Tapewire

Nasdaq · USD

HNST

Honest Company, Inc.

Export transactions ↓
Tapewire entity
5346
SEC CIK
0001530979
Parsed reports
383

Last 12 months

Inside the activity.

0 purchase rows · 40 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202508
Dec 202500
Jan 202600
Feb 202600
Mar 2026010
Apr 202600
May 202609
Jun 202600
Jul 202600
Aug 2026011
Sep 202601
Oct 202601

Latest available

Insider transactions

JSON API
Reset

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 22, 2024 Filed May 24, 2024 00:56 UTC GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0002004311-24-000002 · wk-form4_1716512158.xml · nonDerivative · entry 1

Turner Andrea · CIK 0002004311 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,136

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date.

F2 · balance_after: Includes 173,477 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 22, 2024 Filed May 24, 2024 00:53 UTC GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0001875681-24-000002 · wk-form4_1716511992.xml · nonDerivative · entry 1

Lynch Alissa Hsu · CIK 0001875681 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,136

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date.

F2 · balance_after: Includes 173,477 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 22, 2024 Filed May 24, 2024 00:42 UTC GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0001272609-24-000003 · wk-form4_1716511359.xml · nonDerivative · entry 1

BAYNE KATIE J · CIK 0001272609 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 297,327

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date.

F2 · balance_after: Includes 84,820 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 22, 2024 Filed May 24, 2024 00:57 UTC GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0001858976-24-000015 · wk-form4_1716512253.xml · nonDerivative · entry 1

Warren Jessica · CIK 0001858976 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,170,058

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date.

F2 · balance_after: Includes 60,569 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 22, 2024 Filed May 24, 2024 00:51 UTC GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0001659925-24-000003 · wk-form4_1716511879.xml · nonDerivative · entry 1

Honest Company, Inc. · CIK 0001530979 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,136

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date.

F2 · balance_after: Includes 173,477 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 22, 2024 Filed May 24, 2024 20:47 UTC GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0001530979-24-000063 · wk-form4_1716583632.xml · nonDerivative · entry 1

Gentile Susan · CIK 0001508493 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 239,040

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date.

F2 · balance_after: Includes 60,569 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 22, 2024 Filed May 24, 2024 20:45 UTC GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0001530979-24-000061 · wk-form4_1716583527.xml · nonDerivative · entry 1

WHITE JAMES D · CIK 0001280940 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,244

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date.

F2 · balance_after: Includes 60,569 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 22, 2024 Filed May 24, 2024 20:48 UTC
Hartung JackDirector
GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0001530979-24-000065 · wk-form4_1716583700.xml · nonDerivative · entry 1

Hartung Jack · CIK 0001350874 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,055

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date. The reporting person made a deferral election to settle these RSUs in a single lump sum installment in whole shares on the earlier of (a) immediately prior to a change in control or (b) within 60 days following the reporting person's separation date or death, whichever is earlier.

F2 · balance_after: Includes 114,198 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 22, 2024 Filed May 24, 2024 20:52 UTC Amendment GrantCommon Stock 60,569 $0.00 $0.00
Disclosure

SEC source: 0001530979-24-000068 · wk-form4a_1716583919.xml · nonDerivative · entry 1

BARKLEY MICHAEL J. · CIK 0001659925 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,136

F1 · shares: 60,569 Restricted Stock Units (RSUs) will vest in full on the earlier of (a) May 22, 2025, and (b) the date immediately prior to the date of the Issuer's 2025 Annual Meeting, subject to the Eligible Director's Continuous Service on the vesting date.

F2 · balance_after: Includes 173,477 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 21, 2024 Filed May 22, 2024 22:41 UTC
Sternweis ThomasSVP, Enterprise Dev. & Strat.
SaleCommon Stock 10,047 $2.77 $27,830.19
Disclosure

SEC source: 0002016633-24-000007 · wk-form4_1716417651.xml · nonDerivative · entry 1

Sternweis Thomas · CIK 0002016633 · SVP, Enterprise Dev. & Strat.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 237,211

F1 · shares: Pursuant to the Compensation Committee's approved plan for all employees, these shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 196,560 restricted stock units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 21, 2024 Filed May 22, 2024 22:50 UTC
Sheehey BrendanGeneral Counsel
SaleCommon Stock 8,583 $2.77 $23,774.91
Disclosure

SEC source: 0001858823-24-000015 · wk-form4_1716418189.xml · nonDerivative · entry 1

Sheehey Brendan · CIK 0001858823 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 526,037

