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Nasdaq · USD

EQ

Equillium, Inc.

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6560
SEC CIK
0001746466
Parsed reports
177

Last 12 months

Inside the activity.

0 purchase rows · 20 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202502
Dec 202503
Jan 202601
Feb 202604
Mar 202602
Apr 202600
May 202605
Jun 202603
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
July 27, 2021 Filed Jul 28, 2021 15:55 UTC
Keyes Jason AChief Financial Officer
SaleCommon Stock 5,000 $5.72 $28,585.00
Disclosure

SEC source: 0001209191-21-048405 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 110,720

F1 · shares: The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the filer on August 26, 2020.

F2 · price: Volume Weighted Average price of $5.7170. The range of sales prices on the transaction date was $5.42 - $5.93, per share. The reporting person undertakes to provide, upon request of the SEC Staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.

Read SEC document
June 10, 2021 Filed Jun 14, 2021 21:56 UTC
Zedelmayer ChristineSr. Vice President and COO
GrantCommon stock, par value $0.0001 per share 9,032 $2.35 $21,225.20
Disclosure

SEC source: 0001209191-21-040316 · doc4.xml · nonDerivative · entry 1

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,509

F1 · kind: The shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(c) and Rule 16b-3(d).

Read SEC document
June 10, 2021 Filed Jun 14, 2021 21:56 UTC
Keyes Jason AChief Financial Officer
GrantCommon stock, par value $0.0001 per share 5,535 $2.35 $13,007.25
Disclosure

SEC source: 0001209191-21-040314 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,711

F1 · kind: The shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(c) and Rule 16b-3(d).

Read SEC document
June 10, 2021 Filed Jun 14, 2021 21:55 UTC
Rothman JoelChief Development Officer
GrantCommon stock, par value $0.0001 per share 7,742 $2.35 $18,193.70
Disclosure

SEC source: 0001209191-21-040313 · doc4.xml · nonDerivative · entry 1

Rothman Joel · CIK 0001842921 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,991

F1 · kind: The shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(c) and Rule 16b-3(d).

Read SEC document
June 08, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,945 $0.00 Strike: $4.75 $0.00
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · derivative · entry 15

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,945 shares

Expires 2029-12-09

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.

F6 · derivative.exercise_date: The option, representing a right to purchase a total of 31,875 shares, became exercisable on December 10, 2020, which was the first anniversary of the date on which the option was granted, and in 36 equal monthly installments thereafter.

Read SEC document
June 08, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
SaleCommon Stock 10,495 $7.18 $75,315.27
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 10

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 993,000

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.04 to $7.48, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4.

Read SEC document
June 08, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionCommon Stock 10,495 $4.75 $49,851.25
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 9

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,003,495

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.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 13,900 $0.00 Strike: $4.75 $0.00
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · derivative · entry 14

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,945

Underlying: Common Stock · 13,900 shares

Expires 2029-12-09

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.

F6 · derivative.exercise_date: The option, representing a right to purchase a total of 31,875 shares, became exercisable on December 10, 2020, which was the first anniversary of the date on which the option was granted, and in 36 equal monthly installments thereafter.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 8,490 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · derivative · entry 13

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,490 shares

Expires 2030-05-18

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.

F5 · derivative.exercise_date: The option, representing a right to purchase a total of 14,999 shares, became exercisable on May 19, 2021, which was the first anniversary of the date on which the option was granted, and in 36 equal monthly installments thereafter.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
SaleCommon Stock 13,900 $7.14 $99,264.07
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 8

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 993,000

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.38, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionCommon Stock 13,900 $4.75 $66,025.00
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 7

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,006,900

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.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
SaleCommon Stock 8,490 $7.08 $60,144.86
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 6

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 993,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.19, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionCommon Stock 8,490 $2.80 $23,772.00
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 5

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,001,490

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.

Read SEC document
June 04, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 7,030 $0.00 Strike: $4.75 $0.00
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · derivative · entry 12

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,845

Underlying: Common Stock · 7,030 shares

Expires 2029-12-09

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.

F6 · derivative.exercise_date: The option, representing a right to purchase a total of 31,875 shares, became exercisable on December 10, 2020, which was the first anniversary of the date on which the option was granted, and in 36 equal monthly installments thereafter.

Read SEC document
June 04, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 6,509 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · derivative · entry 11

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,490

Underlying: Common Stock · 6,509 shares

Expires 2030-05-18

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.

F5 · derivative.exercise_date: The option, representing a right to purchase a total of 14,999 shares, became exercisable on May 19, 2021, which was the first anniversary of the date on which the option was granted, and in 36 equal monthly installments thereafter.

