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 02, 2018 Filed Jan 4, 2018 21:13 UTC |
Plovanic William J.Chief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $7.15 | $0.00 |
DisclosureSEC source: 0001214659-18-000188 · marketforms-40646.xml · derivative · entry 1 Plovanic William J. · CIK 0001685640 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-01-02 F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date. In addition, any portion of the Option that vests will not be exercisable until Mr. Plovanic relocates his primary residence to within 35 miles of the Company's headquarters (at the time of the relocation), provided that such relocation must occur no later than the second anniversary of the Grant Date. The Option will automatically expire if Mr. Plovanic does not satisfy this requirement prior to or on the second anniversary of the Grant Date. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:17 UTC |
Rasdal Andrew PDirector · President & CEO
|
GrantStock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $7.15 | $0.00 |
DisclosureSEC source: 0001214659-18-000192 · marketforms-40637.xml · derivative · entry 1 Rasdal Andrew P · CIK 0001323238 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2028-01-02 F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:10 UTC |
Brister MarkChief Technology Officer
|
GrantCommon Stock (Restricted Stock Award) | 65,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-000185 · marketforms-40638.xml · nonDerivative · entry 1 Brister Mark · CIK 0001323223 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 F1 · shares: The Restricted Shares shall vest as to one-half of the Shares underlying the Award on each of the first and second anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:12 UTC |
Huang KellyChief Operating Officer
|
GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $7.15 | $0.00 |
DisclosureSEC source: 0001214659-18-000187 · marketforms-40641.xml · derivative · entry 1 Huang Kelly · CIK 0001602803 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2028-01-02 F1 · derivative.exercise_date: The Option shall vest as to 1/6th of the Shares underlying the Option on September 6, 2018 (i.e., the one-year anniversary of Mr. Huang's employment commencement date) and as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date thereafter, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date. In addition, any portion of the Option that vests prior to the date on which Mr. Huang relocates his primary residence in accordance with the Relocation Obligations (as defined in his employee offer letter agreement with the Company dated September 6, 2017) will not be exercisable until such relocation date. The Option will automatically expire if Mr. Huang does not satisfy the Relocation Obligations. Read SEC document |
| October 31, 2017 Filed Nov 2, 2017 14:24 UTC |
Drake NeilVP Research and Development
|
GrantCommon Stock | 1,743 | $7.17 | $12,497.31 |
DisclosureSEC source: 0001214659-17-006342 · marketforms-40048.xml · nonDerivative · entry 1 Drake Neil · CIK 0001698005 · VP Research and Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,924 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| October 31, 2017 Filed Nov 2, 2017 14:24 UTC |
Johnson Steven ErnestVP of Operations
|
GrantCommon Stock | 942 | $7.17 | $6,754.14 |
DisclosureSEC source: 0001214659-17-006343 · marketforms-40046.xml · nonDerivative · entry 1 Johnson Steven Ernest · CIK 0001685633 · VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,689 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| October 31, 2017 Filed Nov 2, 2017 14:24 UTC |
Hussainy NooshinVP of Finance
|
GrantCommon Stock | 502 | $7.17 | $3,599.34 |
DisclosureSEC source: 0001214659-17-006345 · marketforms-40044.xml · nonDerivative · entry 1 Hussainy Nooshin · CIK 0001685634 · VP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,545 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| October 31, 2017 Filed Nov 2, 2017 18:24 UTC |
Rasdal Andrew PDirector · President & CEO
|
GrantCommon Stock | 808 | $7.17 | $5,793.36 |
DisclosureSEC source: 0001214659-17-006344 · marketforms-40042.xml · nonDerivative · entry 1 Rasdal Andrew P · CIK 0001323238 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 454,071 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| October 31, 2017 Filed Nov 2, 2017 18:23 UTC |
Brister MarkChief Technology Officer
|
GrantCommon Stock | 1,860 | $7.17 | $13,336.20 |
DisclosureSEC source: 0001214659-17-006341 · marketforms-40047.xml · nonDerivative · entry 1 Brister Mark · CIK 0001323223 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,870 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 20:49 UTC |
Huang KellyChief Operating Officer
|
GrantStock Option (Right to Buy) · Derivative | 269,230 | $0.00 Strike: $9.31 | $0.00 |
DisclosureSEC source: 0001214659-17-005564 · marketforms-39586.xml · derivative · entry 1 Huang Kelly · CIK 0001602803 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,230 Underlying: Common Stock · 269,230 shares Expires 2027-09-05 F1 · derivative.exercise_date: This option vests as to 25% of the total shares on September 6, 2018, then 2.083% monthly, with 100% of the total shares vested on September 6, 2021, subject to the reporting person's provision of service to the Issuer on each vesting date. Read SEC document |
