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
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 5 | 0 |
| Dec 2025 | 7 | 0 |
| Jan 2026 | 4 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 21, 2024 Filed Jun 25, 2024 12:30 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Exercise / conversionClass A Common Stock | 22,473 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-018085 · form4-06252024_080604.xml · nonDerivative · entry 1 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,986 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 Issuer Class A Common Stock. Read SEC document |
| June 10, 2024 Filed Jun 12, 2024 16:45 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-016513 · form4-06122024_040608.xml · derivative · entry 3 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,000 Underlying: Class A Common Stock · 25,000 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. 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 |
| June 10, 2024 Filed Jun 12, 2024 16:45 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
Tax withholdingClass A Common Stock | 8,920 | $3.47 | $30,952.40 |
DisclosureSEC source: 0001415889-24-016513 · form4-06122024_040608.xml · nonDerivative · entry 2 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 152,743 F4 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units. F3 · balance_after: Includes 15,384 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan. Read SEC document |
| June 10, 2024 Filed Jun 12, 2024 16:45 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
Exercise / conversionClass A Common Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-016513 · form4-06122024_040608.xml · nonDerivative · entry 1 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 161,663 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 15,384 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan. Read SEC document |
| June 10, 2024 Filed Jun 12, 2024 20:45 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 54,167 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-016512 · form4-06122024_040601.xml · derivative · entry 3 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 433,333 Underlying: Class A Common Stock · 54,167 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. 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 |
| June 10, 2024 Filed Jun 12, 2024 20:45 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Tax withholdingClass A Common Stock | 19,327 | $3.47 | $67,064.69 |
DisclosureSEC source: 0001415889-24-016512 · form4-06122024_040601.xml · nonDerivative · entry 2 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,513 F4 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units. F3 · balance_after: Includes 12,928 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan. Read SEC document |
| June 10, 2024 Filed Jun 12, 2024 20:45 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Exercise / conversionClass A Common Stock | 54,167 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-016512 · form4-06122024_040601.xml · nonDerivative · entry 1 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,840 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 Issuer Class A Common Stock. F3 · balance_after: Includes 12,928 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan. Read SEC document |
| June 10, 2024 Filed Jun 12, 2024 16:45 UTC |
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
|
Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-016514 · form4-06122024_040610.xml · derivative · entry 3 Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,000 Underlying: Class A Common Stock · 25,000 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 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 |
| June 10, 2024 Filed Jun 12, 2024 16:45 UTC |
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
|
Tax withholdingClass A Common Stock | 7,900 | $3.47 | $27,413.00 |
DisclosureSEC source: 0001415889-24-016514 · form4-06122024_040610.xml · nonDerivative · entry 2 Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,100 F3 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units. Read SEC document |
| June 10, 2024 Filed Jun 12, 2024 16:45 UTC |
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
|
Exercise / conversionClass A Common Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-24-016514 · form4-06122024_040610.xml · nonDerivative · entry 1 Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 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 |
| June 06, 2024 Filed Jun 10, 2024 21:00 UTC |
Colpman DavidDirector
|
GrantStock Option (Right to Buy) · Derivative | 31,835 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001415889-24-016248 · form4-06102024_050606.xml · derivative · entry 1 Colpman David · CIK 0001818776 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,835 Underlying: Class A Common Stock · 31,835 shares Expires 2034-06-05 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's Non-Employee Director Compensation Program and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to the Reporting Person's continuing in service on the Issuer's board of directors through the applicable vesting date. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:00 UTC |
