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 |
|---|---|---|---|---|---|---|
| January 01, 2021 Filed Apr 9, 2021 21:25 UTC |
Rowinsky Eric KDirector
|
GrantCommon Stock, par value $0.001 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-048831 · tm219139d7_4.xml · nonDerivative · entry 1 Rowinsky Eric K · CIK 0001318886 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 F1 · shares: Annual grant of restricted shares of Issuer stock to members of the Issuer's Board of Directors. One-third of the shares will vest on each January 1, 2022, 2023 and 2024, subject to continued service. Read SEC document |
| January 01, 2021 Filed Apr 9, 2021 21:24 UTC |
Lorenz KevinDirector
|
PurchaseCOMMON STOCK, PAR VALUE $0.001 | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-048828 · tm219139d5_4.xml · nonDerivative · entry 1 Lorenz Kevin · CIK 0001772558 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,582 F1 · shares: One-third of the shares will vest on each of January 1, 2022, 2023 and 2024, subject to continued service. Read SEC document |
| January 01, 2021 Filed Apr 9, 2021 21:22 UTC |
Hoenlein MalcolmDirector
|
GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-048824 · tm219139d2_4.xml · nonDerivative · entry 1 Hoenlein Malcolm · CIK 0001294517 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 435,000 F1 · shares: One-third of the shares will vest on each of January 1, 2022, 2023 and 2024, subject to continued service. The reporting person elected to defer 100% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. F2 · balance_after: The total holdings include 350,000 shares underlying deferred restricted stock units. Read SEC document |
| January 01, 2021 Filed Apr 9, 2021 21:21 UTC |
Harvey JimmieDirector
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-048821 · tm219139d1_4.xml · nonDerivative · entry 1 Harvey Jimmie · CIK 0001529687 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 F1 · shares: One-third of the shares will vest on each of January 1, 2022, 2023 and 2024, subject to continued service. The reporting person elected to defer 100% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. F2 · balance_after: The total holdings include 700,000 shares of deferred restricted stock. Read SEC document |
| December 01, 2020 Filed Apr 9, 2021 21:24 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT, CEO & CHAIRMAN · 10% owner
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 1,250 | $2.34 | $2,925.00 |
DisclosureSEC source: 0001104659-21-048830 · tm219139d6_4.xml · nonDerivative · entry 2 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,376,700 F1 · shares: Shares acquired as purchases made under the Issuer's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period. Read SEC document |
| September 22, 2020 Filed Sep 25, 2020 22:37 UTC |
Hunter RobynChief Financial Officer
|
SaleCommon Stock, par value $0.001 | 28,450 | $4.38 | $124,611.00 |
DisclosureSEC source: 0001104659-20-109014 · tm2031853-1_4.xml · nonDerivative · entry 1 Hunter Robyn · CIK 0001713932 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,169 F1 · shares: In connection with the vesting of 62,500 shares on September 18, 2020, a total of 28,450 of such shares were sold by the Issuer in order to satisfy the Reporting Person's tax withholding obligations. The Reporting Person had no discretion with respect to such sale, which was conducted automatically in accordance with the Issuer's corporate policies. F2 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on September 22, 2020, was $4.36 to $4.41. The Reporting Person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the Issuer, or a shareholder of the Issuer, full information regarding the number of shares sold at each separate price F3 · balance_after: Of the 192,169 shares, 62,500 shares are restricted stock units. Read SEC document |
| August 26, 2020 Filed Sep 1, 2020 12:32 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT, CEO & CHAIRMAN · 10% owner
|
PurchaseSERIES A CUMULATIVE PERPETUAL PREFERRED STOCK | 52,500 | $18.00 | $945,000.00 |
DisclosureSEC source: 0001104659-20-101100 · tm2029961-1_4.xml · nonDerivative · entry 1 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,500 Read SEC document |
| August 26, 2020 Filed Sep 1, 2020 12:34 UTC |
Hoenlein MalcolmDirector
|
PurchaseSERIES A CUMULATIVE PERPETUAL PREFERRED STOCK | 16,667 | $18.00 | $300,006.00 |
DisclosureSEC source: 0001104659-20-101102 · tm2029961-2_4.xml · nonDerivative · entry 1 Hoenlein Malcolm · CIK 0001294517 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Read SEC document |
| June 01, 2020 Filed Apr 9, 2021 21:24 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT, CEO & CHAIRMAN · 10% owner
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 1,602 | $1.69 | $2,707.38 |
