Last 12 months
Inside the activity.
0 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 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 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 |
|---|---|---|---|---|---|---|
| February 05, 2020 Filed Feb 7, 2020 16:32 UTC |
File Justin J.Chief Financial Officer
|
GrantStock option (right to buy) · Derivative | 100,000 | $0.00 Strike: $4.87 | $0.00 |
DisclosureSEC source: 0001618835-20-000020 · wf-form4_158111115041172.xml · derivative · entry 3 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-02-05 F5 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 5, 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:32 UTC |
File Justin J.Chief Financial Officer
|
GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-20-000020 · wf-form4_158111115041172.xml · nonDerivative · entry 2 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 331,097 F4 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:32 UTC |
File Justin J.Chief Financial Officer
|
GrantCommon Stock | 3,846 | $5.21 | $20,037.66 |
DisclosureSEC source: 0001618835-20-000020 · wf-form4_158111115041172.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,097 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Evofem Biosciences, Inc. 2019 Employee Stock Purchase Plan (2019 ESPP), for the ESPP purchase period of June 17, 2019 through December 13,2019. This transaction is also exempt under Rule 16b-3(c). F2 · date: The reporting person is voluntarily reporting this transaction as of February 5, 2020, but the actual transaction took place on December 13, 2019, the last trading day of the purchase period under the 2019 ESPP. F3 · shares: In accordance with the 2019 ESPP, these shares were purchased based on 85% of the closing stock price on December 13, 2019, the last trading day of the purchase period. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:33 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
GrantStock option (right to buy) · Derivative | 300,000 | $0.00 Strike: $4.87 | $0.00 |
DisclosureSEC source: 0001618835-20-000022 · wf-form4_158111119257424.xml · derivative · entry 3 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2030-02-05 F5 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 5, 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:33 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
GrantCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-20-000022 · wf-form4_158111119257424.xml · nonDerivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666,135 F4 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:33 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
GrantCommon Stock | 3,846 | $5.21 | $20,037.66 |
DisclosureSEC source: 0001618835-20-000022 · wf-form4_158111119257424.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366,135 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Evofem Biosciences, Inc. 2019 Employee Stock Purchase Plan (2019 ESPP), for the ESPP purchase period of June 17, 2019 through December 13,2019. This transaction is also exempt under Rule 16b-3(c). F2 · date: The reporting person is voluntarily reporting this transaction as of February 5, 2020, but the actual transaction took place on December 13, 2019, the last trading day of the purchase period under the 2019 ESPP. F3 · shares: In accordance with the 2019 ESPP, these shares were purchased based on 85% of the closing stock price on December 13, 2019, the last trading day of the purchase period. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:33 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
GrantStock option (right to buy) · Derivative | 100,000 | $0.00 Strike: $4.87 | $0.00 |
DisclosureSEC source: 0001618835-20-000021 · wf-form4_158111117130256.xml · derivative · entry 2 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-02-05 F2 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 5, 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 16:33 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-20-000021 · wf-form4_158111117130256.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,331 F1 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 21:33 UTC |
Barrans RussellChief Commercial Officer
|
GrantStock option (right to buy) · Derivative | 100,000 | $0.00 Strike: $4.87 | $0.00 |
DisclosureSEC source: 0001618835-20-000023 · wf-form4_158111121503365.xml · derivative · entry 4 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-02-05 F6 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 5, 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 21:33 UTC |
Barrans RussellChief Commercial Officer
|
GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-20-000023 · wf-form4_158111121503365.xml · nonDerivative · entry 2 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,197 F4 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 21:33 UTC |
Barrans RussellChief Commercial Officer
|
GrantCommon Stock | 899 | $5.21 | $4,683.79 |
DisclosureSEC source: 0001618835-20-000023 · wf-form4_158111121503365.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,197 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Evofem Biosciences, Inc. 2019 Employee Stock Purchase Plan (2019 ESPP), for the ESPP purchase period of June 17, 2019 through December 13,2019. This transaction is also exempt under Rule 16b-3(c). F2 · date: The reporting person is voluntarily reporting this transaction as of February 5, 2020, but the actual transaction took place on December 13, 2019, the last trading day of the purchase period under the 2019 ESPP. F3 · shares: In accordance with the 2019 ESPP, these shares were purchased based on 85% of the closing stock price on December 13, 2019, the last trading day of the purchase period. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 21:32 UTC |
Culwell KellyChief Medical Officer
|
GrantStock option (right to buy) · Derivative | 100,000 | $0.00 Strike: $4.87 | $0.00 |
