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Nasdaq · USD

FENC

FENNEC PHARMACEUTICALS INC.

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5601
SEC CIK
0001211583
Parsed reports
281

Last 12 months

Inside the activity.

0 purchase rows · 19 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202504
Dec 202502
Jan 202601
Feb 202601
Mar 202601
Apr 202601
May 202602
Jun 202601
Jul 202601
Aug 202603
Sep 202602
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 16, 2024 Filed May 21, 2024 21:05 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
GrantRestricted Share Unit · Derivative 100,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-24-013982 · form4-05212024_050506.xml · derivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,855,902

Underlying: Common shares · 100,000 shares

Expires 2034-05-16

F3 · security: 1. On May 16, 2024, Rostislav Raykov was awarded restricted share units to receive 100,000 shares of the Issuer's common shares pursuant to the Issuer's 2020 Equity Incentive Plan.

F4 · derivative.exercise_date: 1/3 of the shares subject to this award shall be released from restriction as of May 16, 2025 (the "Vesting Commencement Date"). 1/24 of the award shall be released from restriction as of the last day of each month following the Vesting Commencement Date. As of April 30, 2027 and thereafter, 100% of the total number of shares subject to this award shall be released.

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May 16, 2024 Filed May 21, 2024 21:05 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
GrantStock Option · Derivative 200,000 $0.00 Strike: $7.12 $0.00
Disclosure

SEC source: 0001415889-24-013982 · form4-05212024_050506.xml · derivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,755,902

Underlying: Common shares · 200,000 shares

Expires 2034-05-16

F1 · security: On May 16, 2024, Rostislav Raykov was granted incentive stock options to purchase 200,000 shares of the Issuer's common shares pursuant to the Issuer's 2020 Equity Incentive Plan.

F2 · derivative.exercise_date: 1/3 of the shares subject to this grant shall vest as of May 16, 2025 (the "Vesting Commencement Date"). 1/24 of the grant shall vest as of the last day of each month following the Vesting Commencement Date. As of April 30, 2027 and thereafter, 100% of the total number of shares subject to this grant shall be vested.

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May 16, 2024 Filed May 21, 2024 21:05 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
GrantRestricted Share Unit (right to receive value of a share) · Derivative 50,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-24-013981 · form4-05212024_050503.xml · derivative · entry 2

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 778,958

Underlying: Common Shares · 50,000 shares

Expires 2034-05-16

F3 · security: On May 16, 2024, Robert Andrade was awarded restricted share units to acquire 50,000 shares of the issuers common shares pursuant to the Issuer's 2020 Equity Incentive Plan.

F4 · derivative.exercise_date: One-third of the shares subject to this award may be released from restriction as of May 16, 2025 ("Vesting Commencement Date"). One twenty-fourth of the shares subject to this award shall be released from restriction as of the last day of each month following the Vesting Commencement Date. As of April 30, 2027, 100% of the total number of shares subject to this award shall be releaseed.

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May 16, 2024 Filed May 21, 2024 21:05 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $7.12 $0.00
Disclosure

SEC source: 0001415889-24-013981 · form4-05212024_050503.xml · derivative · entry 1

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 728,958

Underlying: Common Shares · 100,000 shares

Expires 2034-05-16

F1 · security: On May 16, 2024, Robert Andrade was granted incentive stock options to purchase 100,000 shares of the issuers common shares pursuant to the Issuer's 2020 Equity Incentive Plan.

F2 · derivative.exercise_date: One-third of the shares subject to this option may be exercised as of May 16, 2025 ("Vesting Commencement Date"). One twenty-fourth of the shares subject to this option shall vest and may be exercised as of the last day of each month following the Vesting Commencement Date. As of April 30, 2027, 100% of the total number of shares subject to this option shall be vested.