Read SEC document
June 04, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
SaleCommon Stock 7,030 $7.01 $49,245.15
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 4

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 993,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4.

Read SEC document
June 04, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionCommon Stock 7,030 $4.75 $33,392.50
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 3

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,030

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.

Read SEC document
June 04, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
SaleCommon Stock 6,509 $7.01 $45,600.75
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 2

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 993,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) through (4) to this Form 4.

Read SEC document
June 04, 2021 Filed Jun 9, 2021 10:03 UTC
Connelly StephenDirector · Chief Scientific Officer
Exercise / conversionCommon Stock 6,509 $2.80 $18,225.20
Disclosure

SEC source: 0001209191-21-039081 · doc4.xml · nonDerivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 999,509

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.

Read SEC document
May 26, 2021 Filed May 28, 2021 18:16 UTC GrantStock Option (right to buy) · Derivative 20,770 $0.00 Strike: $6.55 $0.00
Disclosure

SEC source: 0001209191-21-036637 · doc4.xml · derivative · entry 1

MANIAN BALA S · CIK 0000941871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,770

Underlying: Common Stock · 20,770 shares

Expires 2031-05-26

F1 · derivative.exercise_date: These options vest in twelve equal monthly installments commencing on the grant date of May 26, 2021, provided that the options will, in any case, be fully vested on the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2018 Equity Incentive Plan (the "Plan")), through such vesting date and will vest in full upon a Change in Control (as defined in the Plan).

Read SEC document
May 26, 2021 Filed May 28, 2021 22:10 UTC GrantStock Option (right to buy) · Derivative 20,770 $0.00 Strike: $6.55 $0.00
Disclosure

SEC source: 0001209191-21-036635 · doc4.xml · derivative · entry 1

DEMSKI MARTHA J · CIK 0001198230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,770

Underlying: Common Stock · 20,770 shares

Expires 2031-05-26

F1 · derivative.exercise_date: These options vest in twelve equal monthly installments commencing on the grant date of May 26, 2021, provided that the options will, in any case, be fully vested on the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2018 Equity Incentive Plan (the "Plan")), through such vesting date and will vest in full upon a Change in Control (as defined in the Plan).

Read SEC document
May 26, 2021 Filed May 28, 2021 22:18 UTC GrantStock Option (right to buy) · Derivative 20,770 $0.00 Strike: $6.55 $0.00
Disclosure

SEC source: 0001209191-21-036641 · doc4.xml · derivative · entry 1

Pruzanski Mark · CIK 0001559569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,770

Underlying: Common Stock · 20,770 shares

Expires 2031-05-26

F1 · derivative.exercise_date: These options vest in twelve equal monthly installments commencing on the grant date of May 26, 2021, provided that the options will, in any case, be fully vested on the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2018 Equity Incentive Plan (the "Plan")), through such vesting date and will vest in full upon a Change in Control (as defined in the Plan).

Read SEC document
May 26, 2021 Filed May 28, 2021 23:03 UTC Amendment
Keyes Jason AChief Financial Officer
SaleCommon Stock 5,000 $6.50 $32,483.50
Disclosure

SEC source: 0001209191-21-036674 · doc4a.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 115,720

F1 · shares: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 26, 2020.

F2 · price: The common stock was sold by the reporting person in open market transactions on the transaction date, with a volume weighted average sale price of $6.4967. The range of sale prices on the transaction date was $6.40 to $6.59 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

Read SEC document
May 26, 2021 Filed May 28, 2021 22:20 UTC
Keyes Jason AChief Financial Officer
SaleCommon Stock 5,000 $6.50 $32,483.50
Disclosure

SEC source: 0001209191-21-036648 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 115,720

F1 · shares: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 26, 2020.

F2 · price: The common stock was sold by the reporting person in open market transactions on the transaction date, with a volume weighted average sale price of $6.4967. The range of sale prices on the transaction date was $6.40 to $6.59 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

Read SEC document
May 26, 2021 Filed May 28, 2021 22:17 UTC GrantStock Option (right to buy) · Derivative 20,770 $0.00 Strike: $6.55 $0.00
Disclosure

SEC source: 0001209191-21-036639 · doc4.xml · derivative · entry 1

McDermott Charles Douglas · CIK 0001710696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,770

Underlying: Common Stock · 20,770 shares

Expires 2031-05-26

F1 · derivative.exercise_date: These options vest in twelve equal monthly installments commencing on the grant date of May 26, 2021, provided that the options will, in any case, be fully vested on the date of the Issuer's next annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2018 Equity Incentive Plan (the "Plan")), through such vesting date and will vest in full upon a Change in Control (as defined in the Plan).