DisclosureSEC source: 0001618835-20-000019 · wf-form4_158111112862260.xml · derivative · entry 3 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-02-05 F5 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 5, 2020 Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 21:32 UTC |
Culwell KellyChief Medical Officer
|
GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-20-000019 · wf-form4_158111112862260.xml · nonDerivative · entry 2 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,226 F4 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 21:32 UTC |
Culwell KellyChief Medical Officer
|
GrantCommon Stock | 3,688 | $5.21 | $19,214.48 |
DisclosureSEC source: 0001618835-20-000019 · wf-form4_158111112862260.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,226 F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Evofem Biosciences, Inc. 2019 Employee Stock Purchase Plan (2019 ESPP), for the ESPP purchase period of June 17, 2019 through December 13,2019. This transaction is also exempt under Rule 16b-3(c). F2 · date: The reporting person is voluntarily reporting this transaction as of February 5, 2020, but the actual transaction took place on December 13, 2020, the last trading day of the purchase period under the 2019 ESPP. F3 · shares: In accordance with the 2019 ESPP, these shares were purchased based on 85% of the closing stock price on December 13, 2019, the last trading day of the purchase period. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 18:13 UTC |
Barrans RussellChief Commercial Officer
|
SaleCommon Stock | 1,578 | $6.50 | $10,257.00 |
DisclosureSEC source: 0001618835-20-000013 · wf-form4_157963039010607.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,298 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2019. Read SEC document |
| January 13, 2020 Filed Jan 15, 2020 16:22 UTC |
File Justin J.Chief Financial Officer
|
SaleCommon Stock | 1,648 | $6.00 | $9,888.00 |
DisclosureSEC source: 0001618835-20-000011 · wf-form4_157912333658848.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,251 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. Read SEC document |
| January 13, 2020 Filed Jan 15, 2020 16:22 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
SaleCommon Stock | 3,295 | $6.00 | $19,770.00 |
DisclosureSEC source: 0001618835-20-000010 · wf-form4_157912331106987.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 362,289 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 15:07 UTC |
File Justin J.Chief Financial Officer
|
SaleCommon Stock | 3,352 | $6.05 | $20,279.60 |
DisclosureSEC source: 0001618835-20-000003 · wf-form4_157834125799228.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,899 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.06, 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 footnote (2) to this Form 4. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 15:08 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
SaleCommon Stock | 6,705 | $6.05 | $40,565.25 |
DisclosureSEC source: 0001618835-20-000004 · wf-form4_157834128185451.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,584 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.06, 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 footnote (2) to this Form 4. Read SEC document |
| December 31, 2019 Filed Dec 31, 2019 20:48 UTC |
Lynch Thomas GDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000219 · wf-form4_157784330245840.xml · derivative · entry 2 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units were granted in consideration for certain consulting services provided to the Issuer in connection with the consulting agreement between Mr. Lynch and the Issuer effective April 1, 2019. F2 · derivative.exercise_date: The restricted stock units shall vest in four equal installments on June 30, 2019, September 30, 2019, December 31, 2019 and March 31, 2020. F2 · derivative.expiration_date: The restricted stock units shall vest in four equal installments on June 30, 2019, September 30, 2019, December 31, 2019 and March 31, 2020. Read SEC document |
| December 31, 2019 Filed Dec 31, 2019 20:48 UTC |
Lynch Thomas GDirector
|
Exercise / conversionCommon Stock | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000219 · wf-form4_157784330245840.xml · nonDerivative · entry 1 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units were granted in consideration for certain consulting services provided to the Issuer in connection with the consulting agreement between Mr. Lynch and the Issuer effective April 1, 2019. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 17:33 UTC |
File Justin J.Chief Financial Officer
|
SaleCommon Stock | 10,000 | $7.16 | $71,600.00 |
DisclosureSEC source: 0001618835-19-000213 · wf-form4_157549880669694.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,251 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. 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 $7.50, 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 footnote (2) to this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 17:33 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
SaleCommon Stock | 20,000 | $7.30 | $146,000.00 |
DisclosureSEC source: 0001618835-19-000212 · wf-form4_157549878641244.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 372,289 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.26 to $7.55, 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 footnote (2) to this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 22:34 UTC |
Culwell KellyChief Medical Officer
|
SaleCommon Stock | 1,000 | $7.35 | $7,350.00 |
DisclosureSEC source: 0001618835-19-000214 · wf-form4_157549882846938.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,538 F1 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 25, 2019. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 17:14 UTC |