DisclosureSEC source: 0001104659-21-048830 · tm219139d6_4.xml · nonDerivative · entry 1 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,375,450 F1 · shares: Shares acquired as purchases made under the Issuer's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period. Read SEC document |
| January 01, 2020 Filed Mar 13, 2020 20:08 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT, CEO & CHAIRMAN · 10% owner
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 801,536 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-033116 · tm2011481-6_form4.xml · nonDerivative · entry 3 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,373,848 F2 · shares: The Reporting Person was granted 801,536 restricted shares pursuant to the Issuer's Long Term Incentive Plan on January 1, 2020. Read SEC document |
| January 01, 2020 Filed Mar 13, 2020 16:08 UTC |
WEISS MICHAEL SDirector · EXECUTIVE VICE CHAIRMAN · 10% owner
|
GrantCommon Stock | 801,536 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-033118 · tm2011481-8_form4.xml · nonDerivative · entry 1 WEISS MICHAEL S · CIK 0001038977 · Director · EXECUTIVE VICE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,201,811 F1 · shares: The Reporting Person was granted 801,536 restricted shares pursuant to the Issuer's Long Term Incentive Plan on January 1, 2020. Read SEC document |
| January 01, 2020 Filed Mar 13, 2020 16:07 UTC |
LOBELL J JAYDirector
|
GrantCommon Stock, par value $0.001 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-033113 · tm2011481-4_form4.xml · nonDerivative · entry 1 LOBELL J JAY · CIK 0001172659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,036,000 F1 · shares: One-third of the shares will vest on each of January 1, 2021, 2022 and 2023, subject to continued service. Read SEC document |
| January 01, 2020 Filed Mar 13, 2020 16:07 UTC |
Klein DovDirector
|
GrantCommon Stock, par value $0.001 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-033110 · tm2011481-3_form4.xml · nonDerivative · entry 1 Klein Dov · CIK 0001647971 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 555,000 F1 · shares: One-third of the shares will vest on each January 1, 2021, 2022 and 2023, subject to continued service. The reporting person elected to defer 80,000 of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. F2 · balance_after: The total holdings include 53,332 shares underlying deferred restricted stock units that were previously reported in Table II. Read SEC document |
| January 01, 2020 Filed Mar 13, 2020 20:06 UTC |
Hoenlein MalcolmDirector
|
GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-033109 · tm2011481-2_form4.xml · nonDerivative · entry 1 Hoenlein Malcolm · CIK 0001294517 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,000 F1 · shares: One-third of the shares will vest on each January 1, 2021, 2022 and 2023, subject to continued service. The reporting person elected to defer 100% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. F2 · balance_after: The total holdings include 250,000 shares underlying deferred restricted stock units. Read SEC document |
| January 01, 2020 Filed Mar 13, 2020 20:08 UTC |
Rowinsky Eric KDirector
|
GrantCommon Stock, par value $0.001 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-033117 · tm2011481-7_form4.xml · nonDerivative · entry 1 Rowinsky Eric K · CIK 0001318886 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,000 F1 · shares: One-third of the shares will vest on each of January 1, 2021, 2022, and 2023, subject to continued service. Read SEC document |
| January 01, 2020 Filed Mar 13, 2020 20:07 UTC |
Lorenz KevinDirector
|
PurchaseCOMMON STOCK, PAR VALUE $0.001 | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-033114 · tm2011481-5_form4.xml · nonDerivative · entry 1 Lorenz Kevin · CIK 0001772558 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,582 F1 · shares: One-third of the shares will vest on each of January 1, 2021, 2022 and 2023, subject to continued service. F2 · balance_after: Includes 34,582 shares owned by Mr. Lorenz prior to his appointment to the Company's board in August 2019. Read SEC document |
| January 01, 2020 Filed Mar 13, 2020 20:06 UTC |
Harvey JimmieDirector
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-033108 · tm2011481-1_form4.xml · nonDerivative · entry 1 Harvey Jimmie · CIK 0001529687 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,000 F1 · shares: One-third of the shares will vest on each January 1, 2021, 2022 and 2023, subject to continued service. The reporting person elected to defer 80% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. F2 · balance_after: The total holdings include 150,000 shares underlying deferred restricted stock units that were previously reported in Table II. Read SEC document |
