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

SEC source: 0001415889-23-017015 · form4-12292023_041211.xml · nonDerivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,127

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 through the exercise of an option contract with strike price of $1.59 and an expiration date of January 24, 2024.

Read SEC document
December 26, 2023 Filed Dec 28, 2023 21:02 UTC Exercise / conversionCommon Shares · Derivative 3,144 $1.59 Strike: $1.59 $4,998.96
Disclosure

SEC source: 0001104659-23-130042 · tm2333865-1_4seq1.xml · derivative · entry 3

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 184,168

Underlying: Options · 3,144 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.

F2 · security: Shares acquired through the exercise of an option contract with strike price of $1.59 and an expiration date of January 24, 2024.

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

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December 26, 2023 Filed Dec 28, 2023 21:02 UTC Exercise / conversionCommon Shares 3,144 $1.59 $4,998.96
Disclosure

SEC source: 0001104659-23-130042 · tm2333865-1_4seq1.xml · nonDerivative · entry 2

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 46,178

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 contract with strike price of $1.59 and an expiration date of January 24, 2024.

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December 26, 2023 Filed Dec 28, 2023 21:02 UTC SaleCommon Shares 1,390 $10.90 $15,151.00
Disclosure

SEC source: 0001104659-23-130042 · tm2333865-1_4seq1.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 44,788

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

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November 20, 2023 Filed Nov 21, 2023 02:20 UTC SaleCommon Shares 269 $8.25 $2,219.25
Disclosure

SEC source: 0001415889-23-015314 · form4-11202023_091101.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 43,034

F1 · security: Shares sold pursuant to a 10b5-1 agreement dated March 18, 2022. Sharee sold at a price of $8.25.

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November 16, 2023 Filed Nov 16, 2023 21:05 UTC
Islam KhalidDirector
Exercise / conversionCommon Shares · Derivative 20,492 $2.44 Strike: $2.44 $50,000.48
Disclosure

SEC source: 0001415889-23-015193 · form4-11162023_091111.xml · derivative · entry 8

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Options · 20,492 shares

Expires 2026-06-09

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

F8 · security: Represents options granted on June 9, 2016, with a strike price of $2.44 and an expiration date of June 9, 2026.

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November 16, 2023 Filed Nov 16, 2023 21:05 UTC
Islam KhalidDirector
Exercise / conversionCommon Shares · Derivative 50,000 $1.13 Strike: $1.13 $56,500.00
Disclosure

SEC source: 0001415889-23-015193 · form4-11162023_091111.xml · derivative · entry 7

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 195,492

Underlying: Options · 50,000 shares

Expires 2025-12-11

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.

F7 · security: Represents options granted on December 11, 2015, with a strike price of $1.13 and an expiration date of December 11, 2025.

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November 16, 2023 Filed Nov 16, 2023 21:05 UTC
Islam KhalidDirector
Exercise / conversionCommon Shares · Derivative 10,000 $2.69 Strike: $2.69 $26,900.00
Disclosure

SEC source: 0001415889-23-015193 · form4-11162023_091111.xml · derivative · entry 6

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 245,492

Underlying: Options · 10,000 shares

Expires 2024-12-31

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 options granted on December 31, 2014, with a strike price of $2.69 and an expiration date of December 31, 2024.

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November 16, 2023 Filed Nov 16, 2023 21:05 UTC
Islam KhalidDirector
Exercise / conversionCommon Shares · Derivative 133,333 $2.31 Strike: $2.31 $307,999.23
Disclosure

SEC source: 0001415889-23-015193 · form4-11162023_091111.xml · derivative · entry 5

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,492

Underlying: Options · 133,333 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 options granted on April 25, 2014, with a strike price of $2.31 and an expiration date of April 25, 2024.

