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 |
|---|---|---|---|---|---|---|
| June 10, 2019 Filed Jun 10, 2019 22:16 UTC |
PDL BIOPHARMA, INC.10% owner
|
PurchaseCommon Stock | 6,666,667 | $4.50 | $30,000,001.50 |
DisclosureSEC source: 0000899243-19-016240 · doc4.xml · nonDerivative · entry 1 PDL BIOPHARMA, INC. · CIK 0000882104 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,333,334 Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 14:41 UTC |
Invesco Ltd.10% owner
|
OtherRight to Purchase · Derivative | 555,556 | $0.00 Strike: $6.38 | $55.56 |
DisclosureSEC source: 0001209191-19-036289 · doc4.xml · derivative · entry 3 Invesco Ltd. · CIK 0000914208 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 555,556 Underlying: Common Stock · 555,556 shares Expires not disclosed F5 · kind: On June 10, 2019, Invesco Ltd. exercised its right, pursuant to that certain Securities Purchase Agreement between the Issuer, Invesco Ltd., PLD Biopharma, and Woodford Asset Management Limited dated April 10, 2019 (the "Securities Purchase Agreement"), to purchase (i) 2,222,222 shares of common stock at a purchase price of $4.50 per share and (ii) warrants to purchase 555,556 shares of common stock at a purchase price equal to $6.38 per share. F6 · derivative.exercise_date: The warrants are exercisable six (6) months following the original issue date. F7 · derivative.expiration_date: The warrants expire seven (7) years following the original issue date. F1 · ownership.nature: Invesco Ltd. is the beneficial owner of 11,812,910 shares of common stock and warrants to purchase 555,556 common shares acquired by its affiliates, Invesco High Income Fund(UK) and Invesco Income Fund(UK). Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 14:41 UTC |
Invesco Ltd.10% owner
|
OtherWarrants · Derivative | 212,765 | $0.00 Strike: $5.20 | $21.28 |
DisclosureSEC source: 0001209191-19-036289 · doc4.xml · derivative · entry 2 Invesco Ltd. · CIK 0000914208 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · see footnote Disclosed balance after: 555,556 Underlying: Common Stock · 212,765 shares Expires 2026-02-08 F2 · kind: Pursuant to the Securities Purchase Agreement, Invesco Ltd. agreed to cancel warrants to purchase 212,765 shares of Common Stock. F2 · shares: Pursuant to the Securities Purchase Agreement, Invesco Ltd. agreed to cancel warrants to purchase 212,765 shares of Common Stock. F3 · derivative.exercise_date: The warrants were exercisable on the earlier of 08/08/2019, or following the date that the issuance of the warrants was approved by the stockholders of the Issuer. F4 · ownership.nature: Invesco Ltd. owned the warrants through its affiliates, Invesco High Income Fund (UK) and Invesco Income Fund (UK). Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 14:41 UTC |
Invesco Ltd.10% owner
|
PurchaseCommon stock | 2,222,222 | $4.50 | $9,999,999.00 |
DisclosureSEC source: 0001209191-19-036289 · doc4.xml · nonDerivative · entry 1 Invesco Ltd. · CIK 0000914208 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 11,812,910 F1 · ownership.nature: Invesco Ltd. is the beneficial owner of 11,812,910 shares of common stock and warrants to purchase 555,556 common shares acquired by its affiliates, Invesco High Income Fund(UK) and Invesco Income Fund(UK). Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 16:39 UTC |
File Justin J.Chief Financial Officer
|
Tax withholdingCommon Stock | 10,185 | $6.36 | $64,776.60 |
DisclosureSEC source: 0001618835-19-000125 · wf-form4_156037193526871.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,013 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on June 10, 2019. No shares were sold in connection with this transaction. Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 16:38 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 35,826 | $6.36 | $227,853.36 |
DisclosureSEC source: 0001618835-19-000124 · wf-form4_156037191603901.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,256 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on June 10, 2019. No shares were sold in connection with this transaction. Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 16:38 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
Tax withholdingCommon Stock | 7,777 | $6.36 | $49,461.72 |
DisclosureSEC source: 0001618835-19-000123 · wf-form4_156037189920094.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,548 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on June 10, 2019. No shares were sold in connection with this transaction. Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 20:39 UTC |
Barrans RussellChief Commercial Officer
|
Tax withholdingCommon Stock | 5,965 | $6.36 | $37,937.40 |
DisclosureSEC source: 0001618835-19-000127 · wf-form4_156037197830004.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,416 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on June 10, 2019. No shares were sold in connection with this transaction. Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 20:39 UTC |
Culwell KellyChief Medical Officer
|
Tax withholdingCommon Stock | 5,187 | $6.36 | $32,989.32 |
DisclosureSEC source: 0001618835-19-000126 · wf-form4_156037195682205.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,776 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on June 10, 2019. No shares were sold in connection with this transaction. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 16:03 UTC |