| December 01, 2019 Filed Mar 13, 2020 20:08 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT, CEO & CHAIRMAN · 10% owner
|
PurchaseCOMMON STOCK, PAR VALUE $0.001 | 1,123 | $2.06 | $2,313.38 |
DisclosureSEC source: 0001104659-20-033116 · tm2011481-6_form4.xml · nonDerivative · entry 2 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,572,312 F1 · shares: Shares acquired as purchases made under the Issuer's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period. Read SEC document |
| July 18, 2019 Filed Jul 19, 2019 11:00 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT, CEO & CHAIRMAN · 10% owner
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 396,825 | $1.26 | $499,999.50 |
DisclosureSEC source: 0001144204-19-035107 · tv525484_4.xml · nonDerivative · entry 1 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,569,722 F1 · kind: Shares acquired as a result of prepayment of debt owed to Dr. Rosenwald that was held in the name of Opus Point Healthcare Innovations Fund, LP ("Opus"), an investment fund co-owned by Dr. Rosenwald, in the form of the Company's common stock (measured at the closing price on July 18, 2019), under that certain Amended & Restated Credit Facility Agreement, dated as of March 12, 2018, by and between the Company and Opus. F1 · shares: Shares acquired as a result of prepayment of debt owed to Dr. Rosenwald that was held in the name of Opus Point Healthcare Innovations Fund, LP ("Opus"), an investment fund co-owned by Dr. Rosenwald, in the form of the Company's common stock (measured at the closing price on July 18, 2019), under that certain Amended & Restated Credit Facility Agreement, dated as of March 12, 2018, by and between the Company and Opus. F1 · price: Shares acquired as a result of prepayment of debt owed to Dr. Rosenwald that was held in the name of Opus Point Healthcare Innovations Fund, LP ("Opus"), an investment fund co-owned by Dr. Rosenwald, in the form of the Company's common stock (measured at the closing price on July 18, 2019), under that certain Amended & Restated Credit Facility Agreement, dated as of March 12, 2018, by and between the Company and Opus. Read SEC document |
| June 03, 2019 Filed Dec 31, 2019 21:02 UTC |
Hunter RobynChief Financial Officer
|
PurchaseCommon Stock, par value $0.001 | 2,297 | $1.10 | $2,526.70 |
DisclosureSEC source: 0001104659-19-077302 · tv530055_form4.xml · nonDerivative · entry 1 Hunter Robyn · CIK 0001713932 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,619 F1 · shares: Shares acquired as purchases made under the Company's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period. F2 · balance_after: Does not include 21,437 shares automatically sold by the Company's plan administrator to cover taxes due upon vesting of certain shares. F3 · balance_after: Of the 220,619 shares, 125,000 shares are restricted stock units. Read SEC document |
| June 03, 2019 Filed Mar 13, 2020 20:08 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT, CEO & CHAIRMAN · 10% owner
|
PurchaseCOMMON STOCK, PAR VALUE $0.001 | 1,467 | $1.10 | $1,613.70 |
DisclosureSEC source: 0001104659-20-033116 · tm2011481-6_form4.xml · nonDerivative · entry 1 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,571,189 F1 · shares: Shares acquired as purchases made under the Issuer's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period. Read SEC document |
| April 17, 2019 Filed Jul 9, 2019 20:01 UTC Amendment |
Avgerinos GeorgeSVP, BIOLOGICS OPERATIONS
|
GrantOptions to purchase Common Stock · Derivative | 200,000 | $0.00 Strike: $9.21 | $0.00 |
DisclosureSEC source: 0001144204-19-034107 · tv524928_form4a.xml · derivative · entry 2 Avgerinos George · CIK 0001578699 · SVP, BIOLOGICS OPERATIONS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2023-06-04 F2 · derivative.exercise_date: The options granted were fully vested on June 4, 2016. This grant was reinstated by the Issuer's Board of Directors on April 17, 2019. Read SEC document |
| January 01, 2019 Filed Apr 12, 2019 20:10 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT AND CEO · 10% owner
|
GrantCommon Stock | 648,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019499 · tv516220_4.xml · nonDerivative · entry 4 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,172,897 F1 · shares: The Reporting Person was granted 586,428, 164,473 and 648,204 restricted shares pursuant to the Company's Long Term Incentive Plan on January 1, 2018, July 3, 2018 and January 1, 2019, respectively. Read SEC document |
| January 01, 2019 Filed Apr 12, 2019 16:11 UTC |
WEISS MICHAEL SDirector · EXECUTIVE VICE CHAIRMAN · 10% owner
|