| June 06, 2017 Filed Jun 16, 2017 21:25 UTC |
Stevenson SharonDirector
|
GrantStock Option (Right to Buy) · Derivative | 36,554 | $0.00 Strike: $9.81 | $0.00 |
DisclosureSEC source: 0001214659-17-004069 · marketforms-39089.xml · derivative · entry 1 Stevenson Sharon · CIK 0001683904 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,554 Underlying: Common Stock · 36,554 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 6, 2018, subject to the reporting person's provision of service to the issuer on the vest date. Read SEC document |
| June 06, 2017 Filed Jun 17, 2017 01:23 UTC |
DITTAMORE RAYMOND VDirector
|
GrantStock Option (Right to Buy) · Derivative | 36,554 | $0.00 Strike: $9.81 | $0.00 |
DisclosureSEC source: 0001214659-17-004065 · marketforms-39083.xml · derivative · entry 1 DITTAMORE RAYMOND V · CIK 0001203772 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,554 Underlying: Common Stock · 36,554 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 6, 2018, subject to the reporting person's provision of service to the issuer on the vest date. Read SEC document |
| June 06, 2017 Filed Jun 17, 2017 01:25 UTC |
HOWE LESLEY HDirector
|
GrantStock Option (Right to Buy) · Derivative | 36,554 | $0.00 Strike: $9.81 | $0.00 |
DisclosureSEC source: 0001214659-17-004068 · marketforms-39087.xml · derivative · entry 1 HOWE LESLEY H · CIK 0001222606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,554 Underlying: Common Stock · 36,554 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 6, 2018, subject to the reporting person's provision of service to the issuer on the vest date. Read SEC document |
| June 06, 2017 Filed Jun 17, 2017 01:25 UTC |
Fisher Douglas CarlDirector
|
GrantStock Option (Right to Buy) · Derivative | 36,554 | $0.00 Strike: $9.81 | $0.00 |
DisclosureSEC source: 0001214659-17-004067 · marketforms-39086.xml · derivative · entry 1 Fisher Douglas · CIK 0001572355 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,554 Underlying: Common Stock · 36,554 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 6, 2018, subject to the reporting person's provision of service to the issuer on the vest date. Read SEC document |
| June 06, 2017 Filed Jun 17, 2017 01:23 UTC |
MOATAZEDI DAVIDDirector
|
GrantStock Option (Right to Buy) · Derivative | 36,554 | $0.00 Strike: $9.81 | $0.00 |
DisclosureSEC source: 0001214659-17-004066 · marketforms-39084.xml · derivative · entry 1 MOATAZEDI DAVID · CIK 0001700836 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,554 Underlying: Common Stock · 36,554 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 6, 2018, subject to the reporting person's provision of service to the issuer on the vest date. Read SEC document |
| June 06, 2017 Filed Jun 19, 2017 22:49 UTC |
Kamdar Kim P.Director
|
GrantStock Option (Right to Buy) · Derivative | 36,554 | $0.00 Strike: $9.81 | $0.00 |
DisclosureSEC source: 0000904454-17-000446 · edgar.xml · derivative · entry 1 Kamdar Kim P. · CIK 0001535065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,554 Underlying: Common Stock · 36,554 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 6, 2018, subject to the Reporting Person's continued service to the Issuer on such vesting date. Read SEC document |
| June 06, 2017 Filed Jun 19, 2017 21:35 UTC |
SHACKNAI JONAHDirector
|
GrantStock Option (Right to Buy) · Derivative | 36,554 | $0.00 Strike: $9.81 | $0.00 |
DisclosureSEC source: 0001214659-17-004079 · marketforms-39088.xml · derivative · entry 1 SHACKNAI JONAH · CIK 0001257575 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,554 Underlying: Common Stock · 36,554 shares Expires 2027-06-06 F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 6, 2018, subject to the reporting person's provision of service to the issuer on the vest date. Read SEC document |
| May 09, 2017 Filed May 10, 2017 01:00 UTC |
HOWE LESLEY HDirector
|
GrantStock Option (Right to Buy) · Derivative | 21,000 | $0.00 Strike: $11.56 | $0.00 |
DisclosureSEC source: 0001214659-17-003153 · marketforms-38794.xml · derivative · entry 1 HOWE LESLEY H · CIK 0001222606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 Underlying: Common Stock · 21,000 shares Expires 2027-05-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on June 9, 2017, with 100% of the total shares vested on May 9, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| May 09, 2017 Filed May 9, 2017 20:59 UTC |
Stevenson SharonDirector
|
GrantStock Option (Right to Buy) · Derivative | 21,000 | $0.00 Strike: $11.56 | $0.00 |
DisclosureSEC source: 0001214659-17-003152 · marketforms-38796.xml · derivative · entry 1 Stevenson Sharon · CIK 0001683904 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 Underlying: Common Stock · 21,000 shares Expires 2027-05-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on June 9, 2017, with 100% of the total shares vested on May 9, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| May 09, 2017 Filed May 10, 2017 01:00 UTC |
DITTAMORE RAYMOND VDirector
|
GrantStock Option (Right to Buy) · Derivative | 21,000 | $0.00 Strike: $11.56 | $0.00 |