Rutherford ColinDirector
|
GrantStock option (right to buy) · Derivative | 50,000 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0001618835-19-000107 · wf-form4_155985139103154.xml · derivative · entry 1 Rutherford Colin · CIK 0001726264 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-05 F1 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in full upon completion of continuous service for the Issuer on the first anniversary of the vesting commencement date of June 5, 2019. The option was awarded in connection with Mr. Rutherford's board and committee services. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 16:02 UTC |
Hall William WalmsleyDirector
|
GrantStock option (right to buy) · Derivative | 50,000 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0001618835-19-000105 · wf-form4_155985132048062.xml · derivative · entry 1 Hall William Walmsley · CIK 0001726731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-05 F1 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in full upon completion of continuous service for the Issuer on the first anniversary of the vesting commencement date of June 5, 2019. The option was awarded in connection with Dr. Hall's board and committee services. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 16:01 UTC |
Greer GillianDirector
|
GrantStock option (right to buy) · Derivative | 50,000 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0001618835-19-000104 · wf-form4_155985128105219.xml · derivative · entry 1 Greer Gillian · CIK 0001726181 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-05 F1 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in full upon completion of continuous service for the Issuer on the first anniversary of the vesting commencement date of June 5, 2019. The option was awarded in connection with Dr. Greer's board and committee services. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 20:02 UTC |
O'Brien Anthony StephenDirector
|
GrantCommon Stock · Derivative | 50,000 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0001618835-19-000106 · wf-form4_155985135614038.xml · derivative · entry 1 O'Brien Anthony Stephen · CIK 0001726732 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-05 F1 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in full upon completion of continuous service for the Issuer on the first anniversary of the vesting commencement date of June 5, 2019. The option was awarded in connection with Mr. O'Brien's board and committee services. Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 20:38 UTC |
Kamdar Kim P.Director
|
GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $6.05 | $0.00 |
DisclosureSEC source: 0000904454-19-000478 · edgar.xml · derivative · entry 1 Kamdar Kim P. · CIK 0001535065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-05 Read SEC document |
| May 22, 2019 Filed May 23, 2019 20:29 UTC |
Kamdar Kim P.Director
|
OtherCommon Stock | 4,287 | $0.00 | $0.00 |
DisclosureSEC source: 0000904454-19-000430 · edgar.xml · nonDerivative · entry 2 Kamdar Kim P. · CIK 0001535065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,287 F3 · kind: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members. F3 · price: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members. Read SEC document |
| May 21, 2019 Filed May 23, 2019 20:29 UTC |
Kamdar Kim P.Director
|
SaleCommon Stock | 655 | $5.07 | $3,320.85 |
DisclosureSEC source: 0000904454-19-000430 · edgar.xml · nonDerivative · entry 1 Kamdar Kim P. · CIK 0001535065 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Associates, LLC Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.073 to $5.074. 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 this footnote. F2 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by such entity, however, she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her. Read SEC document |
| April 10, 2019 Filed Apr 15, 2019 19:33 UTC |
Invesco Ltd.10% owner
|
OtherRight to Purchase · Derivative | 555,556 | $0.00 Strike: $6.38 | $55.56 |
DisclosureSEC source: 0001209191-19-024559 · doc4.xml · derivative · entry 2 Invesco Ltd. · CIK 0000914208 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,777,778 Underlying: Common Stock · 555,556 shares Expires not disclosed F1 · kind: On April 10, 2019, Invesco Ltd. entered into a Securities Purchase Agreement with the Issuer (the "Securities Purchase Agreement"), pursuant to which Invesco Ltd. has the right, until June 10, 2019, to purchase 2,222,222 shares of common stock at a purchase price of $4.50 per share and warrants to purchase an additional 555,556 shares of common stock at an exercise price equal to $6.38 per share. F4 · derivative.exercise_date: The warrants are exercisable six (6) months following the original issue date F5 · derivative.expiration_date: The warrants expire seven (7) years following the original issue date. F2 · balance_after: This number does not include the 212,765 warrants owned by Invesco Ltd. as of the date of this Form 4. Pursuant to the Securities Purchase Agreement, upon and subject to the second closing contemplated therein, Invesco Ltd. will surrender for cancellation warrants to purchase 212,765 shares of common stock existing and outstanding as of the date of the Securities Purchase Agreement. F3 · ownership.nature: Invesco Ltd. is the beneficial owner of 11,812,910 shares of common stock and warrants to purchase 212,765 common shares acquired by its affiliates, Invesco High Income Fund and Invesco Income Fund. Read SEC document |