GrantCommon Stock | 648,204 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019502 · tv516222_4.xml · nonDerivative · entry 3 WEISS MICHAEL S · CIK 0001038977 · Director · EXECUTIVE VICE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,400,275 F1 · shares: The Reporting Person was granted 586,428, 164,473 and 648,204 restricted shares pursuant to the Company's Long Term Incentive Plan on January 1, 2018, July 3, 2018 and January 1, 2019, respectively. Read SEC document |
| January 01, 2019 Filed Apr 12, 2019 16:09 UTC |
LOBELL J JAYDirector
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019497 · tv516219_4.xml · nonDerivative · entry 1 LOBELL J JAY · CIK 0001172659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 936,000 F1 · shares: One-third of the shares will vest on each of January 1, 2020, 2021 and 2022, subject to continued service. Read SEC document |
| January 01, 2019 Filed Apr 12, 2019 16:10 UTC |
Klein DovDirector
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019500 · tv516221_4.xml · nonDerivative · entry 3 Klein Dov · CIK 0001647971 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 455,000 F3 · shares: One-third of the shares will vest on each January 1, 2020, 2021 and 2022, subject to continued service. The reporting person elected to defer 80,000 of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. Read SEC document |
| January 01, 2019 Filed Apr 12, 2019 20:09 UTC |
Hoenlein MalcolmDirector
|
GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019495 · tv516218_4.xml · nonDerivative · entry 1 Hoenlein Malcolm · CIK 0001294517 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,000 F1 · shares: One-third of the shares will vest on each January 1, 2020, 2021 and 2022, subject to continued service. The reporting person elected to defer 100% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. F2 · balance_after: The total holdings include 250,000 shares underlying deferred restricted stock units. Read SEC document |
| January 01, 2019 Filed Apr 12, 2019 20:08 UTC |
Harvey JimmieDirector
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019494 · tv516217_4.xml · nonDerivative · entry 1 Harvey Jimmie · CIK 0001529687 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550,000 F1 · shares: One-third of the shares will vest on each January 1, 2020, 2021 and 2022, subject to continued service. The reporting person elected to defer 100% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. F2 · balance_after: The total holdings include 150,000 shares underlying deferred restricted stock units that were previously reported in Table II. Read SEC document |
| January 01, 2019 Filed Apr 12, 2019 20:08 UTC |
Rowinsky Eric KDirector
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019493 · tv516216_4.xml · nonDerivative · entry 1 Rowinsky Eric K · CIK 0001318886 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550,000 F1 · shares: One-third of the shares will vest on each of January 1, 2020, 2021, and 2022, subject to continued service. Read SEC document |
| December 11, 2018 Filed Dec 13, 2018 23:10 UTC |
Avgerinos GeorgeSVP, BIOLOGICS OPERATIONS
|
SaleCOMMON STOCK, PAR VALUE $0.001 | 97,325 | $1.05 | $102,191.25 |
DisclosureSEC source: 0001144204-18-064511 · tv509132_form4.xml · nonDerivative · entry 1 Avgerinos George · CIK 0001578699 · SVP, BIOLOGICS OPERATIONS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,170 F1 · shares: The Reporting Person had no discretion with respect to such sale, which was conducted automatically by the Issuer's administrator in order to satisfy the reporting person's tax withholding obligations. F2 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one dollar price range. The range of prices for the sale transactions on December 11, 2018, was $1.03 to $1.10. The Reporting Person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the Issuer, or a shareholder of the Issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| December 11, 2018 Filed Jul 9, 2019 20:01 UTC Amendment |
Avgerinos GeorgeSVP, BIOLOGICS OPERATIONS
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 400,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-034107 · tv524928_form4a.xml · nonDerivative · entry 1 Avgerinos George · CIK 0001578699 · SVP, BIOLOGICS OPERATIONS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 655,170 F1 · shares: 400,000 shares of the Issuer's common stock owned by the Reporting Person vested on December 11, 2018, triggering the sale of 97,325 shares of the Issuer's common stock as reported on the Form 4, filed on December 13, 2018 (the "Original Form 4"). The 400,000 shares of the Issuer's common stock were inadvertently omitted from the Original Form 4. Read SEC document |
| December 01, 2018 Filed Apr 12, 2019 20:10 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT AND CEO · 10% owner
|