Read SEC document
November 16, 2023 Filed Nov 16, 2023 21:05 UTC
Islam KhalidDirector
Exercise / conversionCommon Shares 20,492 $2.44 $50,000.48
Disclosure

SEC source: 0001415889-23-015193 · form4-11162023_091111.xml · nonDerivative · entry 4

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,825

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.

F4 · security: Shares acquired through the exercise of an option contract with a strike of $2.44 and an expiration date of June 9, 2026.

Read SEC document
November 16, 2023 Filed Nov 16, 2023 21:05 UTC
Islam KhalidDirector
Exercise / conversionCommon Shares 50,000 $1.13 $56,500.00
Disclosure

SEC source: 0001415889-23-015193 · form4-11162023_091111.xml · nonDerivative · entry 3

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,333

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 through the exercise of an option contract with a strike of $1.13 and an expiration date of December 11, 2025.

Read SEC document
November 16, 2023 Filed Nov 16, 2023 21:05 UTC
Islam KhalidDirector
Exercise / conversionCommon Shares 10,000 $2.69 $26,900.00
Disclosure

SEC source: 0001415889-23-015193 · form4-11162023_091111.xml · nonDerivative · entry 2

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,333

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 contract with a strike of $2.69 and an expiration date of December 31, 2024.

Read SEC document
November 16, 2023 Filed Nov 16, 2023 21:05 UTC
Islam KhalidDirector
Exercise / conversionCommon Shares 133,333 $2.31 $307,999.23
Disclosure

SEC source: 0001415889-23-015193 · form4-11162023_091111.xml · nonDerivative · entry 1

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,333

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 through the exercise of an option contract with a strike of $2.31 and an expiration date of April 25, 2024.

Read SEC document
November 08, 2023 Filed Nov 9, 2023 21:38 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 7,995 $7.90 $63,160.50
Disclosure

SEC source: 0001415889-23-014958 · form4-11092023_091150.xml · nonDerivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 282,587

F2 · shares: Shares were the results of options granted on November 20, 2012, with a strike price of $1.05. Price of sold shares is an average.

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November 08, 2023 Filed Nov 9, 2023 21:38 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 17,049 $7.69 $131,106.81
Disclosure

SEC source: 0001415889-23-014958 · form4-11092023_091150.xml · nonDerivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,582

F1 · shares: Shares were the results of an option exercise on August 20, 2018, with a strike price of $1.44. Price of sold shares is an average.

Read SEC document
November 03, 2023 Filed Nov 3, 2023 21:19 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
Exercise / conversionOption Contract · Derivative 74,793 $1.59 Strike: $1.59 $118,920.87
Disclosure

SEC source: 0001415889-23-014784 · form4-11032023_091158.xml · derivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,596,040

Underlying: Options · 74,793 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.

F2 · security: Represents options granted on January 24, 2014, with a strike price of $1.59 and an expiration date of January 24, 2024.

Read SEC document
November 03, 2023 Filed Nov 3, 2023 21:19 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
Exercise / conversionCommon shares 74,793 $1.59 $118,920.87
Disclosure

SEC source: 0001415889-23-014784 · form4-11032023_091158.xml · nonDerivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307,631

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 through the exercise of an option contract with a strike price of $1.59 and an expiration date of January 24, 2024.

Read SEC document
August 18, 2023 Filed Aug 18, 2023 21:00 UTC SaleCommon Shares 673 $7.85 $5,283.05
Disclosure

SEC source: 0001415889-23-012411 · form4-08182023_050802.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 43,303

F1 · security: Shares originally acquired through the exercise of an option with strike price of $0.45, and an original expiration date of August 17, 2022.

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August 07, 2023 Filed Aug 7, 2023 20:01 UTC
Haigh AdrianCHIEF OPERATING OFFICER
GrantStock Option · Derivative 200,000 $0.00 Strike: $8.03 $0.00
Disclosure

SEC source: 0001415889-23-011895 · form4-08072023_080855.xml · derivative · entry 1

Haigh Adrian · CIK 0001717425 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 493,579

Underlying: Common Shares · 200,000 shares

Expires 2033-08-07

F1 · date: On August 7, 2023, Adrian Haigh was granted a stock option to purchase 200,000 shares of the issuer's common shares pursuant to the issuers 2020 Euity Incentive Plan.