DisclosureSEC source: 0001214659-17-003155 · marketforms-38792.xml · derivative · entry 1 DITTAMORE RAYMOND V · CIK 0001203772 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 Underlying: Common Stock · 21,000 shares Expires 2027-05-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on June 9, 2017, with 100% of the total shares vested on May 9, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| May 09, 2017 Filed May 10, 2017 01:00 UTC |
Fisher Douglas CarlDirector
|
GrantStock Option (Right to Buy) · Derivative | 21,000 | $0.00 Strike: $11.56 | $0.00 |
DisclosureSEC source: 0001214659-17-003154 · marketforms-38793.xml · derivative · entry 1 Fisher Douglas · CIK 0001572355 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 Underlying: Common Stock · 21,000 shares Expires 2027-05-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on June 9, 2017, with 100% of the total shares vested on May 9, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| May 09, 2017 Filed May 11, 2017 20:07 UTC |
Kamdar Kim P.Director
|
GrantStock Option (Right to Buy) · Derivative | 21,000 | $0.00 Strike: $11.56 | $0.00 |
DisclosureSEC source: 0000904454-17-000339 · edgar.xml · derivative · entry 1 Kamdar Kim P. · CIK 0001535065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 Underlying: Common Stock · 21,000 shares Expires 2027-05-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on June 9, 2017, with 100% of the total shares vested on May 9, 2020, subject to the Reporting Person's continued service to the Issuer on each vesting date. Read SEC document |
| April 30, 2017 Filed May 2, 2017 18:52 UTC |
Drake NeilDirector
|
GrantCommon Stock | 1,661 | $9.03 | $14,998.83 |
DisclosureSEC source: 0001214659-17-002938 · marketforms-38721.xml · nonDerivative · entry 1 Drake Neil · CIK 0001698005 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,181 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| April 30, 2017 Filed May 2, 2017 18:53 UTC |
Young Donald RVP of Quality Assurance
|
GrantCommon Stock | 1,868 | $9.03 | $16,868.04 |
DisclosureSEC source: 0001214659-17-002941 · marketforms-38718.xml · nonDerivative · entry 1 Young Donald R · CIK 0001686152 · VP of Quality Assurance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,868 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| April 30, 2017 Filed May 2, 2017 18:52 UTC |
Johnson Steven ErnestVP of Operations
|
GrantCommon Stock | 747 | $9.03 | $6,745.41 |
DisclosureSEC source: 0001214659-17-002939 · marketforms-38716.xml · nonDerivative · entry 1 Johnson Steven Ernest · CIK 0001685633 · VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 747 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| April 30, 2017 Filed May 2, 2017 22:52 UTC |
Brister MarkVP of Research and Development
|
GrantCommon Stock | 1,550 | $9.03 | $13,996.50 |
DisclosureSEC source: 0001214659-17-002940 · marketforms-38717.xml · nonDerivative · entry 1 Brister Mark · CIK 0001323223 · VP of Research and Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,010 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| April 30, 2017 Filed May 2, 2017 22:51 UTC |
Rasdal Andrew PDirector · President & CEO
|
GrantCommon Stock | 2,768 | $9.03 | $24,995.04 |
DisclosureSEC source: 0001214659-17-002937 · marketforms-38714.xml · nonDerivative · entry 2 Rasdal Andrew P · CIK 0001323238 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 453,263 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| April 30, 2017 Filed May 2, 2017 22:51 UTC |
Morisey ErinVP Strategic Partnerships
|
GrantCommon Stock | 1,785 | $9.03 | $16,118.55 |
DisclosureSEC source: 0001214659-17-002936 · marketforms-38722.xml · nonDerivative · entry 1 Morisey Erin · CIK 0001698303 · VP Strategic Partnerships 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,785 F1 · kind: These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| March 13, 2017 Filed Mar 15, 2017 23:16 UTC |
MOATAZEDI DAVIDDirector
|
GrantStock Option (Right to Buy) · Derivative | 59,988 | $0.00 Strike: $9.55 | $0.00 |
DisclosureSEC source: 0001214659-17-001984 · marketforms-38405.xml · derivative · entry 1 MOATAZEDI DAVID · CIK 0001700836 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,988 Underlying: Common Stock · 59,988 shares Expires 2027-03-12 F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is March 13, 2017. The option vests (i) with respect to one-thirty sixth (1/36) of the shares underlying the option on the first month anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Read SEC document |
| January 12, 2017 Filed Jan 17, 2017 21:24 UTC |
SHACKNAI JONAHDirector
|
GrantStock Option (right to buy) · Derivative | 105,128 | $0.00 Strike: $9.23 | $0.00 |
DisclosureSEC source: 0001209191-17-003859 · doc4.xml · derivative · entry 1 SHACKNAI JONAH · CIK 0001257575 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,128 Underlying: Common Stock · 105,128 shares Expires 2027-01-12 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on February 12, 2017, with 100% of the total shares vested on January 12, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 17:40 UTC |
Norwood MatthewVP of Sales
|