GrantCommon Stock | 1,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019499 · tv516220_4.xml · nonDerivative · entry 3 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,524,693 F3 · shares: Shares were acquired pursuant to the Company's Employee Stock Purchase Plan. Read SEC document |
| November 23, 2018 Filed Nov 30, 2018 22:26 UTC |
Hunter RobynChief Financial Officer
|
SaleCommon Stock | 20,370 | $1.29 | $26,277.30 |
DisclosureSEC source: 0001144204-18-062675 · tv507899_4.xml · nonDerivative · entry 1 Hunter Robyn · CIK 0001713932 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,759 F1 · shares: In connection with the vesting of 62,500 shares on November 20, 2018, a total of 20,370 of such shares were sold by the Company in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies. F2 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The range of prices for the sale transactions on November 23, 2018, was $1.28 to $1.34. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F3 · balance_after: Of the 239,759 shares, 187,500 shares are restricted stock units. Read SEC document |
| July 03, 2018 Filed Apr 12, 2019 20:10 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT AND CEO · 10% owner
|
GrantCommon Stock | 164,473 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019499 · tv516220_4.xml · nonDerivative · entry 2 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,523,179 F1 · shares: The Reporting Person was granted 586,428, 164,473 and 648,204 restricted shares pursuant to the Company's Long Term Incentive Plan on January 1, 2018, July 3, 2018 and January 1, 2019, respectively. Read SEC document |
| July 03, 2018 Filed Apr 12, 2019 16:11 UTC |
WEISS MICHAEL SDirector · EXECUTIVE VICE CHAIRMAN · 10% owner
|
GrantCommon Stock | 164,473 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019502 · tv516222_4.xml · nonDerivative · entry 2 WEISS MICHAEL S · CIK 0001038977 · Director · EXECUTIVE VICE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,752,071 F1 · shares: The Reporting Person was granted 586,428, 164,473 and 648,204 restricted shares pursuant to the Company's Long Term Incentive Plan on January 1, 2018, July 3, 2018 and January 1, 2019, respectively. Read SEC document |
| January 01, 2018 Filed Nov 30, 2018 17:28 UTC |
LOBELL J JAYDirector
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-062678 · tv495940_4.xml · nonDerivative · entry 1 LOBELL J JAY · CIK 0001172659 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 786,000 F1 · shares: One-third of the shares will vest on each of January 1, 2019, 2020, and 2021, subject to continued service. Read SEC document |
| January 01, 2018 Filed Nov 30, 2018 22:30 UTC |
Hoenlein MalcolmDirector
|
GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-062682 · tv495938_4.xml · nonDerivative · entry 1 Hoenlein Malcolm · CIK 0001294517 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,000 F1 · shares: One-third of the shares will vest on each January 1, 2019, 2020 and 2021, subject to continued service. The reporting person elected to defer 100% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer. F2 · balance_after: The total holdings include 50,000 shares underlying deferred share units that were previously reported in Table II. Read SEC document |
| January 01, 2018 Filed Nov 30, 2018 22:27 UTC |
Rowinsky Eric KDirector
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-062676 · tv495942_4.xml · nonDerivative · entry 1 Rowinsky Eric K · CIK 0001318886 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,000 F1 · shares: One-third of the shares will vest on each of January 1, 2019, 2020, and 2021, subject to continued service. Read SEC document |
| January 01, 2018 Filed Nov 30, 2018 22:29 UTC |
Harvey JimmieDirector
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-062680 · tv495937_4.xml · nonDerivative · entry 1 Harvey Jimmie · CIK 0001529687 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,000 F1 · shares: One-third of the shares will vest on each of January 1, 2019, 2020, and 2021, subject to continued service. The reporting person elected to defer these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred share units will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or a change in control. F2 · balance_after: The total holdings include 150,000 shares underlying deferred share units that were previously reported in Table II. Read SEC document |
| January 01, 2018 Filed Apr 12, 2019 20:10 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT AND CEO · 10% owner
|