RAKIN KEVINDirector · 10% owner
|
GrantStock Option (Right to Buy) · Derivative | 47,753 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001415889-24-016250 · form4-06102024_050614.xml · derivative · entry 1 RAKIN KEVIN · CIK 0001184421 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,753 Underlying: Class A Common Stock · 47,753 shares Expires 2034-06-05 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's Non-Employee Director Compensation Program and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to the Reporting Person's continuing in service on the Issuer's board of directors through the applicable vesting date. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:00 UTC |
Makes BrigidDirector
|
GrantStock Option (Right to Buy) · Derivative | 31,835 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001415889-24-016246 · form4-06102024_050601.xml · derivative · entry 1 Makes Brigid · CIK 0001375927 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,835 Underlying: Class A Common Stock · 31,835 shares Expires 2034-06-05 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's Non-Employee Director Compensation Program and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to the Reporting Person's continuing in service on the Issuer's board of directors through the applicable vesting date. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:00 UTC |
Jordan MaybelleDirector
|
GrantStock Option (Right to Buy) · Derivative | 31,835 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001415889-24-016247 · form4-06102024_050604.xml · derivative · entry 1 Jordan Maybelle · CIK 0001826123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,835 Underlying: Class A Common Stock · 31,835 shares Expires 2034-06-05 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's Non-Employee Director Compensation Program and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to the Reporting Person's continuing in service on the Issuer's board of directors through the applicable vesting date. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:00 UTC |
Zuga MattDirector · 10% owner
|
GrantStock Option (Right to Buy) · Derivative | 31,835 | $0.00 Strike: $3.40 | $0.00 |
DisclosureSEC source: 0001415889-24-016249 · form4-06102024_050612.xml · derivative · entry 1 Zuga Matt · CIK 0001790214 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,835 Underlying: Class A Common Stock · 31,835 shares Expires 2034-06-05 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's Non-Employee Director Compensation Program and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to the Reporting Person's continuing in service on the Issuer's board of directors through the applicable vesting date. Read SEC document |
| March 08, 2024 Filed Mar 14, 2024 16:43 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
Exercise / conversionRestricted Stock Units · Derivative | 1,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-007995 · form4-03142024_080330.xml · derivative · entry 3 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,287 Underlying: Class A Common Stock · 1,288 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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units. F3 · 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. F3 · 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, 2024 Filed Mar 14, 2024 16:43 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
Tax withholdingClass A Common Stock | 528 | $3.24 | $1,710.72 |
DisclosureSEC source: 0001415889-24-007995 · form4-03142024_080330.xml · nonDerivative · entry 2 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,279 F2 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units. Read SEC document |
| March 08, 2024 Filed Mar 14, 2024 16:43 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
Exercise / conversionClass A Common Stock | 1,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-007995 · form4-03142024_080330.xml · nonDerivative · entry 1 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 121,807 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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 16:35 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
GrantRestricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-002305 · form4-02022024_090206.xml · derivative · entry 3 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,000 Underlying: Class A Common Stock · 50,000 shares Expires not disclosed 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: The restricted stock units vest as to 34% on September 10, 2024, 33% on March 10, 2025 and 33% on September 10, 2025. F4 · derivative.expiration_date: The 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 |
| January 31, 2024 Filed Feb 2, 2024 16:35 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