GrantStock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149823 · doc4.xml · derivative · entry 1 Norwood Matthew · CIK 0001685642 · VP of Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 25% of the total shares on July 11, 2017, and then 2.0833% of the total shares monthly thereafter, with 100% of the total shares vested on July 11, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 18:38 UTC |
Young Donald RVP of Quality Assurance
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149942 · doc4.xml · derivative · entry 1 Young Donald R · CIK 0001686152 · VP of Quality Assurance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 25% of the total shares on July 27, 2017, and then 2.0833% of the total shares monthly thereafter, with 100% of the total shares vested on July 27, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 17:40 UTC |
Johnson Steven ErnestVP of Operations
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149814 · doc4.xml · derivative · entry 1 Johnson Steven Ernest · CIK 0001685633 · VP of Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 17:40 UTC |
Metzner LisaVP of Marketing
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149819 · doc4.xml · derivative · entry 1 Metzner Lisa · CIK 0001685641 · VP of Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 25% of the total shares on August 27, 2017, and then 2.0833% of the total shares monthly thereafter, with 100% of the total shares vested on August 27, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 17:40 UTC |
Hussainy NooshinVP of Finance
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149810 · doc4.xml · derivative · entry 1 Hussainy Nooshin · CIK 0001685634 · VP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 22:42 UTC |
Plovanic William J.Chief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 55,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149825 · doc4.xml · derivative · entry 1 Plovanic William J. · CIK 0001685640 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 25% of the total shares on March 7, 2017, and then 2.0833% of the total shares monthly thereafter, with 100% of the total shares vested on March 7, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 17:44 UTC |
VandenBerg AmyVP of Reg. and Clin. Affairs
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149830 · doc4.xml · derivative · entry 1 VandenBerg Amy · CIK 0001685638 · VP of Reg. and Clin. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 17:43 UTC |
Stevenson SharonDirector
|
GrantStock Option (right to buy) · Derivative | 46,500 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149828 · doc4.xml · derivative · entry 1 Stevenson Sharon · CIK 0001683904 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,500 Underlying: Common Stock · 46,500 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2019, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 22:49 UTC |
Brister MarkVP of Research and Development
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GrantStock Option (right to buy) · Derivative | 90,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149847 · doc4.xml · derivative · entry 1 Brister Mark · CIK 0001323223 · VP of Research and Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2020, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 22:49 UTC |
Fisher Douglas CarlDirector
|
GrantStock Option (right to buy) · Derivative | 46,500 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149851 · doc4.xml · derivative · entry 1 Fisher Douglas · CIK 0001572355 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,500 Underlying: Common Stock · 46,500 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2019, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 22:45 UTC |
Kamdar Kim P.Director
|
GrantStock Option (Right to Buy) · Derivative | 46,500 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0000904454-16-001554 · edgar.xml · derivative · entry 1 Kamdar Kim P. · CIK 0001535065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,500 Underlying: Common Stock · 46,500 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests monthly over 36 months beginning on 12/09/2016 and will be fully vested on 11/09/2019. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 22:43 UTC |
Rasdal Andrew PDirector · President & CEO
|
GrantStock Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149826 · doc4.xml · derivative · entry 1 Rasdal Andrew P · CIK 0001323238 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2020, subject to the reporting person's provision of service to the issuer as the issuer's chief executive officer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 22:40 UTC |
HOWE LESLEY HDirector
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GrantStock Option (right to buy) · Derivative | 20,638 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149806 · doc4.xml · derivative · entry 1 HOWE LESLEY H · CIK 0001222606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,638 Underlying: Common Stock · 20,638 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2019, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 22:38 UTC |
DITTAMORE RAYMOND VDirector
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GrantStock Option (right to buy) · Derivative | 20,638 | $0.00 Strike: $8.74 | $0.00 |