GrantCommon Stock | 586,428 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019499 · tv516220_4.xml · nonDerivative · entry 1 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT AND CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,358,706 F1 · shares: The Reporting Person was granted 586,428, 164,473 and 648,204 restricted shares pursuant to the Company's Long Term Incentive Plan on January 1, 2018, July 3, 2018 and January 1, 2019, respectively. F2 · balance_after: Includes 1,346 shares acquired pursuant to the Company's Employee Stock Purchase Plan. Read SEC document |
| January 01, 2018 Filed Apr 12, 2019 16:11 UTC |
WEISS MICHAEL SDirector · EXECUTIVE VICE CHAIRMAN · 10% owner
|
GrantCommon Stock | 586,428 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019502 · tv516222_4.xml · nonDerivative · entry 1 WEISS MICHAEL S · CIK 0001038977 · Director · EXECUTIVE VICE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,587,598 F1 · shares: The Reporting Person was granted 586,428, 164,473 and 648,204 restricted shares pursuant to the Company's Long Term Incentive Plan on January 1, 2018, July 3, 2018 and January 1, 2019, respectively. Read SEC document |
| January 01, 2018 Filed Apr 12, 2019 16:10 UTC |
Klein DovDirector
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-019500 · tv516221_4.xml · nonDerivative · entry 1 Klein Dov · CIK 0001647971 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 355,000 F1 · shares: One-third of the shares will vest on each of January 1, 2019, 2020, and 2021, subject to continued service. The reporting person elected to defer 80,000 of these shares pursuant to the issuer's Deferred Compensation Plan for Directors. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or a change in control F2 · balance_after: The total holdings include 53,332 shares underlying deferred restricted stock units that were previously reported in Table II. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 23:46 UTC |
Avgerinos GeorgeSVP, BIOLOGICS OPERATIONS
|
SaleCOMMON STOCK, PAR VALUE $0.001 | 12,000 | $3.55 | $42,600.00 |
DisclosureSEC source: 0001144204-17-064182 · tv481629_form4.xml · nonDerivative · entry 1 Avgerinos George · CIK 0001578699 · SVP, BIOLOGICS OPERATIONS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 352,495 F1 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The range of prices for the sale transactions on December 14, 2017, was $3.53 to $3.68. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| December 13, 2017 Filed Dec 15, 2017 01:18 UTC |
Avgerinos GeorgeSVP, BIOLOGICS OPERATIONS
|
SaleCOMMON STOCK, PAR VALUE $0.001 | 19,000 | $3.57 | $67,830.00 |
DisclosureSEC source: 0001144204-17-063792 · tv481449_form4.xml · nonDerivative · entry 3 Avgerinos George · CIK 0001578699 · SVP, BIOLOGICS OPERATIONS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364,495 F2 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The range of prices for the sale transactions on December 12, 2017, was $3.53 to $3.72, and the range of prices for the sale transactions on December 13, 2017, was $3.55 to $3.63. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| December 12, 2017 Filed Dec 15, 2017 01:18 UTC |
Avgerinos GeorgeSVP, BIOLOGICS OPERATIONS
|
SaleCOMMON STOCK, PAR VALUE $0.001 | 25,593 | $3.59 | $91,878.87 |
DisclosureSEC source: 0001144204-17-063792 · tv481449_form4.xml · nonDerivative · entry 2 Avgerinos George · CIK 0001578699 · SVP, BIOLOGICS OPERATIONS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,495 F2 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one dollar price range. The range of prices for the sale transactions on December 12, 2017, was $3.53 to $3.72, and the range of prices for the sale transactions on December 13, 2017, was $3.55 to $3.63. The reporting person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 29, 2017 Filed Dec 15, 2017 01:18 UTC |
Avgerinos GeorgeSVP, BIOLOGICS OPERATIONS
|
GrantCOMMON STOCK, PAR VALUE $0.001 | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-063792 · tv481449_form4.xml · nonDerivative · entry 1 Avgerinos George · CIK 0001578699 · SVP, BIOLOGICS OPERATIONS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,088 F1 · shares: Represents shares of common stock issued to the Reporting Person upon the partial vesting of an award of restricted stock units initially made on July 15, 2015. Read SEC document |
| November 06, 2017 Filed Nov 8, 2017 23:02 UTC |
ROSENWALD LINDSAY A MDDirector · PRESIDENT, CEO · 10% owner
|
PurchaseSERIES A CUMULATIVE REDEEMABLE PERPETUAL PREFERRED STOCK | 40,000 | $25.00 | $1,000,000.00 |
DisclosureSEC source: 0001144204-17-057351 · tv478998_form4.xml · nonDerivative · entry 1 ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Read SEC document |
| July 14, 2017 Filed Jul 21, 2017 16:13 UTC |
Klein DovDirector
|