GrantRestricted Stock Units · Derivative | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-002305 · form4-02022024_090206.xml · derivative · entry 2 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,000 Underlying: Class A Common Stock · 150,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer Class A Common Stock. F3 · derivative.exercise_date: The restricted stock units vest as to 1/6 on June 10, 2024, and vest as to 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. F3 · derivative.expiration_date: The restricted stock units vest as to 1/6 on June 10, 2024, and vest as to 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 |
| January 31, 2024 Filed Feb 2, 2024 16:35 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001415889-24-002305 · form4-02022024_090206.xml · derivative · entry 1 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,000 Underlying: Class A Common Stock · 150,000 shares Expires 2034-01-31 F1 · derivative.exercise_date: The option vests monthly over three years beginning one month after grant date such that the option shall be fully vested and exercisable on January 31, 2027. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 21:38 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
GrantRestricted Stock Units · Derivative | 487,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-002313 · form4-02022024_090259.xml · derivative · entry 6 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 487,500 Underlying: Class A Common Stock · 487,500 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer Class A Common Stock. F5 · derivative.exercise_date: The restricted stock units vest as to 162,500 shares 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 . The restricted stock units vest as to 325,000 shares 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: The restricted stock units vest as to 162,500 shares 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 . The restricted stock units vest as to 325,000 shares 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 |
| January 31, 2024 Filed Feb 2, 2024 21:38 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
GrantStock Option (Right to Buy) · Derivative | 487,500 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001415889-24-002313 · form4-02022024_090259.xml · derivative · entry 5 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 487,500 Underlying: Class A Common Stock · 487,500 shares Expires 2034-01-31 F4 · derivative.exercise_date: The option vests as to 162,500 shares 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. The option vests as to 325,000 shares over three years, with the options vesting monthly beginning one month after the grant date. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 21:38 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Disposition to issuerStock Option (Right to Buy) · Derivative | 182,511 | $0.00 Strike: $6.39 | $0.00 |
DisclosureSEC source: 0001415889-24-002313 · form4-02022024_090259.xml · derivative · entry 4 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 · 182,511 shares Expires 2032-06-20 F3 · derivative.exercise_date: These transactions involved an amendment to an outstanding option, resulting in the cancellation of the "old" option and the grant of a replacement option. The option originally vested in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $12.50, $17.00, $25.00 and $37.00 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. The replacement option vests 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. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 21:38 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Disposition to issuerRestricted Stock Units · Derivative | 89,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-002313 · form4-02022024_090259.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 · 89,894 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer Class A Common Stock. F2 · derivative.exercise_date: These transactions involved an amendment to outstanding restricted stock units, resulting in the cancellation of the "old" restricted stock units and the grant of a replacement restricted stock units. The restricted stock units originally vested in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $12.50, $17.00, $25.00 and $37.00 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. The replacement restricted stock units 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. F2 · derivative.expiration_date: These transactions involved an amendment to outstanding restricted stock units, resulting in the cancellation of the "old" restricted stock units and the grant of a replacement restricted stock units. The restricted stock units originally vested in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $12.50, $17.00, $25.00 and $37.00 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. The replacement restricted stock units 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. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 21:38 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