DisclosureSEC source: 0001209191-16-149786 · doc4.xml · derivative · entry 1 DITTAMORE RAYMOND V · CIK 0001203772 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,638 Underlying: Common Stock · 20,638 shares Expires 2026-11-09 F1 · derivative.exercise_date: The option vests as to 2.777% of the total shares monthly, commencing on December 9, 2016, with 100% of the total shares vested on November 9, 2019, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| October 12, 2016 Filed Oct 12, 2016 17:36 UTC |
Norwood MatthewVP of Sales
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PurchaseCommon Stock | 1,000 | $15.00 | $15,000.00 |
DisclosureSEC source: 0001209191-16-145723 · doc4.xml · nonDerivative · entry 1 Norwood Matthew · CIK 0001685642 · VP of Sales 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 1,000 Read SEC document |
| October 12, 2016 Filed Oct 12, 2016 17:38 UTC |
Stevenson SharonDirector
|
ConversionCommon Stock Warrant (right to buy) · Derivative | 4,037 | $0.00 Strike: $6.19 | $0.00 |
DisclosureSEC source: 0001209191-16-145725 · doc4.xml · derivative · entry 16 Stevenson Sharon · CIK 0001683904 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Okapi Ventures, L.P. Disclosed balance after: 4,037 Underlying: Common Stock · 4,037 shares Expires 2019-02-24 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. F9 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election. F2 · ownership.nature: These securities are held of record by Okapi Ventures, L.P. ("OV"). Okapi Venture Partners, LLC ("OVLLC") is the general partner of OV. The reporting person is a managing director of OVLLC, and shares voting and investment power over the securities. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| October 12, 2016 Filed Oct 12, 2016 17:38 UTC |
Stevenson SharonDirector
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ConversionSeries C Preferred Stock Warrant (right to buy) · Derivative | 4,037 | $0.00 Strike: $6.19 | $0.00 |
DisclosureSEC source: 0001209191-16-145725 · doc4.xml · derivative · entry 15 Stevenson Sharon · CIK 0001683904 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Okapi Ventures, L.P. Disclosed balance after: 0 Underlying: Series C Preferred Stock · 4,037 shares Expires 2019-02-24 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. F8 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for-one basis. If not exercised prior to the closing of the IPO, the warrant will convert into a warrant to purchase shares of the issuer's Common Stock on a one-for-one basis. F2 · ownership.nature: These securities are held of record by Okapi Ventures, L.P. ("OV"). Okapi Venture Partners, LLC ("OVLLC") is the general partner of OV. The reporting person is a managing director of OVLLC, and shares voting and investment power over the securities. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| October 12, 2016 Filed Oct 12, 2016 17:38 UTC |
Stevenson SharonDirector
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ConversionSeries E Preferred Stock · Derivative | 60,290 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-145725 · doc4.xml · derivative · entry 14 Stevenson Sharon · CIK 0001683904 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Okapi Ventures II, L.P. Disclosed balance after: 0 Underlying: Common Stock · 60,290 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by Okapi Ventures II, L.P. ("OVII"). Okapi Venture Partners II, LLC ("OVIILLC") is the general partner of OVII. The reporting person is a managing director of OVIILLC, and shares voting and investment power over the securities. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| October 12, 2016 Filed Oct 12, 2016 17:38 UTC |
Stevenson SharonDirector
|
ConversionSeries E Preferred Stock · Derivative | 47,629 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-145725 · doc4.xml · derivative · entry 13 Stevenson Sharon · CIK 0001683904 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Okapi Ventures, L.P. Disclosed balance after: 0 Underlying: Common Stock · 47,629 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by Okapi Ventures, L.P. ("OV"). Okapi Venture Partners, LLC ("OVLLC") is the general partner of OV. The reporting person is a managing director of OVLLC, and shares voting and investment power over the securities. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| October 12, 2016 Filed Oct 12, 2016 17:38 UTC |
Stevenson SharonDirector
|
ConversionSeries D Preferred Stock · Derivative | 119,441 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-145725 · doc4.xml · derivative · entry 12 Stevenson Sharon · CIK 0001683904 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Okapi Ventures II, L.P. Disclosed balance after: 0 Underlying: Common Stock · 119,441 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by Okapi Ventures II, L.P. ("OVII"). Okapi Venture Partners II, LLC ("OVIILLC") is the general partner of OVII. The reporting person is a managing director of OVIILLC, and shares voting and investment power over the securities. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. 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.