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May 16, 2024 Filed May 21, 2024 21:05 UTC
Haigh AdrianCHIEF OPERATING OFFICER
GrantRestricted Shste Unit · Derivative 25,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-24-013983 · form4-05212024_050508.xml · derivative · entry 2

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 435,246

Underlying: Common Shares · 25,000 shares

Expires 2034-05-16

F3 · security: On May 16, 2024, Adrina Haigh was awarded restricted share units to acquire 25,000 shares of the issuer's common shares pursuant to the issuer's 2020 Equity Incentive Plan

F4 · derivative.exercise_date: One-third of the shares subject to this award shall be released from restriction as of May 16, 2025 (the "Vesting Commencement Date"). One twenty-fourth of the shares subject to this award may be released from restriction as of the last day of each month following the Vesting Commencement Date. As of April 30, 2027 and thereafter, 100% of the total number of shares subject to this award shall be released from restriction..

Read SEC document
May 16, 2024 Filed May 21, 2024 21:05 UTC
Haigh AdrianCHIEF OPERATING OFFICER
GrantStock Option · Derivative 50,000 $0.00 Strike: $7.12 $0.00
Disclosure

SEC source: 0001415889-24-013983 · form4-05212024_050508.xml · derivative · entry 1

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 410,246

Underlying: Common Shares · 50,000 shares

Expires 2034-05-16

F1 · security: On May 16, 2024, Adrian Haigh was granted incentive stock options to purchase 50,000 shares of the issuer's common shares pursuant to the issuer's 2020 Equity Incentive Plan.

F2 · derivative.exercise_date: 2. One-third of the shares subject to this option may be exercised as of May 16, 2025 (the "Vesting Commencement Date"). One twenty-fourth of the shares subject to this option may be exercised as of the last day of each month following the Vesting Commencement Date. As of April 30, 2027 and thereafter, 100% of the total number of shares subject to this option shall be vested.

Read SEC document
May 01, 2024 Filed May 2, 2024 20:59 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 2,431 $9.11 $22,152.00
Disclosure

SEC source: 0001415889-24-012016 · form4-05022024_080559.xml · nonDerivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 187,471

F2 · security: Represents shares sold pursuant to a 10b5-1 plan dated December 14, 2023.

Read SEC document
April 30, 2024 Filed May 2, 2024 20:59 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
GrantCommon shares 2,431 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-012016 · form4-05022024_080559.xml · nonDerivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 189,902

F1 · security: Represents release of restriction from shares awarded 3-31-2023

Read SEC document
April 30, 2024 Filed May 2, 2024 21:03 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
GrantCommon shares 1,042 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-012018 · form4-05022024_090505.xml · nonDerivative · entry 1

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,313

F1 · security: Represents shares released from restriction from shares awarded 3-31-2023.

Read SEC document
April 22, 2024 Filed Apr 22, 2024 23:34 UTC
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionOption · Derivative 22,223 $2.31 Strike: $2.31 $51,335.13
Disclosure

SEC source: 0001415889-24-011336 · form4-04222024_110404.xml · derivative · entry 6

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 360,246

Underlying: Common Shares · 22,223 shares

Expires 2024-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: Represents option exercise pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 22, 2024 Filed Apr 22, 2024 23:34 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,223 $9.32 $207,029.47
Disclosure

SEC source: 0001415889-24-011336 · form4-04222024_110404.xml · nonDerivative · entry 4

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F4 · security: Shares disposed pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 22, 2024 Filed Apr 22, 2024 23:34 UTC
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares 22,223 $2.31 $51,335.13
Disclosure

SEC source: 0001415889-24-011336 · form4-04222024_110404.xml · nonDerivative · entry 3

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,223

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.

F3 · security: Shares acquired pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 19, 2024 Filed Apr 22, 2024 23:34 UTC
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionOption · Derivative 22,222 $2.31 Strike: $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011336 · form4-04222024_110404.xml · derivative · entry 5

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 382,469

Underlying: Common Shares · 22,222 shares

Expires 2024-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · security: Represents option exercise pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 19, 2024 Filed Apr 22, 2024 23:34 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $9.34 $207,442.37
Disclosure

SEC source: 0001415889-24-011336 · form4-04222024_110404.xml · nonDerivative · entry 2

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F2 · security: Shares disposed pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 19, 2024 Filed Apr 22, 2024 23:34 UTC
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011336 · form4-04222024_110404.xml · nonDerivative · entry 1