GrantStock Option (Right to Buy) · Derivative | 182,511 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001415889-24-002313 · form4-02022024_090259.xml · derivative · entry 2 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 182,511 Underlying: Class A Common Stock · 182,511 shares Expires 2032-06-20 F3 · derivative.exercise_date: These transactions involved an amendment to an outstanding option, resulting in the cancellation of the "old" option and the grant of a replacement option. The option originally vested in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $12.50, $17.00, $25.00 and $37.00 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. The replacement option vests 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. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 21:38 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
GrantRestricted Stock Units · Derivative | 89,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-002313 · form4-02022024_090259.xml · derivative · entry 1 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,894 Underlying: Class A Common Stock · 89,894 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer Class A Common Stock. F2 · derivative.exercise_date: These transactions involved an amendment to outstanding restricted stock units, resulting in the cancellation of the "old" restricted stock units and the grant of a replacement restricted stock units. The restricted stock units originally vested in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $12.50, $17.00, $25.00 and $37.00 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. The replacement restricted stock units 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. F2 · derivative.expiration_date: These transactions involved an amendment to outstanding restricted stock units, resulting in the cancellation of the "old" restricted stock units and the grant of a replacement restricted stock units. The restricted stock units originally vested in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $12.50, $17.00, $25.00 and $37.00 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. The replacement restricted stock units 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. Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 16:32 UTC |
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
|
GrantRestricted Stock Units · Derivative | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-002301 · form4-02022024_090229.xml · derivative · entry 2 Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,000 Underlying: Class A Common Stock · 150,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer Class A Common Stock. F3 · derivative.exercise_date: The restricted stock units vest as to 1/6 on June 10, 2024, and vest as to 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. F3 · derivative.expiration_date: The restricted stock units vest as to 1/6 on June 10, 2024, and vest as to 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 |
| January 31, 2024 Filed Feb 2, 2024 16:32 UTC |
Williams Michelle LeRouxCHIEF SCIENTIFIC OFFICER
|
GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $3.61 | $0.00 |
DisclosureSEC source: 0001415889-24-002301 · form4-02022024_090229.xml · derivative · entry 1 Williams Michelle LeRoux · CIK 0001398249 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,000 Underlying: Class A Common Stock · 150,000 shares Expires 2034-01-31 F1 · derivative.exercise_date: The option vests monthly over three years beginning one month after grant date such that the option shall be fully vested and exercisable on January 31, 2027. Read SEC document |
| December 28, 2023 Filed Jan 8, 2024 21:09 UTC |
HighCape Capital, L.P.Director · 10% owner
Zuga MattDirector · 10% owner
RAKIN KEVINDirector · 10% owner
HighCape Partners GP, LLC10% owner
HighCape Partners GP, L.P.10% owner
HIGHCAPE PARTNERS, L.P.10% owner
HIGHCAPE PARTNERS QP, L.P.10% owner
HighCape Partners QP II, L.P.10% owner
HighCape Partners GP II, LLC10% owner
HighCape Partners GP II, L.P.10% owner
|
OtherWarrants (right to buy) · Derivative | 2,154,116 | Not disclosed Strike: $1.43 | Not disclosed |
DisclosureSEC source: 0001104659-24-002239 · tm242311-2_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: 2,101,577 Underlying: Class A Common Stock · 2,154,116 shares Expires not disclosed F7 · kind: This Form 4 relates to the pro rata distribution by Elutia PIPE Investment LP of its shares of Class A Common Stock and Warrants to its partners, without payment of consideration by such partners. F1 · price: The reported securities are included within 1,436,077 Units originally purchased by Elutia PIPE Investment LP for $1.4275 per Unit. Each Unit consists of one share of Class A Common Stock (the "Common Stock") and one warrant to purchase one and one-half shares of Common Stock. The shares of Common Stock and Warrants reported as transferred in this Form 4 are being distributed to Elutia PIPE Investment LP's partners without payment of consideration by them. F5 · 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. F6 · ownership.nature: Includes (i) 2,058,623 shares of Common Stock issuable upon exercise of a warrant held by HighCape Partners QP II, L.P.; and (ii) 42,954 shares of Common Stock issuable upon exercise of a warrant held by HighCape Partners II, L.P. Read SEC document |
| December 28, 2023 Filed Jan 8, 2024 21:09 UTC |
HighCape Capital, L.P.Director · 10% owner
Zuga MattDirector · 10% owner