Read SEC document
March 04, 2021 Filed Mar 5, 2021 21:30 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $6.69 $0.00
Disclosure

SEC source: 0001209191-21-018214 · doc4.xml · derivative · entry 1

Xu Yu (Katherine) · CIK 0001843348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-03-03

F1 · derivative.exercise_date: The options vest in 36 equal monthly installments following the grant date of March 4, 2021.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 21:20 UTC
Thomas DolcaChief Medical Officer
GrantStock Option (right to buy) · Derivative 450,000 $0.00 Strike: $5.20 $0.00
Disclosure

SEC source: 0001209191-21-003422 · doc4.xml · derivative · entry 1

Thomas Dolca · CIK 0001768239 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2031-01-10

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 22:00 UTC
Zedelmayer ChristineSr. Vice President and COO
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $5.03 $0.00
Disclosure

SEC source: 0001209191-21-002167 · doc4.xml · derivative · entry 1

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-01-03

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 22:00 UTC
Connelly StephenDirector · Chief Scientific Officer
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $5.03 $0.00
Disclosure

SEC source: 0001209191-21-002168 · doc4.xml · derivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-01-03

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 22:00 UTC
BRADBURY DANIELDirector · Executive Chairman · 10% owner
GrantStock Option (right to buy) · Derivative 36,000 $0.00 Strike: $5.03 $0.00
Disclosure

SEC source: 0001209191-21-002166 · doc4.xml · derivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2031-01-03

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 17:00 UTC
Steel Bruce D.Director · President and CEO · 10% owner
GrantStock Option (right to buy) · Derivative 245,000 $0.00 Strike: $5.03 $0.00
Disclosure

SEC source: 0001209191-21-002164 · doc4.xml · derivative · entry 1

Steel Bruce D. · CIK 0001614997 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,000

Underlying: Common Stock · 245,000 shares

Expires 2031-01-03

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 22:00 UTC
Keyes Jason AChief Financial Officer
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $5.03 $0.00
Disclosure

SEC source: 0001209191-21-002165 · doc4.xml · derivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-01-03

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

Read SEC document
December 28, 2020 Filed Dec 30, 2020 22:00 UTC
Connelly StephenDirector · Chief Scientific Officer
SaleCommon Stock 25,000 $4.52 $113,045.00
Disclosure

SEC source: 0001209191-20-065537 · doc4.xml · nonDerivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 993,000

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 24, 2020.

F2 · price: The common stock was sold by the reporting person in open market transactions on the transaction date, with a volume weighted average sale price of $4.5218. The range of sale prices on the transaction date was $4.34 to $4.76 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

Read SEC document
December 23, 2020 Filed Dec 28, 2020 14:15 UTC
Keyes Jason AChief Financial Officer
SaleCommon Stock 8,000 $4.74 $37,913.60
Disclosure

SEC source: 0001209191-20-065139 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 120,720

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 26, 2020.

F2 · price: The common stock was sold by the reporting person in open market transactions on the transaction date, with a volume weighted average sale price of $4.7392. The range of sale prices on the transaction date was $4.68 to $4.83 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

Read SEC document
December 10, 2020 Filed Dec 11, 2020 22:00 UTC
Zedelmayer ChristineSr. Vice President and COO
OtherCommon Stock 1,097 $2.35 $2,577.95
Disclosure

SEC source: 0001209191-20-062992 · doc4.xml · nonDerivative · entry 1

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,477

F1 · kind: Represents shares acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan.

Read SEC document
December 10, 2020 Filed Dec 11, 2020 22:00 UTC
Keyes Jason AChief Financial Officer
OtherCommon Stock 5,362 $2.35 $12,600.70
Disclosure

SEC source: 0001209191-20-062993 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,176

F1 · kind: Represents shares acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan.

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September 28, 2020 Filed Sep 30, 2020 21:00 UTC
Connelly StephenDirector · Chief Scientific Officer
SaleCommon Stock 25,000 $5.62 $140,395.00
Disclosure

SEC source: 0001209191-20-052467 · doc4.xml · nonDerivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,018,000

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 24, 2020.

F2 · price: The common stock was sold by the reporting person in open market transactions on the transaction date, with a volume weighted average sale price of $5.6158. The range of sale prices on the transaction date was $5.51 to $5.82 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

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July 13, 2020 Filed Jul 15, 2020 21:00 UTC
Connelly StephenDirector · Chief Scientific Officer
SaleCommon Stock 250,000 $8.13 $2,033,475.00
Disclosure

SEC source: 0001209191-20-042499 · doc4.xml · nonDerivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,043,000

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 24, 2020.