| April 10, 2019 Filed Apr 15, 2019 19:33 UTC |
Invesco Ltd.10% owner
|
OtherRight to Purchase · Derivative | 2,222,222 | $0.00 Strike: $4.50 | $222.22 |
DisclosureSEC source: 0001209191-19-024559 · doc4.xml · derivative · entry 1 Invesco Ltd. · CIK 0000914208 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,777,778 Underlying: Common Stock · 2,222,222 shares Expires 2019-06-10 F1 · kind: On April 10, 2019, Invesco Ltd. entered into a Securities Purchase Agreement with the Issuer (the "Securities Purchase Agreement"), pursuant to which Invesco Ltd. has the right, until June 10, 2019, to purchase 2,222,222 shares of common stock at a purchase price of $4.50 per share and warrants to purchase an additional 555,556 shares of common stock at an exercise price equal to $6.38 per share. F2 · balance_after: This number does not include the 212,765 warrants owned by Invesco Ltd. as of the date of this Form 4. Pursuant to the Securities Purchase Agreement, upon and subject to the second closing contemplated therein, Invesco Ltd. will surrender for cancellation warrants to purchase 212,765 shares of common stock existing and outstanding as of the date of the Securities Purchase Agreement. F3 · ownership.nature: Invesco Ltd. is the beneficial owner of 11,812,910 shares of common stock and warrants to purchase 212,765 common shares acquired by its affiliates, Invesco High Income Fund and Invesco Income Fund. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 18:43 UTC |
File Justin J.Chief Financial Officer
|
Tax withholdingCommon Stock | 1,292 | $3.55 | $4,586.60 |
DisclosureSEC source: 0001618835-19-000050 · wf-form4_155433137081269.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,198 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on April 1, 2019. No shares were sold in connection with this transaction. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 18:39 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
Tax withholdingCommon Stock | 3,731 | $3.55 | $13,245.05 |
DisclosureSEC source: 0001618835-19-000045 · wf-form4_155433113300126.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 488,082 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on April 1, 2019. No shares were sold in connection with this transaction. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 18:40 UTC |
Lynch Thomas GDirector
|
GrantRestricted Stock Units · Derivative | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000047 · wf-form4_155433123601709.xml · derivative · entry 1 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires not disclosed 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 to be 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 |
| April 01, 2019 Filed Apr 3, 2019 18:42 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
Tax withholdingCommon Stock | 1,298 | $3.55 | $4,607.90 |
DisclosureSEC source: 0001618835-19-000049 · wf-form4_155433132454011.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,325 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on April 1, 2019. No shares were sold in connection with this transaction. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 22:41 UTC |
Culwell KellyChief Medical Officer
|
Tax withholdingCommon Stock | 1,022 | $3.55 | $3,628.10 |
DisclosureSEC source: 0001618835-19-000048 · wf-form4_155433127743033.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,963 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on April 1, 2019. No shares were sold in connection with this transaction. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 22:40 UTC |
Barrans RussellChief Commercial Officer
|
Tax withholdingCommon Stock | 1,160 | $3.55 | $4,118.00 |
DisclosureSEC source: 0001618835-19-000046 · wf-form4_155433119050577.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,381 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on April 1, 2019. No shares were sold in connection with this transaction. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 16:11 UTC |
File Justin J.Chief Financial Officer
|
GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000021 · wf-form4_155130188278594.xml · nonDerivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,490 F1 · kind: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2019. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 16:10 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000019 · wf-form4_155130182924120.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,623 F1 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2019. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 16:11 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000020 · wf-form4_155130185570707.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 491,813 F1 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2019. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:10 UTC |
Culwell KellyChief Medical Officer
|
GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000018 · wf-form4_155130180168119.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,985 F1 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2019. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:09 UTC |
Barrans RussellChief Commercial Officer
|