RAKIN KEVINDirector · 10% owner
HighCape Partners GP, LLC10% owner
HighCape Partners GP, L.P.10% owner
HIGHCAPE PARTNERS, L.P.10% owner
HIGHCAPE PARTNERS QP, L.P.10% owner
HighCape Partners QP II, L.P.10% owner
HighCape Partners GP II, LLC10% owner
HighCape Partners GP II, L.P.10% owner
|
OtherClass A Common Stock | 1,436,077 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-002239 · tm242311-2_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: 6,998,655 F7 · kind: This Form 4 relates to the pro rata distribution by Elutia PIPE Investment LP of its shares of Class A Common Stock and Warrants to its partners, without payment of consideration by such partners. F1 · price: The reported securities are included within 1,436,077 Units originally purchased by Elutia PIPE Investment LP for $1.4275 per Unit. Each Unit consists of one share of Class A Common Stock (the "Common Stock") and one warrant to purchase one and one-half shares of Common Stock. The shares of Common Stock and Warrants reported as transferred in this Form 4 are being distributed to Elutia PIPE Investment LP's partners without payment of consideration by them. F2 · 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) 43,659 shares of Common Stock held of record by HighCape Partners II, L.P.; and (vii) 2,092,392 shares of Common Stock held of record by HighCape Partners QP II, L.P. F3 · 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., HighCape Partners QP II, L.P. and Elutia PIPE Investment, LP. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC. F4 · 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., HighCape Partners QP II, L.P. and Elutia PIPE Investment, LP. 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 28, 2023 Filed Jan 8, 2024 21:12 UTC |
HighCape Capital, LLC10% owner
HighCape Partners II, L.P.10% owner
|
OtherWarrants (right to buy) · Derivative | 2,154,116 | Not disclosed Strike: $1.43 | Not disclosed |
DisclosureSEC source: 0001104659-24-002243 · tm242311-1_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: 2,101,577 Underlying: Class A Common Stock · 2,154,116 shares Expires not disclosed F7 · kind: This Form 4 relates to the pro rata distribution by Elutia PIPE Investment LP of its shares of Class A Common Stock and Warrants to its partners, without payment of consideration by such partners. F1 · price: The reported securities are included within 1,436,077 Units originally purchased by Elutia PIPE Investment LP for $1.4275 per Unit. Each Unit consists of one share of Class A Common Stock (the "Common Stock") and one warrant to purchase one and one-half shares of Common Stock. The shares of Common Stock and Warrants reported as transferred in this Form 4 are being distributed to Elutia PIPE Investment LP's partners without payment of consideration by them. F5 · 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. F6 · ownership.nature: Includes (i) 2,058,623 shares of Common Stock issuable upon exercise of a warrant held by HighCape Partners QP II, L.P.; and (ii) 42,954 shares of Common Stock issuable upon exercise of a warrant held by HighCape Partners II, L.P. Read SEC document |
| December 28, 2023 Filed Jan 8, 2024 21:12 UTC |
HighCape Capital, LLC10% owner
HighCape Partners II, L.P.10% owner
|
OtherClass A Common Stock | 1,436,077 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-002243 · tm242311-1_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: 6,998,655 F7 · kind: This Form 4 relates to the pro rata distribution by Elutia PIPE Investment LP of its shares of Class A Common Stock and Warrants to its partners, without payment of consideration by such partners. F1 · price: The reported securities are included within 1,436,077 Units originally purchased by Elutia PIPE Investment LP for $1.4275 per Unit. Each Unit consists of one share of Class A Common Stock (the "Common Stock") and one warrant to purchase one and one-half shares of Common Stock. The shares of Common Stock and Warrants reported as transferred in this Form 4 are being distributed to Elutia PIPE Investment LP's partners without payment of consideration by them. F2 · 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) 43,659 shares of Common Stock held of record by HighCape Partners II, L.P.; and (vii) 2,092,392 shares of Common Stock held of record by HighCape Partners QP II, L.P. F3 · 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., HighCape Partners QP II, L.P. and Elutia PIPE Investment, LP. In addition, HighCape Partners GP, L.P. manages each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC. F4 · 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., HighCape Partners QP II, L.P. and Elutia PIPE Investment, LP. 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 |
| September 21, 2023 Filed Sep 21, 2023 16:50 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
GrantWarrants (rights to buy) · Derivative | 105,080 | Not disclosed Strike: $1.43 | Not disclosed |