F2 · derivative.exercise_date: One-third of grant will vest upon the first anniversary date of the grant. On the last day of each successive month, one-twenty fourth of the grant shall vest such that vesting is complete as of third anniversary of grant date.

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July 24, 2023 Filed Jul 24, 2023 21:04 UTC Exercise / conversionCommon Shares · Derivative 16,666 $0.72 Strike: $0.72 $11,999.52
Disclosure

SEC source: 0001415889-23-011416 · form4-07242023_090724.xml · derivative · entry 3

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 187,312

Underlying: Options · 16,666 shares

Expires 2023-08-06

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 August 23, 2013, with a strike price of $0.72 and an expiration date of August 23, 2023.

Read SEC document
July 24, 2023 Filed Jul 24, 2023 21:04 UTC SaleCommon Shares 6,796 $8.17 $55,523.32
Disclosure

SEC source: 0001415889-23-011416 · form4-07242023_090724.xml · nonDerivative · entry 2

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 43,976

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

Read SEC document
July 24, 2023 Filed Jul 24, 2023 21:04 UTC Exercise / conversionCommon Shares 16,666 $0.72 $11,999.52
Disclosure

SEC source: 0001415889-23-011416 · form4-07242023_090724.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 50,772

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 through the exercise of an option contract with strike price of $0.72 and an expiration date of August 23, 2023.

Read SEC document
July 06, 2023 Filed Jul 6, 2023 21:20 UTC Exercise / conversionCommon Shares · Derivative 5,208 $0.96 Strike: $0.96 $4,999.68
Disclosure

SEC source: 0001415889-23-010905 · form4-07062023_090736.xml · derivative · entry 3

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 203,978

Underlying: Options · 5,208 shares

Expires 2023-08-06

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 August 6, 2013, with a strike price of $0.96 and expiration date of August 6, 2023.

Read SEC document
July 06, 2023 Filed Jul 6, 2023 21:20 UTC Exercise / conversionCommon Shares 5,280 $0.96 $5,068.80
Disclosure

SEC source: 0001415889-23-010905 · form4-07062023_090736.xml · nonDerivative · entry 2

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 34,106

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 contract with strike price of $0.96 and an expiration date of August 6, 2023.

Read SEC document
July 06, 2023 Filed Jul 6, 2023 21:20 UTC SaleCommon Shares 2,207 $8.47 $18,693.29
Disclosure

SEC source: 0001415889-23-010905 · form4-07062023_090736.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 28,826

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

Read SEC document
June 30, 2023 Filed Jun 30, 2023 20:21 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Shares · Derivative 25,000 $2.45 Strike: $2.45 $61,250.00
Disclosure

SEC source: 0001415889-23-010459 · form4-06302023_080609.xml · derivative · entry 5

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 605,000

Underlying: Options · 25,000 shares

Expires 2026-07-05

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 options granted on July 5, 2016, with a strike price of $2.45 and expiration date of July 5, 2026.

Read SEC document
June 30, 2023 Filed Jun 30, 2023 20:21 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
Exercise / conversionCommon shares 25,000 $2.45 $61,250.00
Disclosure

SEC source: 0001415889-23-010459 · form4-06302023_080609.xml · nonDerivative · entry 4

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 149,721

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.

F4 · security: Shares aquired through the exercise of option contract with a strike price of $2.45 and an expiration date of July 5, 2026.

Read SEC document
June 30, 2023 Filed Jun 30, 2023 20:21 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 7,500 $8.82 $66,150.00
Disclosure

SEC source: 0001415889-23-010459 · form4-06302023_080609.xml · nonDerivative · entry 3

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 124,721

F3 · security: Represents shares sold pursuant to a 10b5-1 plan on June 30, 2023.