File Justin J.Chief Financial Officer
|
Tax withholdingCommon Stock | 10,102 | $6.22 | $62,834.44 |
DisclosureSEC source: 0001618835-19-000201 · wf-form4_157480644392728.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,251 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 25, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 17:15 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
Tax withholdingCommon Stock | 7,747 | $6.22 | $48,186.34 |
DisclosureSEC source: 0001618835-19-000203 · wf-form4_157480648797283.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,331 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 25, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 17:15 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 22,387 | $6.22 | $139,247.14 |
DisclosureSEC source: 0001618835-19-000205 · wf-form4_157480653003211.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,289 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 25, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 22:15 UTC |
Barrans RussellChief Commercial Officer
|
Tax withholdingCommon Stock | 9,277 | $6.22 | $57,702.94 |
DisclosureSEC source: 0001618835-19-000204 · wf-form4_157480650820263.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,876 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 25, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 22:14 UTC |
Culwell KellyChief Medical Officer
|
Tax withholdingCommon Stock | 5,187 | $6.22 | $32,263.14 |
DisclosureSEC source: 0001618835-19-000202 · wf-form4_157480646585981.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,538 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 25, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 21, 2019 Filed Nov 21, 2019 20:18 UTC |
File Justin J.Chief Financial Officer
|
SaleCommon Stock | 4,900 | $6.00 | $29,400.00 |
DisclosureSEC source: 0001618835-19-000183 · wf-form4_157438547271990.xml · nonDerivative · entry 3 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,353 F2 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. Read SEC document |
| November 21, 2019 Filed Nov 21, 2019 20:18 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
SaleCommon Stock | 10,000 | $6.01 | $60,100.00 |
DisclosureSEC source: 0001618835-19-000184 · wf-form4_157438549248266.xml · nonDerivative · entry 2 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,676 F2 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.01, 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 footnote (3) to this Form 4. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 20:18 UTC |
File Justin J.Chief Financial Officer
|
SaleCommon Stock | 100 | $6.00 | $600.00 |
DisclosureSEC source: 0001618835-19-000183 · wf-form4_157438547271990.xml · nonDerivative · entry 2 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,253 F2 · kind: These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 28, 2019. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 20:18 UTC |
File Justin J.Chief Financial Officer
|
Tax withholdingCommon Stock | 10,102 | $5.74 | $57,985.48 |
DisclosureSEC source: 0001618835-19-000183 · wf-form4_157438547271990.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,353 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 20, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 20:18 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 22,657 | $5.74 | $130,051.18 |
DisclosureSEC source: 0001618835-19-000184 · wf-form4_157438549248266.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,676 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 20, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 20, 2019 Filed Nov 21, 2019 20:17 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
Tax withholdingCommon Stock | 7,747 | $5.74 | $44,467.78 |
DisclosureSEC source: 0001618835-19-000182 · wf-form4_157438545260854.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,078 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 20, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 20, 2019 Filed Nov 22, 2019 01:19 UTC |
Barrans RussellChief Commercial Officer
|
Tax withholdingCommon Stock | 9,044 | $5.74 | $51,912.56 |
DisclosureSEC source: 0001618835-19-000186 · wf-form4_157438553235620.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,153 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 20, 2019. No shares were sold in connection with this transaction. Read SEC document |
| November 20, 2019 Filed Nov 22, 2019 01:18 UTC |
Culwell KellyChief Medical Officer
|
Tax withholdingCommon Stock | 5,187 | $5.74 | $29,773.38 |
DisclosureSEC source: 0001618835-19-000185 · wf-form4_157438551205670.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,725 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on November 20, 2019. No shares were sold in connection with this transaction. Read SEC document |
| October 16, 2019 Filed Oct 17, 2019 14:15 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
Tax withholdingCommon Stock | 18,427 | $5.01 | $92,319.27 |
DisclosureSEC source: 0001628280-19-012348 · wf-form4_157133610914438.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,825 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on October 16, 2019. No shares were sold in connection with this transaction. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 11:55 UTC |
Lynch Thomas GDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-012045 · wf-form4_156994532484636.xml · derivative · entry 2 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 37,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units were granted in consideration for certain consulting services provided to the Issuer in connection with the consulting agreement between Mr. Lynch and the Issuer effective April 1, 2019. F2 · derivative.exercise_date: The restricted stock units shall vest in four equal installments on June 30, 2019, September 30, 2019, December 31, 2019 and March 31, 2020. F2 · derivative.expiration_date: The restricted stock units shall vest in four equal installments on June 30, 2019, September 30, 2019, December 31, 2019 and March 31, 2020. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 11:55 UTC |