DisclosureSEC source: 0001415889-23-013473 · form4-09212023_080929.xml · derivative · entry 2 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 105,080 Underlying: Class A Common Stock · 105,080 shares Expires not disclosed F1 · price: The reported securities are included within the 70,053 Units purchased by the reporting person for $1.4275 per Unit. Each Unit consists of one share of Class A Common Stock and one warrant to purchase one and one-half shares of Class A Common Stock. F3 · 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 |
| September 21, 2023 Filed Sep 21, 2023 16:50 UTC |
Ferguson MatthewCHIEF FINANCIAL OFFICER
|
GrantClass A Common Stock | 70,053 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-013473 · form4-09212023_080929.xml · nonDerivative · entry 1 Ferguson Matthew · CIK 0001304079 · CHIEF FINANCIAL OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 120,519 F1 · price: The reported securities are included within the 70,053 Units purchased by the reporting person for $1.4275 per Unit. Each Unit consists of one share of Class A Common Stock and one warrant to purchase one and one-half shares of Class A Common Stock. F2 · balance_after: Includes 901 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 15:30 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 22,474 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-010225 · form4-06232023_030647.xml · derivative · entry 3 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,419 Underlying: Class A Common Stock · 22,474 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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units. F3 · 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. F3 · 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. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 15:30 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Tax withholdingClass A Common Stock | 7,772 | $2.41 | $18,730.52 |
DisclosureSEC source: 0001415889-23-010225 · form4-06232023_030647.xml · nonDerivative · entry 2 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,710 F2 · shares: Shares withheld by the Issuer to satisfy tax withholding requirements on vesting of restricted stock units. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 15:30 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
|
Exercise / conversionClass A Common Stock | 22,474 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-010225 · form4-06232023_030647.xml · nonDerivative · entry 1 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,482 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: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. Transaction represents shares of the Issuer's Class A Common Stock received from the vesting of restricted stock units. Read SEC document |
| June 08, 2023 Filed Jun 12, 2023 15:30 UTC |
Colpman DavidDirector
|
GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.37 | $0.00 |
DisclosureSEC source: 0001415889-23-009583 · form4-06122023_030659.xml · derivative · entry 1 Colpman David · CIK 0001818776 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Class A Common Stock · 25,000 shares Expires 2033-06-07 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's First Amended and Restated Non-Employee Director Compensation Policy and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to the Reporting Person's continuing in service on the Issuer's board of directors through the applicable vesting date. Read SEC document |
| June 08, 2023 Filed Jun 12, 2023 19:32 UTC |
HighCape Capital, L.P.Director · 10% owner
HIGHCAPE PARTNERS, L.P.Director · 10% owner
HIGHCAPE PARTNERS QP, L.P.Director · 10% owner
HighCape Partners GP, LLCDirector · 10% owner
HighCape Partners GP, L.P.Director · 10% owner
HighCape Co-Investment Vehicle I, LLCDirector · 10% owner
HighCape Co-Investment Vehicle II, LLCDirector · 10% owner
HighCape Capital, LLCDirector · 10% owner
Zuga MattDirector · 10% owner
RAKIN KEVINDirector · 10% owner
|
GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.37 | $0.00 |
DisclosureSEC source: 0001104659-23-070300 · tm2318353-1_4seq1.xml · derivative · entry 2 HighCape Capital, L.P. · CIK 0001826279 · Director · 10% owner HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · Director · 10% owner HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · Director · 10% owner HighCape Partners GP, LLC · CIK 0001819933 · Director · 10% owner HighCape Partners GP, L.P. · CIK 0001819932 · Director · 10% owner HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · Director · 10% owner HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · Director · 10% owner HighCape Capital, LLC · CIK 0001827500 · Director · 10% owner Zuga Matt · CIK 0001790214 · Director · 10% owner RAKIN KEVIN · CIK 0001184421 · Director · 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: 25,000 Underlying: Class A Common Stock · 25,000 shares Expires 2033-06-07 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's First Amended and Restated Non-Employee Director Compensation Policy and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to Messrs. Rakin's and Zuga's, as applicable, continuing in service on the Issuer's board of directors through the applicable vesting date. F3 · ownership.nature: Held by W. Matthew Zuga as non-employee member of the Issuer's board of directors. Read SEC document |
| June 08, 2023 Filed Jun 12, 2023 19:32 UTC |