Read SEC document
June 29, 2023 Filed Jun 30, 2023 20:21 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 7,500 $8.97 $67,275.00
Disclosure

SEC source: 0001415889-23-010459 · form4-06302023_080609.xml · nonDerivative · entry 2

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 132,221

F2 · security: Represents shares sold pursuant to a 10b5-1 plan on June 29, 2023.

Read SEC document
June 28, 2023 Filed Jun 30, 2023 20:21 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 10,000 $8.99 $89,900.00
Disclosure

SEC source: 0001415889-23-010459 · form4-06302023_080609.xml · nonDerivative · entry 1

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 139,721

F1 · security: Represents shares sold pursuant to a 10b5-1 plan on June 28, 2023.

Read SEC document
June 12, 2023 Filed Jun 13, 2023 16:39 UTC
Islam KhalidDirector
GrantStock Option · Derivative 25,000 $0.00 Strike: $8.78 $0.00
Disclosure

SEC source: 0001415889-23-009706 · form4-06132023_040647.xml · derivative · entry 1

Islam Khalid · CIK 0001701858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 388,825

Underlying: Common Shares · 25,000 shares

Expires 2033-06-12

F1 · security: On June 12, 2023, Khalid Islam was granted a non-qualified stock option to purchase 25,000 shares of the issuer's common shares pursuant to the issuer's Equity Incentive Plan.

F2 · derivative.exercise_date: The option is 100% vested of date of grant.

Read SEC document
June 12, 2023 Filed Jun 13, 2023 15:42 UTC GrantStock Option · Derivative 20,000 $0.00 Strike: $8.78 $0.00
Disclosure

SEC source: 0001415889-23-009702 · form4-06132023_030600.xml · derivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,186

Underlying: Common shares · 20,000 shares

Expires 2033-06-12

F1 · security: On June 12, 2023, Chris Rallis was granted a non-qualified stock option to purchase 20,000 shares of the issuer's common shares pursuant to the issuer's Equity Incentive Plan.

F2 · derivative.exercise_date: The option is 100% vested of date of grant.

Read SEC document
June 12, 2023 Filed Jun 13, 2023 15:47 UTC
Cook Jodi ADirector
GrantStock Options · Derivative 20,000 $0.00 Strike: $8.78 $0.00
Disclosure

SEC source: 0001415889-23-009705 · form4-06132023_030634.xml · derivative · entry 1

Cook Jodi A · CIK 0001791004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Shares · 20,000 shares

Expires 2033-06-12

F1 · security: On June 12, 2023, Jodi Cook was granted a non-qualified stock option to purchase 20,000 shares of the issuer's common shares pursuant to the issuer's Equity Incentive Plan.

Read SEC document
June 12, 2023 Filed Jun 13, 2023 14:45 UTC GrantStock Option · Derivative 20,000 $0.00 Strike: $8.78 $0.00
Disclosure

SEC source: 0001415889-23-009694 · form4-06132023_020622.xml · derivative · entry 1

Brughera Marco Maria · CIK 0001589776 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,545

Underlying: Common shares · 20,000 shares

Expires 2033-06-12

F1 · security: On June 12, 2023, Marco Brughera was granted a non-qualified stock option to purchase 20,000 shares of the issuer's common shares pursuant to the issuer's Equity Incentive Plan.

F2 · derivative.exercise_date: The option is 100% vested on date of grant.

Read SEC document
June 12, 2023 Filed Jun 13, 2023 14:22 UTC
Haigh AdrianDirector
GrantStock Option · Derivative 20,000 $0.00 Strike: $8.78 $0.00
Disclosure

SEC source: 0001415889-23-009691 · form4-06132023_020615.xml · derivative · entry 1

Haigh Adrian · CIK 0001717425 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 293.579

Underlying: Common Shares · 20,000 shares

Expires 2033-06-12

F1 · security: On June 12, 2023, Adrian Haigh was granted a non-qualified stock option to purchase 20,000 shares of the issuer's common shares pursuant to the issuer's Equity Incentive Plan.