GrantCommon Stock | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001618835-19-000017 · wf-form4_155130177047358.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,541 F1 · shares: The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2019. Read SEC document |
| February 08, 2019 Filed Feb 12, 2019 21:05 UTC |
Invesco Ltd.10% owner
|
PurchaseWarrants · Derivative | 212,765 | $0.00 Strike: $5.20 | $21.28 |
DisclosureSEC source: 0001209191-19-009273 · doc4.xml · derivative · entry 2 Invesco Ltd. · CIK 0000914208 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · see footnote Disclosed balance after: 212,765 Underlying: Common Stock · 212,765 shares Expires 2026-02-08 F2 · derivative.exercise_date: The warrants are exercisable on the earlier of 08/08/2019, or following the date that the issuance of the warrants is approved by the stockholders of the Issuer. F1 · ownership.nature: Invesco Ltd. is the beneficial owner of 9,590,688 shares of common stock and warrants to purchase 212,765 common shares acquired by its affiliates, Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund. Read SEC document |
| February 08, 2019 Filed Feb 12, 2019 21:05 UTC |
Invesco Ltd.10% owner
|
PurchaseCommon stock | 425,531 | $2.64 | $1,123,401.84 |
DisclosureSEC source: 0001209191-19-009273 · doc4.xml · nonDerivative · entry 1 Invesco Ltd. · CIK 0000914208 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,590,688 F1 · ownership.nature: Invesco Ltd. is the beneficial owner of 9,590,688 shares of common stock and warrants to purchase 212,765 common shares acquired by its affiliates, Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 18:11 UTC |
File Justin J.Chief Financial Officer
|
GrantStock option (right to buy) · Derivative | 0 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000118 · wf-form4_154353305044025.xml · derivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,500 Underlying: Common Stock · 0 shares Expires 2028-11-28 F1 · 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 November 28, 2018. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 18:09 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
GrantStock option (right to buy) · Derivative | 0 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000115 · wf-form4_154353296123716.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,625 Underlying: Common Stock · 0 shares Expires 2028-11-28 F1 · 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 November 28, 2018. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 18:10 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
GrantStock option (right to buy) · Derivative | 0 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000117 · wf-form4_154353301888940.xml · derivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 0 shares Expires 2028-11-28 F1 · 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 November 28, 2018. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 23:10 UTC |
Culwell KellyChief Medical Officer
|
GrantCommon Stock · Derivative | 0 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000116 · wf-form4_154353298929720.xml · derivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 0 shares Expires 2028-11-28 F1 · 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 November 28, 2018. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 23:11 UTC |
Barrans RussellChief Commercial Officer
|
GrantStock option (right to buy) · Derivative | 0 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000119 · wf-form4_154353308271905.xml · derivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 0 shares Expires 2028-11-28 F1 · 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 November 28, 2018. Read SEC document |
| November 28, 2018 Filed Dec 3, 2018 12:50 UTC Amendment |
File Justin J.Chief Financial Officer
|
GrantStock option (right to buy) · Derivative | 103,500 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000128 · wf-form4a_154385943828394.xml · derivative · entry 1 File Justin J. · CIK 0001726277 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,500 Underlying: Common Stock · 103,500 shares Expires 2028-11-28 F1 · shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. 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 November 28, 2018. F1 · derivative.underlying_shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. Read SEC document |
| November 28, 2018 Filed Dec 3, 2018 12:50 UTC Amendment |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
GrantStock option (right to buy) · Derivative | 284,625 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000127 · wf-form4a_154385941410060.xml · derivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,625 Underlying: Common Stock · 284,625 shares Expires 2028-11-28 F1 · shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. 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 November 28, 2018. F1 · derivative.underlying_shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. Read SEC document |
| November 28, 2018 Filed Dec 3, 2018 12:51 UTC Amendment |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
GrantStock option (right to buy) · Derivative | 100,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000129 · wf-form4a_154385946011509.xml · derivative · entry 1 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 2028-11-28 F1 · shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. 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 November 28, 2018. F1 · derivative.underlying_shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. Read SEC document |