HighCape Capital, L.P.Director · 10% owner
HIGHCAPE PARTNERS, L.P.Director · 10% owner
HIGHCAPE PARTNERS QP, L.P.Director · 10% owner
HighCape Partners GP, LLCDirector · 10% owner
HighCape Partners GP, L.P.Director · 10% owner
HighCape Co-Investment Vehicle I, LLCDirector · 10% owner
HighCape Co-Investment Vehicle II, LLCDirector · 10% owner
HighCape Capital, LLCDirector · 10% owner
Zuga MattDirector · 10% owner
RAKIN KEVINDirector · 10% owner
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GrantStock Option (Right to Buy) · Derivative | 37,500 | $0.00 Strike: $2.37 | $0.00 |
DisclosureSEC source: 0001104659-23-070300 · tm2318353-1_4seq1.xml · derivative · entry 1 HighCape Capital, L.P. · CIK 0001826279 · Director · 10% owner HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · Director · 10% owner HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · Director · 10% owner HighCape Partners GP, LLC · CIK 0001819933 · Director · 10% owner HighCape Partners GP, L.P. · CIK 0001819932 · Director · 10% owner HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · Director · 10% owner HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · Director · 10% owner HighCape Capital, LLC · CIK 0001827500 · Director · 10% owner Zuga Matt · CIK 0001790214 · Director · 10% owner RAKIN KEVIN · CIK 0001184421 · Director · 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: 37,500 Underlying: Class A Common Stock · 37,500 shares Expires 2033-06-07 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's First Amended and Restated Non-Employee Director Compensation Policy and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to Messrs. Rakin's and Zuga's, as applicable, continuing in service on the Issuer's board of directors through the applicable vesting date. F2 · ownership.nature: Held by Kevin L. Rakin as non-employee member of the Issuer's board of directors. Read SEC document |
| June 08, 2023 Filed Jun 12, 2023 15:31 UTC |
Makes BrigidDirector
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GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.37 | $0.00 |
DisclosureSEC source: 0001415889-23-009586 · form4-06122023_030652.xml · derivative · entry 1 Makes Brigid · CIK 0001375927 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Class A Common Stock · 25,000 shares Expires 2033-06-07 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's First Amended and Restated Non-Employee Director Compensation Policy and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to the Reporting Person's continuing in service on the Issuer's board of directors through the applicable vesting date. Read SEC document |
| June 08, 2023 Filed Jun 12, 2023 15:27 UTC |
Jordan MaybelleDirector
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GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.37 | $0.00 |
DisclosureSEC source: 0001415889-23-009578 · form4-06122023_030619.xml · derivative · entry 1 Jordan Maybelle · CIK 0001826123 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Class A Common Stock · 25,000 shares Expires 2033-06-07 F1 · derivative.exercise_date: This option was granted automatically under the Issuer's First Amended and Restated Non-Employee Director Compensation Policy and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to the Reporting Person's continuing in service on the Issuer's board of directors through the applicable vesting date. Read SEC document |
| April 27, 2023 Filed Apr 28, 2023 21:31 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
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GrantRestricted Stock Units · Derivative | 89,894 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-007019 · form4-04282023_090453.xml · derivative · entry 4 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,894 Underlying: Class A Common Stock · 89,894 shares Expires not disclosed 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: The restricted stock units vest in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $12.50, $17.00, $25.00 and $37.00 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. F4 · derivative.expiration_date: The restricted stock units vest in four equal installments upon the Issuer's achievement of a per share price equal to or greater than $12.50, $17.00, $25.00 and $37.00 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. Read SEC document |
| April 27, 2023 Filed Apr 28, 2023 21:31 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
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Exercise / conversionRestricted Stock Units · Derivative | 44,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-007019 · form4-04282023_090453.xml · derivative · entry 3 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,893 Underlying: Class A Common Stock · 44,947 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. F3 · derivative.exercise_date: One-third of the shares underlying these restricted stock units are immediately vested. The remaining two-thirds of the underlying shares vest in four equal annual installments on June 21, 2023, June 21, 2024, June 21, 2025 and June 21, 2026. F3 · derivative.expiration_date: One-third of the shares underlying these restricted stock units are immediately vested. The remaining two-thirds of the underlying shares vest in four equal annual installments on June 21, 2023, June 21, 2024, June 21, 2025 and June 21, 2026. Read SEC document |