F2 · derivative.exercise_date: The option is 100% vested of date of grant.

Read SEC document
May 19, 2023 Filed May 19, 2023 20:41 UTC SaleCommon Shares 925 $7.36 $6,808.00
Disclosure

SEC source: 0001415889-23-008417 · form4-05192023_080541.xml · nonDerivative · entry 2

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,033

F2 · shares: Sale of common shares sold in accordance with 10b5-1 plan. Commom shares resulted from exercise of option grant with grant date of 5/17/2012.

Read SEC document
May 19, 2023 Filed May 19, 2023 20:41 UTC SaleCommon Shares 833 $7.36 $6,130.88
Disclosure

SEC source: 0001415889-23-008417 · form4-05192023_080541.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,958

F1 · shares: Sale of common shares sold in accordance with 10b5-1 plan. Commom shares resulted from exercise of option grant with grant date of 4/4/2012.

Read SEC document
April 17, 2023 Filed Apr 18, 2023 01:25 UTC Tax withholdingCommon Shares 986 $8.34 $8,223.24
Disclosure

SEC source: 0001415889-23-006577 · form4-04182023_010400.xml · nonDerivative · entry 2

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 32,791

F2 · security: Represents shares automatically sold pursuant to a 10b5-1 plan to an irrevocable sell to cover election to satisfy tax withholding obligation in connectionwith the exercise of 1,700 shares from a May 2013 grant.

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April 17, 2023 Filed Apr 18, 2023 01:25 UTC Exercise / conversionCommon Shares 1,700 $2.94 $4,998.00
Disclosure

SEC source: 0001415889-23-006577 · form4-04182023_010400.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 33,777

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: Represents options granted May 17, 2013, with a $2.94 strike price aand expiration of May 17, 2023.

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March 31, 2023 Filed Apr 3, 2023 20:25 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
GrantRestricted Share Unit (right to receive value of a share) · Derivative 37,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-23-005781 · form4-04032023_080421.xml · derivative · entry 2

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 667,500

Underlying: Common Shares · 37,500 shares

Expires 2031-12-21

F3 · date: 1. On March 31, 2023, Robert Andrade was awarded restricted share units to receive 37,500 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 March 31, 2024 (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 March 31, 2026 and thereafter, 100% of the total number of shares subject to this award shall be released.

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March 31, 2023 Filed Apr 3, 2023 20:25 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $8.32 $0.00
Disclosure

SEC source: 0001415889-23-005781 · form4-04032023_080421.xml · derivative · entry 1

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 630,000

Underlying: Common Shares · 75,000 shares

Expires 2033-03-31

F1 · security: On March 31, 2023, Robert Andrade was granted incentive stock options to purchase 75,000 shares of the Issuer's common shares pursuant to the Issuer's 2020 Equity Incentive Plan.

F2 · derivative.exercise_date: 2. 1/3 of the shares subject to this option shall vest immediately and may be exercised as of March 31, 2024 (the "Vesting Commencement Date"). 1/24 of the shares subject to this option shall vest immediately and may be exercised as of the last day of each month following the Vesting Commencement Date. As of March 31, 2026 and thereafter, 100% of the total number of shares subject to this option shall be vested.

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March 31, 2023 Filed Apr 3, 2023 20:23 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
GrantRestricted Share Unit · Derivative 87,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-23-005776 · form4-04032023_080404.xml · derivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,670,833

Underlying: Common shares · 87,500 shares

Expires 2033-03-31

F3 · security: On March 31, 2023, Rostislav Raykov was awarded restricted share units to receive 87,500 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 March 31, 2024 (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 March 31, 2026 and thereafter, 100% of the total number of shares subject to this award shall be released.