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,222

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 · security: Shares acquired pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 18, 2024 Filed Apr 19, 2024 01:43 UTC
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares · Derivative 22,222 $2.31 Strike: $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011190 · form4-04192024_010425.xml · derivative · entry 6

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 426,913

Underlying: Options · 22,222 shares

Expires 2024-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: Option exercise made pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 18, 2024 Filed Apr 19, 2024 01:43 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $9.62 $213,775.64
Disclosure

SEC source: 0001415889-24-011190 · form4-04192024_010425.xml · nonDerivative · entry 4

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F4 · security: Shares disposed pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 18, 2024 Filed Apr 19, 2024 01:43 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011190 · form4-04192024_010425.xml · nonDerivative · entry 2

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 44,444

F2 · security: Shares acquired pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 18, 2024 Filed Apr 26, 2024 20:15 UTC Amendment
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011591 · form4a-04262024_040401.xml · nonDerivative · entry 2

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 44,444

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: On April 18, 2024, the reporting person filed a Form 4 that mistakenly indicated a transaction code of "S" in Column 3 of Table I concerning the reporting person's acquisition of 22,222 common shares on April 17, 2024, and an additional 22,222 common shares on April 18, 2024, each pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023. The correct transaction code for the reporting person's acquisition of these shares is "M".

Read SEC document
April 17, 2024 Filed Apr 19, 2024 01:43 UTC
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares · Derivative 22,222 $2.31 Strike: $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011190 · form4-04192024_010425.xml · derivative · entry 5

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 449,135

Underlying: Options · 22,222 shares

Expires 2024-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · security: Option exercise made pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 17, 2024 Filed Apr 19, 2024 01:43 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $9.91 $220,220.02
Disclosure

SEC source: 0001415889-24-011190 · form4-04192024_010425.xml · nonDerivative · entry 3

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,222

F3 · security: Shares disposed pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 17, 2024 Filed Apr 19, 2024 01:43 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011190 · form4-04192024_010425.xml · nonDerivative · entry 1

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,222

F1 · security: Shares acquired pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 17, 2024 Filed Apr 26, 2024 20:15 UTC Amendment
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011591 · form4a-04262024_040401.xml · nonDerivative · entry 1

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,222

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 · security: On April 18, 2024, the reporting person filed a Form 4 that mistakenly indicated a transaction code of "S" in Column 3 of Table I concerning the reporting person's acquisition of 22,222 common shares on April 17, 2024, and an additional 22,222 common shares on April 18, 2024, each pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023. The correct transaction code for the reporting person's acquisition of these shares is "M".

Read SEC document
April 16, 2024 Filed Apr 16, 2024 22:00 UTC
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares · Derivative 22,222 $2.31 Strike: $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-010901 · form4-04162024_100446.xml · derivative · entry 6

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 449,135

Underlying: Options · 22,222 shares

Expires 2024-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: Option exercise made pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 16, 2024 Filed Apr 16, 2024 22:00 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $10.28 $228,388.83
Disclosure

SEC source: 0001415889-24-010901 · form4-04162024_100446.xml · nonDerivative · entry 4

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F4 · security: Shares acquired pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 16, 2024 Filed Apr 16, 2024 22:00 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-010901 · form4-04162024_100446.xml · nonDerivative · entry 2

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 44,444

F2 · security: Shares acquired pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 16, 2024 Filed Apr 26, 2024 20:10 UTC Amendment
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011584 · form4a-04262024_040402.xml · nonDerivative · entry 2

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 44,444

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: On April 16, 2024, the reporting person filed a Form 4 that mistakenly indicated a transaction code of "S" in Column 3 of Table I concerning the reporting person's acquisition of 22,222 common shares on April 15, 2024, and an additional 22,222 common shares on April 16, 2024, each pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023. The correct transaction code for the reporting person's acquisition of these shares is "M".

Read SEC document
April 15, 2024 Filed Apr 15, 2024 22:15 UTC Exercise / conversionCommon Shares · Derivative 1,389 $3.60 Strike: $3.60 $5,000.40
Disclosure

SEC source: 0001415889-24-010817 · form4-04152024_100414.xml · derivative · entry 3

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 181,594

Underlying: Options · 1,389 shares

Expires 2024-05-15

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.