GrantDeferred Restricted Stock Units · Derivative | 13,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000721 · doc4_4850.xml · derivative · entry 3 Klein Dov · CIK 0001647971 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,332 Underlying: Common Stock · 13,333 shares Expires not disclosed F1 · derivative.exercise_price: The Reporting Person was granted 50,000 shares of restricted common stock of the Issuer in July 2015 for his service on the Issuer's Board of Directors. The shares vest one-third annually beginning on July 15, 2016. The Reporting Person deferred the receipt of 80% of the vested shares on July 14, 2017 and instead received 13,333 shares of deferred restricted stock units pursuant to the Issuer's Deferred Compensation Plan for Directors (the "Plan"). As a result, the Reporting Person is reporting the disposition of 13,333 shares of Issuer common stock in exchange for an equal number of deferred restricted stock units. F1 · price: The Reporting Person was granted 50,000 shares of restricted common stock of the Issuer in July 2015 for his service on the Issuer's Board of Directors. The shares vest one-third annually beginning on July 15, 2016. The Reporting Person deferred the receipt of 80% of the vested shares on July 14, 2017 and instead received 13,333 shares of deferred restricted stock units pursuant to the Issuer's Deferred Compensation Plan for Directors (the "Plan"). As a result, the Reporting Person is reporting the disposition of 13,333 shares of Issuer common stock in exchange for an equal number of deferred restricted stock units. F2 · derivative.exercise_date: Each deferred restricted stock unit will be settled in one share of the Issuer's common stock at the time and in the manner set forth in the Plan. F2 · derivative.expiration_date: Each deferred restricted stock unit will be settled in one share of the Issuer's common stock at the time and in the manner set forth in the Plan. Read SEC document |
| July 14, 2017 Filed Jul 21, 2017 16:13 UTC |
Klein DovDirector
|
Disposition to issuerCommon Stock, par value $0.001 | 13,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000721 · doc4_4850.xml · nonDerivative · entry 1 Klein Dov · CIK 0001647971 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,668 F1 · price: The Reporting Person was granted 50,000 shares of restricted common stock of the Issuer in July 2015 for his service on the Issuer's Board of Directors. The shares vest one-third annually beginning on July 15, 2016. The Reporting Person deferred the receipt of 80% of the vested shares on July 14, 2017 and instead received 13,333 shares of deferred restricted stock units pursuant to the Issuer's Deferred Compensation Plan for Directors (the "Plan"). As a result, the Reporting Person is reporting the disposition of 13,333 shares of Issuer common stock in exchange for an equal number of deferred restricted stock units. Read SEC document |
| March 10, 2017 Filed Jul 21, 2017 20:11 UTC |
Hoenlein MalcolmDirector
|
GrantDeferred Restricted Stock Units · Derivative | 16,666 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000720 · doc4_4609.xml · derivative · entry 2 Hoenlein Malcolm · CIK 0001294517 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,998 Underlying: Common Stock · 16,666 shares Expires not disclosed F1 · derivative.exercise_price: The Reporting Person was granted restricted stock units ("RSUs") for service as a director in 2015, vesting one-third annually beginning on March 12, 2016. The Reporting Person deferred receipt of all the common stock upon the vesting of the RSUs under the Issuer's Deferred Compensation Plan for Directors (the "Plan"). Each deferred RSU that has vested will be settled in one share of the Issuer's common stock at the time and in the manner set forth in the Plan. F2 · price: Upon the vesting of RSUs, the Reporting Person deferred the receipt of 16,666 shares of common stock and received instead 16,666 shares of deferred RSUs. Page F1 · derivative.exercise_date: The Reporting Person was granted restricted stock units ("RSUs") for service as a director in 2015, vesting one-third annually beginning on March 12, 2016. The Reporting Person deferred receipt of all the common stock upon the vesting of the RSUs under the Issuer's Deferred Compensation Plan for Directors (the "Plan"). Each deferred RSU that has vested will be settled in one share of the Issuer's common stock at the time and in the manner set forth in the Plan. F1 · derivative.expiration_date: The Reporting Person was granted restricted stock units ("RSUs") for service as a director in 2015, vesting one-third annually beginning on March 12, 2016. The Reporting Person deferred receipt of all the common stock upon the vesting of the RSUs under the Issuer's Deferred Compensation Plan for Directors (the "Plan"). Each deferred RSU that has vested will be settled in one share of the Issuer's common stock at the time and in the manner set forth in the Plan. 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.