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March 31, 2023 Filed Apr 3, 2023 20:23 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
GrantStock Option · Derivative 175,000 $0.00 Strike: $8.32 $0.00
Disclosure

SEC source: 0001415889-23-005776 · form4-04032023_080404.xml · derivative · entry 1

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,583,333

Underlying: Common shares · 175,000 shares

Expires 2033-03-31

F1 · security: On March 31, 2023, Rostislav Raykov was granted incentive stock options to purchase 175,000 shares of the issuers common shares pursuant to the issuer's 2020 Equity Incentive Plan.

F2 · derivative.exercise_date: 1/3 of the shares subject to this option shall vest immediately and may be exercised as of March 31, 2024 (the "Vesting Commencement Date"). 1/24 of the shares subject to this option shall vest immediately and may be exercised as of the last day of each month following the Vesting Commencement Date. As of March 31, 2026 and thereafter, 100% of the total number of shares subject to this option shall be vested.

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March 03, 2023 Filed Mar 3, 2023 22:35 UTC Tax withholdingCommon Shares 2,177 $9.09 $19,788.93
Disclosure

SEC source: 0001415889-23-004182 · form4-03032023_100359.xml · nonDerivative · entry 2

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,077

F2 · security: Represents shares automatically sold pursuant to a 10b5-1 plan to an irrevocable sell to cover election to satisfy tax withholding obligations in connection with the exercise of 4,166 shares from an April 3, 2013 grant.

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March 03, 2023 Filed Mar 3, 2023 22:35 UTC Exercise / conversionCommon Shares 4,166 $2.40 $9,998.40
Disclosure

SEC source: 0001415889-23-004182 · form4-03032023_100359.xml · nonDerivative · entry 1

RALLIS CHRIS A · CIK 0001185945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,184

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: Represents options granted April 3, 2013, with a $2.40 USD strike price and expiration of April 3, 2023.

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December 30, 2022 Filed Dec 30, 2022 22:09 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 8,400 $9.61 $80,753.40
Disclosure

SEC source: 0001415889-22-013104 · form4-12302022_101203.xml · nonDerivative · entry 4

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,838

F4 · security: Shares were sold to pay taxes on share exercises on August 22, 2022 and September 9, 2022.

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December 30, 2022 Filed Dec 30, 2022 22:09 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 1,600 $9.66 $15,453.76
Disclosure

SEC source: 0001415889-22-013104 · form4-12302022_101203.xml · nonDerivative · entry 3

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,238

F3 · security: Shares were sold to pay taxes on share exercises on August 22, 2022 and September 9, 2022.

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December 30, 2022 Filed Dec 30, 2022 21:42 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 5,500 $9.61 $52,867.10
Disclosure

SEC source: 0001415889-22-013102 · form4-12302022_091249.xml · nonDerivative · entry 3

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,721

F3 · security: Represents shares sold pursuant to a 10b5-1 plan on December 30, 2022.

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December 29, 2022 Filed Dec 30, 2022 22:09 UTC
Raykov RostyDirector · CHIEF EXECUTIVE OFFICER
SaleCommon shares 5,000 $9.65 $48,250.00
Disclosure

SEC source: 0001415889-22-013104 · form4-12302022_101203.xml · nonDerivative · entry 2

Raykov Rosty · CIK 0001468316 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,838

F2 · security: Shares were sold to pay taxes on share exercises on August 22, 2022 and September 9, 2022.

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December 29, 2022 Filed Dec 30, 2022 21:42 UTC
Andrade RobertCHIEF FINANCIAL OFFICER
SaleCommon shares 5,500 $9.57 $52,661.40
Disclosure

SEC source: 0001415889-22-013102 · form4-12302022_091249.xml · nonDerivative · entry 2

Andrade Robert · CIK 0001468308 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,221

F2 · security: Represents shares sold pursuant to a 10b5-1 plan on December 29, 2022.

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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.