F3 · security: Represents options exercised pursuant to a 10b5-1 program adopted August 17, 2023.

Read SEC document
April 15, 2024 Filed Apr 15, 2024 22:15 UTC Exercise / conversionCommon Shares 1,389 $10.45 $14,515.05
Disclosure

SEC source: 0001415889-24-010817 · form4-04152024_100414.xml · nonDerivative · entry 2

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,838

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: Shares acquired through the exercise of an option pursuant to a 10b5-1 plan adopted on August 17, 2023.

Read SEC document
April 15, 2024 Filed Apr 15, 2024 22:15 UTC SaleCommon Shares 800 $10.45 $8,360.00
Disclosure

SEC source: 0001415889-24-010817 · form4-04152024_100414.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 44,449

F1 · security: Shares sold to satisfy tax obligation on option exercise.

Read SEC document
April 15, 2024 Filed Apr 16, 2024 22:00 UTC
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares · Derivative 22,222 $2.31 Strike: $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-010901 · form4-04162024_100446.xml · derivative · entry 5

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 471,357

Underlying: Options · 22,222 shares

Expires 2024-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · security: Option exercise made pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 15, 2024 Filed Apr 16, 2024 22:00 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $10.30 $228,793.27
Disclosure

SEC source: 0001415889-24-010901 · form4-04162024_100446.xml · nonDerivative · entry 3

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,222

F3 · security: Shares disposed pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 15, 2024 Filed Apr 16, 2024 22:00 UTC
Haigh AdrianCHIEF OPERATING OFFICER
SaleCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-010901 · form4-04162024_100446.xml · nonDerivative · entry 1

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,222

F1 · security: Shares acquired pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023.

Read SEC document
April 15, 2024 Filed Apr 26, 2024 20:10 UTC Amendment
Haigh AdrianCHIEF OPERATING OFFICER
Exercise / conversionCommon Shares 22,222 $2.31 $51,332.82
Disclosure

SEC source: 0001415889-24-011584 · form4a-04262024_040402.xml · nonDerivative · entry 1

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,222

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 · security: On April 16, 2024, the reporting person filed a Form 4 that mistakenly indicated a transaction code of "S" in Column 3 of Table I concerning the reporting person's acquisition of 22,222 common shares on April 15, 2024, and an additional 22,222 common shares on April 16, 2024, each pursuant to an option exercise pursuant to a 10b5-1 plan dated August 17, 2023. The correct transaction code for the reporting person's acquisition of these shares is "M".

Read SEC document
April 05, 2024 Filed Apr 5, 2024 20:56 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 44,300 $10.75 $476,269.30
Disclosure

SEC source: 0001415889-24-010435 · form4-04052024_080403.xml · nonDerivative · entry 3

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 187,471

F3 · security: Represents shares sold pusuant to a 10b5-1 plan dated December 14, 2023.

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April 04, 2024 Filed Apr 5, 2024 20:56 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 29,700 $10.89 $323,528.04
Disclosure

SEC source: 0001415889-24-010435 · form4-04052024_080403.xml · nonDerivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 231,771

F2 · security: Represents shares sold pusuant to a 10b5-1 plan dated December 14, 2023.

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April 04, 2024 Filed Apr 5, 2024 20:56 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 14,583 $10.89 $158,871.58
Disclosure

SEC source: 0001415889-24-010435 · form4-04052024_080403.xml · nonDerivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 261,471

F1 · security: Represents shares sold pusuant to a 10b5-1 plan dated December 14, 2023.

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April 03, 2024 Filed Apr 3, 2024 21:37 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 26,000 $10.78 $280,261.80
Disclosure

SEC source: 0001415889-24-010101 · form4-04032024_090409.xml · nonDerivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 276,054

F2 · security: Represents shares sold pursuant to a 10b5-1 plan dated December 14, 2023.

