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P. In addition, each of Mr. Rakin, Mr. Zuga, HighCape Partners GP II, LLC and HighCape Partners GP II, L.P. may be deemed to beneficially own the securities held by HighCape Partners II, L.P. and HighCape Partners QP II, L.P. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

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June 21, 2024 Filed Jun 25, 2024 12:30 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 22,473 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-018085 · form4-06252024_080604.xml · derivative · entry 3

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,946

Underlying: Class A Common Stock · 22,473 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.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer Class A Common Stock.

F4 · derivative.exercise_date: On June 21, 2022, the Reporting Person was granted 89,893 restricted stock units, vesting in four substantially equal annual installments beginning in June 21, 2023.

F4 · derivative.expiration_date: On June 21, 2022, the Reporting Person was granted 89,893 restricted stock units, vesting in four substantially equal annual installments beginning in June 21, 2023.

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June 21, 2024 Filed Jun 25, 2024 12:30 UTC
Mills C RandalDirector · PRESIDENT AND CEO
Tax withholdingClass A Common Stock 8,019 $3.50 $28,066.50
Disclosure

SEC source: 0001415889-24-018085 · form4-06252024_080604.xml · nonDerivative · entry 2

Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,967

F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units.

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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.