F2 · price: The common stock was sold by the reporting person in open market transactions on the transaction date, with a volume weighted average sale price of $8.1339. The range of sale prices on the transaction date was $7.50 to $9.05 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

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June 10, 2020 Filed Jun 12, 2020 20:30 UTC
Zedelmayer ChristineSr. Vice President and COO
OtherCommon Stock 9,570 $2.41 $23,063.70
Disclosure

SEC source: 0001209191-20-036284 · doc4.xml · nonDerivative · entry 1

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,380

F1 · kind: Represents shares acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan.

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June 10, 2020 Filed Jun 12, 2020 20:30 UTC
Keyes Jason AChief Financial Officer
OtherCommon Stock 5,014 $2.41 $12,083.74
Disclosure

SEC source: 0001209191-20-036285 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,814

F1 · kind: Represents shares acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan.

Read SEC document
May 28, 2020 Filed May 29, 2020 16:30 UTC GrantStock Option (right to buy) · Derivative 20,634 $0.00 Strike: $3.53 $0.00
Disclosure

SEC source: 0001209191-20-032938 · doc4.xml · derivative · entry 1

MANIAN BALA S · CIK 0000941871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,634

Underlying: Common Stock · 20,634 shares

Expires 2030-05-27

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May 28, 2020 Filed May 29, 2020 20:30 UTC
BRADBURY DANIELDirector · Executive Chairman · 10% owner
GrantStock Option (right to buy) · Derivative 28,708 $0.00 Strike: $3.53 $0.00
Disclosure

SEC source: 0001209191-20-032937 · doc4.xml · derivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,708

Underlying: Common Stock · 28,708 shares

Expires 2030-05-27

Read SEC document
May 28, 2020 Filed May 29, 2020 16:30 UTC
Steel Bruce D.Director · President and CEO · 10% owner
GrantStock Option (right to buy) · Derivative 100,110 $0.00 Strike: $3.53 $0.00
Disclosure

SEC source: 0001209191-20-032936 · doc4.xml · derivative · entry 1

Steel Bruce D. · CIK 0001614997 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,110

Underlying: Common Stock · 100,110 shares

Expires 2030-05-27

Read SEC document
May 28, 2020 Filed May 29, 2020 20:30 UTC GrantStock Option (right to buy) · Derivative 19,916 $0.00 Strike: $3.53 $0.00
Disclosure

SEC source: 0001209191-20-032939 · doc4.xml · derivative · entry 1

McDermott Charles Douglas · CIK 0001710696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,916

Underlying: Common Stock · 19,916 shares

Expires 2030-05-27

Read SEC document
May 19, 2020 Filed May 21, 2020 16:30 UTC GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001209191-20-031274 · doc4.xml · derivative · entry 1

MANIAN BALA S · CIK 0000941871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2030-05-19

F1 · derivative.exercise_date: The options vest in twelve equal monthly installments commencing on the grant date of May 19, 2020, provided, however, that the options will become fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

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May 19, 2020 Filed May 21, 2020 20:30 UTC
Connelly StephenDirector · Chief Scientific Officer
GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001209191-20-031278 · doc4.xml · derivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

Read SEC document
May 19, 2020 Filed May 21, 2020 20:30 UTC GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001209191-20-031273 · doc4.xml · derivative · entry 1

DEMSKI MARTHA J · CIK 0001198230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2030-05-19

F1 · derivative.exercise_date: The options vest in twelve equal monthly installments commencing on the grant date of May 19, 2020, provided, however, that the options will become fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

Read SEC document
May 19, 2020 Filed May 21, 2020 20:30 UTC GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001209191-20-031275 · doc4.xml · derivative · entry 1

Pruzanski Mark · CIK 0001559569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2030-05-19

F1 · derivative.exercise_date: The options vest in twelve equal monthly installments commencing on the grant date of May 19, 2020, provided, however, that the options will become fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

Read SEC document
May 19, 2020 Filed May 21, 2020 16:30 UTC
Steel Bruce D.Director · President and CEO · 10% owner
GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001209191-20-031276 · doc4.xml · derivative · entry 1

Steel Bruce D. · CIK 0001614997 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

Read SEC document
May 19, 2020 Filed May 21, 2020 20:30 UTC GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001209191-20-031277 · doc4.xml · derivative · entry 1

McDermott Charles Douglas · CIK 0001710696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2030-05-19

F1 · derivative.exercise_date: The options vest in twelve equal monthly installments commencing on the grant date of May 19, 2020, provided, however, that the options will become fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

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.