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April 03, 2024 Filed Apr 3, 2024 21:37 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 14,584 $10.78 $157,189.27
Disclosure

SEC source: 0001415889-24-010101 · form4-04032024_090409.xml · nonDerivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 302,054

F1 · security: Represents shares sold pursuant to a 10b5-1 plan dated December 14, 2023. Shares sold to satisy tax obligation.

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April 01, 2024 Filed Apr 3, 2024 21:00 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
PurchaseCommon shares 12,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-010059 · form4-04032024_050402.xml · nonDerivative · entry 1

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,271

F1 · security: Represents release of restriction from shares awarded 3-31-2023.

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April 01, 2024 Filed Apr 3, 2024 20:55 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
PurchaseCommon shares 29,167 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-010047 · form4-04032024_040401.xml · nonDerivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 316,638

F1 · security: Represents release of restriction from shares awarded 3-31-2023.

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March 26, 2024 Filed Mar 27, 2024 20:22 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 13,975 $10.90 $152,345.67
Disclosure

SEC source: 0001415889-24-009204 · form4-03272024_080308.xml · nonDerivative · entry 1

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,771

F1 · security: Represents shares sold pursuant to a 10b5-1 plan adopted August 16, 2023.

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March 26, 2024 Filed Mar 27, 2024 20:24 UTC Exercise / conversionCommon Shares · Derivative 4,329 $2.31 Strike: $2.31 $9,999.99
Disclosure

SEC source: 0001415889-24-009205 · form4-03272024_080358.xml · derivative · entry 3

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 182,983

Underlying: Options · 4,239 shares

Expires 2024-04-25

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.

F3 · security: Represents options exercised pursuant to a 10b5-1 plan adopted on August 17, 2023.

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March 26, 2024 Filed Mar 27, 2024 20:24 UTC Exercise / conversionCommon Shares 4,329 $2.31 $9,999.99
Disclosure

SEC source: 0001415889-24-009205 · form4-03272024_080358.xml · nonDerivative · entry 2

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,249

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: Shares acquired through the exercise of an option pusuant to a 10b5-1 plan adopted on August 17, 2023.

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March 26, 2024 Filed Mar 27, 2024 20:24 UTC SaleCommon Shares 2,114 $10.97 $23,190.58
Disclosure

SEC source: 0001415889-24-009205 · form4-03272024_080358.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 40,920

F1 · security: Shares sold to satisfy tax obligation on option exercise.

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March 25, 2024 Filed Mar 25, 2024 23:31 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 13,975 $11.00 $153,690.06
Disclosure

SEC source: 0001415889-24-009068 · form4-03252024_110359.xml · nonDerivative · entry 1

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 105,746

F1 · shares: Represents shares sold pursuant to a 10b5-1 plan adopted on August 16, 2023.

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January 05, 2024 Filed Jan 5, 2024 22:24 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 15,000 $10.41 $156,150.00
Disclosure

SEC source: 0001415889-24-000781 · form4-01052024_100121.xml · nonDerivative · entry 2

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 119,721

F2 · security: Represents shares sold pursuant to a 10b5-1 plan adopted on June 14, 2023.

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January 04, 2024 Filed Jan 5, 2024 22:24 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 15,000 $10.64 $159,600.00
Disclosure

SEC source: 0001415889-24-000781 · form4-01052024_100121.xml · nonDerivative · entry 1

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 134,721

F1 · security: Represents shares sold pursuant to a 10b5-1 plan adopted on June 14, 2023.

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December 28, 2023 Filed Dec 29, 2023 21:30 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
Exercise / conversionCommons Shares · Derivative 8,540 $1.59 Strike: $1.59 $13,578.60
Disclosure

SEC source: 0001415889-23-017015 · form4-12292023_041211.xml · derivative · entry 3

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 271,784

Underlying: options · 8,540 shares

Expires 2024-01-24

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.

F3 · security: Represents options granted on January 24, 2014, with a strike price of $1.59 and an expiration date of January 24, 2024.

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December 28, 2023 Filed Dec 29, 2023 21:30 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 3,656 $11.55 $42,226.80
Disclosure

SEC source: 0001415889-23-017015 · form4-12292023_041211.xml · nonDerivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 287,471

F2 · security: Shares sold to satisfy tax obligation on option exercise.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.