Lynch Thomas GDirector
|
Exercise / conversionCommon Stock | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-012045 · wf-form4_156994532484636.xml · nonDerivative · entry 1 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units were granted in consideration for certain consulting services provided to the Issuer in connection with the consulting agreement between Mr. Lynch and the Issuer effective April 1, 2019. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 18:36 UTC |
File Justin J.Chief Financial Officer
|
Tax withholdingCommon Stock | 1,558 | $5.13 | $7,992.54 |
DisclosureSEC source: 0001618835-19-000153 · wf-form4_156685895058061.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,455 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on August 22, 2019. No shares were sold in connection with this transaction. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 18:36 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
Tax withholdingCommon Stock | 1,296 | $5.13 | $6,648.48 |
DisclosureSEC source: 0001618835-19-000154 · wf-form4_156685897030733.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,252 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on August 22, 2019. No shares were sold in connection with this transaction. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 18:37 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 4,923 | $5.13 | $25,254.99 |
DisclosureSEC source: 0001618835-19-000157 · wf-form4_156685903031279.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 447,333 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on August 22, 2019. No shares were sold in connection with this transaction. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 22:37 UTC |
Barrans RussellChief Commercial Officer
|
Tax withholdingCommon Stock | 962 | $5.13 | $4,935.06 |
DisclosureSEC source: 0001618835-19-000156 · wf-form4_156685900974033.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,197 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on August 22, 2019. No shares were sold in connection with this transaction. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 22:36 UTC |
Culwell KellyChief Medical Officer
|
Tax withholdingCommon Stock | 864 | $5.13 | $4,432.32 |
DisclosureSEC source: 0001618835-19-000155 · wf-form4_156685898995521.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,912 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on August 22, 2019. No shares were sold in connection with this transaction. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 23:06 UTC |
Barrans RussellChief Commercial Officer
|
Tax withholdingCommon Stock | 13,257 | $4.99 | $66,152.43 |
DisclosureSEC source: 0001618835-19-000141 · wf-form4_156279996204676.xml · nonDerivative · entry 2 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,159 F2 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurred on July 8, 2019. No shares were sold in connection with this transaction. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 23:06 UTC |
Barrans RussellChief Commercial Officer
|
GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000141 · wf-form4_156279996204676.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,416 F1 · shares: The restricted stock awards shall vest in three equal installments on July 8, 2019, 2020 and 2021. Read SEC document |
| June 30, 2019 Filed Jul 1, 2019 14:42 UTC |
Lynch Thomas GDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000138 · wf-form4_156200652729907.xml · derivative · entry 2 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,500 Underlying: Common Stock · 37,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units were granted in consideration for certain consulting services provided to the Issuer in connection with the consulting agreement between Mr. Lynch and the Issuer effective April 1, 2019. F2 · derivative.exercise_date: The restricted stock units shall vest in four equal installments on June 30, 2019, September 30, 2019, December 31, 2019 and March 31, 2020. F2 · derivative.expiration_date: The restricted stock units shall vest in four equal installments on June 30, 2019, September 30, 2019, December 31, 2019 and March 31, 2020. Read SEC document |
| June 30, 2019 Filed Jul 1, 2019 14:42 UTC |
Lynch Thomas GDirector
|
Exercise / conversionCommon Stock | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000138 · wf-form4_156200652729907.xml · nonDerivative · entry 1 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units were granted in consideration for certain consulting services provided to the Issuer in connection with the consulting agreement between Mr. Lynch and the Issuer effective April 1, 2019. Read SEC document |
| June 10, 2019 Filed Jun 10, 2019 22:16 UTC |
PDL BIOPHARMA, INC.10% owner
|
GrantWarrants (Right to Buy) · Derivative | 1,666,667 | Not disclosed Strike: $6.38 | Not disclosed |
DisclosureSEC source: 0000899243-19-016240 · doc4.xml · derivative · entry 2 PDL BIOPHARMA, INC. · CIK 0000882104 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,666,667 Underlying: Common Stock · 1,666,667 shares Expires 2026-06-10 F1 · price: Pursuant to that certain Securities Purchase Agreement, dated as of April 10, 2019, by and among the Issuer, the Reporting Person and the other parties thereto, on June 10, 2019, the Reporting Person purchased 6,666,667 shares of Common Stock of the Issuer, at a price of $4.50 per share, and received warrants to purchase up to an additional 1,666,667 shares of Common Stock for an aggregate purchase price of approximately $30.0 million. 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.