| April 27, 2023 Filed Apr 28, 2023 21:31 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
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GrantRestricted Stock Units · Derivative | 134,840 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-007019 · form4-04282023_090453.xml · derivative · entry 2 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,840 Underlying: Class A Common Stock · 134,840 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer Class A Common Stock. F3 · derivative.exercise_date: One-third of the shares underlying these restricted stock units are immediately vested. The remaining two-thirds of the underlying shares vest in four equal annual installments on June 21, 2023, June 21, 2024, June 21, 2025 and June 21, 2026. F3 · derivative.expiration_date: One-third of the shares underlying these restricted stock units are immediately vested. The remaining two-thirds of the underlying shares vest in four equal annual installments on June 21, 2023, June 21, 2024, June 21, 2025 and June 21, 2026. Read SEC document |
| April 27, 2023 Filed Apr 28, 2023 21:31 UTC |
Mills C RandalDirector · PRESIDENT AND CEO
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Exercise / conversionClass A Common Stock | 44,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-007019 · form4-04282023_090453.xml · nonDerivative · entry 1 Mills C Randal · CIK 0001370939 · Director · PRESIDENT AND CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,008 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 3,061 shares of Class A Common Stock acquired under the Company's 2020 Employee Stock Purchase Plan. Read SEC document |
| March 27, 2023 Filed Mar 27, 2023 20:17 UTC |
Birchview Capital, LP10% owner
Birchview Fund LLC10% owner
Strobeck Matthew10% owner
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PurchaseClass A Common Stock | 10,000 | $1.59 | $15,870.00 |
DisclosureSEC source: 0001104659-23-037129 · tm2310663-1_4seq1.xml · nonDerivative · entry 5 Birchview Capital, LP · CIK 0001618205 · 10% owner Birchview Fund LLC · CIK 0001603544 · 10% owner Strobeck Matthew · CIK 0001377832 · 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: 1,655,184 F1 · ownership.nature: Matthew Strobeck is the Managing Member of Birchview Capital GP, LLC, who is the General Partner of Birchview Capital, LP. Matthew Strobeck is the Managing Member of Birchview Partners LLC, who is the Manager of Birchview Fund, LLC ("the Fund"). Birchview Capital, LP is the investment manager of the Fund. F4 · ownership.nature: As specified in Table I, Birchview Capital, LP advises the acquired shares in a different SMA other than the one noted above. Read SEC document |
| March 27, 2023 Filed Feb 20, 2024 17:27 UTC Amendment |
Birchview Capital, LP10% owner in previous filing
Birchview Fund LLC10% owner in previous filing
Strobeck Matthew10% owner in previous filing
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PurchaseClass A Common Stock | 10,000 | $1.59 | $15,870.00 |
DisclosureSEC source: 0001104659-24-025392 · tm246490-2_4aseq1.xml · nonDerivative · entry 5 Birchview Capital, LP · CIK 0001618205 · 10% owner in previous filing Birchview Fund LLC · CIK 0001603544 · 10% owner in previous filing Strobeck Matthew · CIK 0001377832 · 10% owner in previous filing 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: 1,655,184 F1 · ownership.nature: Matthew Strobeck is the Managing Member of Birchview Capital GP, LLC, who is the General Partner of Birchview Capital, LP. Matthew Strobeck is the Managing Member of Birchview Partners LLC, who is the Manager of Birchview Fund, LLC ("the Fund"). Birchview Capital, LP is the investment manager of the Fund. F4 · ownership.nature: As specified in Table I, Birchview Capital, LP advises the acquired shares in a different SMA other than the one noted above. Read SEC document |
| March 24, 2023 Filed Mar 27, 2023 20:17 UTC |
Birchview Capital, LP10% owner
Birchview Fund LLC10% owner
Strobeck Matthew10% owner
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PurchaseClass A Common Stock | 2,000 | $1.35 | $2,707.80 |
DisclosureSEC source: 0001104659-23-037129 · tm2310663-1_4seq1.xml · nonDerivative · entry 4 Birchview Capital, LP · CIK 0001618205 · 10% owner Birchview Fund LLC · CIK 0001603544 · 10% owner Strobeck Matthew · CIK 0001377832 · 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: 1,645,184 F1 · ownership.nature: Matthew Strobeck is the Managing Member of Birchview Capital GP, LLC, who is the General Partner of Birchview Capital, LP. Matthew Strobeck is the Managing Member of Birchview Partners LLC, who is the Manager of Birchview Fund, LLC ("the Fund"). Birchview Capital, LP is the investment manager of the Fund. F3 · ownership.nature: As specified in Table I, Birchview Capital, LP advises the acquired shares in a separately managed account ("SMA"). Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.