| November 28, 2018 Filed Dec 3, 2018 17:50 UTC Amendment |
Barrans RussellChief Commercial Officer
|
GrantStock option (right to buy) · Derivative | 100,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000126 · wf-form4a_154385938921133.xml · derivative · entry 1 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 2028-11-28 F1 · shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. 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 November 28, 2018. F1 · derivative.underlying_shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. Read SEC document |
| November 28, 2018 Filed Dec 3, 2018 17:49 UTC Amendment |
Culwell KellyChief Medical Officer
|
GrantCommon Stock · Derivative | 100,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001618835-18-000125 · wf-form4a_154385936577343.xml · derivative · entry 1 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 2028-11-28 F1 · shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. 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 November 28, 2018. F1 · derivative.underlying_shares: The original Form 4, filed on November 29, 2018, is being amended to update the number of shares reported in Column 5(A) and Column 7 of Table II. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 20:07 UTC |
Barrans RussellChief Commercial Officer
|
PurchaseCommon Stock | 279 | $3.55 | $990.45 |
DisclosureSEC source: 0001618835-18-000109 · wf-form4_154326280693538.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for child's UTMA account Disclosed balance after: 12,820 F1 · ownership.nature: These securities were purchased by the reporting person as custodian for one minor child under the Uniform Transfers to Minors Act. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. Read SEC document |
| October 16, 2018 Filed Oct 17, 2018 12:43 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
Tax withholdingCommon Stock | 17,377 | $3.78 | $65,685.06 |
DisclosureSEC source: 0001618835-18-000092 · wf-form4_153979460163169.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,623 F1 · shares: Shares withheld by the Issuer to satisfy statutory tax withholding requirements upon vesting of restricted stock awards occurring on October 16, 2018. No shares were sold in connection with this transaction. Read SEC document |
| August 21, 2018 Filed Aug 21, 2018 16:06 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
PurchaseCommon Stock | 500 | $2.27 | $1,135.00 |
DisclosureSEC source: 0001618835-18-000090 · wf-form4_153488195492075.xml · nonDerivative · entry 2 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Read SEC document |
| August 20, 2018 Filed Aug 21, 2018 16:06 UTC |
Fitzpatrick Alexander AGeneral Counsel and Secretary
|
PurchaseCommon Stock | 4,500 | $2.20 | $9,900.00 |
DisclosureSEC source: 0001618835-18-000090 · wf-form4_153488195492075.xml · nonDerivative · entry 1 Fitzpatrick Alexander A · CIK 0001398595 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,500 Read SEC document |
| August 16, 2018 Filed Aug 20, 2018 22:25 UTC |
Culwell KellyChief Medical Officer
|
PurchaseCommon Stock | 3,000 | $2.24 | $6,720.00 |
DisclosureSEC source: 0001618835-18-000088 · wf-form4_153480391131224.xml · nonDerivative · entry 1 Culwell Kelly · CIK 0001726183 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,985 Read SEC document |
| August 15, 2018 Filed Aug 15, 2018 19:09 UTC |
Lynch Thomas GDirector
|
PurchaseCommon Stock | 68,929 | $2.33 | $160,604.57 |
DisclosureSEC source: 0001618835-18-000086 · wf-form4_153437456647358.xml · nonDerivative · entry 2 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.25 to $2.39, inclusive. The reporting person undertakes to provide to Evofem Biosciences, Inc. (Evofem), any security holder of Evofem, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| August 14, 2018 Filed Aug 15, 2018 19:09 UTC |
Lynch Thomas GDirector
|
PurchaseCommon Stock | 31,071 | $2.10 | $65,249.10 |
DisclosureSEC source: 0001618835-18-000086 · wf-form4_153437456647358.xml · nonDerivative · entry 1 Lynch Thomas G · CIK 0001360000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,071 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.098 to $2.10, inclusive. The reporting person undertakes to provide to Evofem Biosciences, Inc. (Evofem), any security holder of Evofem, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 18:48 UTC |
PELLETIER SAUNDRA LDirector · Chief Executive Officer
|
PurchaseCommon Stock | 10,000 | $2.11 | $21,100.00 |
DisclosureSEC source: 0001618835-18-000083 · wf-form4_153420048493947.xml · nonDerivative · entry 1 PELLETIER SAUNDRA L · CIK 0001251371 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 341,813 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.11 to $2.12, inclusive. The reporting person undertakes to provide to Evofem Biosciences, Inc. (Evofem), any security holder of Evofem, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 22:50 UTC |
Barrans RussellChief Commercial Officer
|
PurchaseCommon Stock | 3,715 | $1.98 | $7,355.70 |
DisclosureSEC source: 0001618835-18-000084 · wf-form4_153420063886225.xml · nonDerivative · entry 1 Barrans Russell · CIK 0001726184 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,541 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.