F1 · shares: Pursuant to the Compensation Committee's approved plan for all employees, these shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 360,874 restricted stock units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 21, 2024 Filed May 22, 2024 22:44 UTC
Vernon CarlaDirector · Chief Executive Officer
SaleCommon Stock 43,317 $2.77 $119,988.09
Disclosure

SEC source: 0001961856-24-000013 · wk-form4_1716417878.xml · nonDerivative · entry 1

Vernon Carla · CIK 0001961856 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,881,070

F1 · shares: Pursuant to the Compensation Committee's approved plan for all employees, these shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 2,456,910 restricted stock units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 21, 2024 Filed May 22, 2024 22:43 UTC
Winchell StephenEVP, Operations and R&D
SaleCommon Stock 7,283 $2.77 $20,173.91
Disclosure

SEC source: 0001933634-24-000013 · wk-form4_1716417782.xml · nonDerivative · entry 1

Winchell Stephen · CIK 0001933634 · EVP, Operations and R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 421,674

F1 · shares: Pursuant to the Compensation Committee's approved plan for all employees, these shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 345,143 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
May 21, 2024 Filed May 22, 2024 22:39 UTC
Barton KatherineChief Growth Officer
SaleCommon Stock 67,930 $2.77 $188,166.10
Disclosure

SEC source: 0001977036-24-000008 · wk-form4_1716417543.xml · nonDerivative · entry 1

Barton Katherine · CIK 0001977036 · Chief Growth Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 933,005

F1 · shares: Pursuant to the Compensation Committee's approved plan for all employees, these shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 790,043 restricted stock units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
April 19, 2024 Filed Apr 19, 2024 21:21 UTC
Warren JessicaDirector · Chief Creative Officer
SaleCommon Stock 253,815 $2.99 $758,094.64
Disclosure

SEC source: 0001530979-24-000052 · wk-form4_1713561697.xml · nonDerivative · entry 3

Warren Jessica · CIK 0001858976 · Director · Chief Creative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,109,489

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.91 to $3.13, inclusive. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

Read SEC document
April 18, 2024 Filed Apr 19, 2024 21:21 UTC
Warren JessicaDirector · Chief Creative Officer
SaleCommon Stock 265,820 $3.06 $812,266.17
Disclosure

SEC source: 0001530979-24-000052 · wk-form4_1713561697.xml · nonDerivative · entry 2

Warren Jessica · CIK 0001858976 · Director · Chief Creative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,363,304

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.01 to $3.12, inclusive. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

Read SEC document
April 17, 2024 Filed Apr 19, 2024 21:21 UTC
Warren JessicaDirector · Chief Creative Officer
SaleCommon Stock 276,113 $3.07 $846,949.02
Disclosure

SEC source: 0001530979-24-000052 · wk-form4_1713561697.xml · nonDerivative · entry 1

Warren Jessica · CIK 0001858976 · Director · Chief Creative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,629,124

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.95 to $3.22, inclusive. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

Read SEC document
March 18, 2024 Filed Mar 20, 2024 21:59 UTC
Vernon CarlaDirector · Chief Executive Officer
SaleCommon Stock 209,160 $4.16 $870,105.60
Disclosure

SEC source: 0001961856-24-000009 · wk-form4_1710971941.xml · nonDerivative · entry 1

Vernon Carla · CIK 0001961856 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,924,387

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 2,572,237 restricted stock units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
March 07, 2024 Filed Mar 8, 2024 23:19 UTC
Sheehey BrendanGeneral Counsel
SaleCommon Stock 21,152 $3.24 $68,532.48
Disclosure

SEC source: 0001858823-24-000011 · wk-form4_1709939955.xml · nonDerivative · entry 1

Sheehey Brendan · CIK 0001858823 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 534,620

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 383,694 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
March 07, 2024 Filed Mar 8, 2024 23:12 UTC
Warren JessicaDirector · Chief Creative Officer
SaleCommon Stock 23,324 $3.24 $75,569.76
Disclosure

SEC source: 0001858976-24-000011 · wk-form4_1709939569.xml · nonDerivative · entry 1

Warren Jessica · CIK 0001858976 · Director · Chief Creative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,905,237

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 1,573,798 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
March 07, 2024 Filed Mar 8, 2024 23:04 UTC
Winchell StephenEVP, Operations and R&D
SaleCommon Stock 19,665 $3.24 $63,714.60
Disclosure

SEC source: 0001933634-24-000009 · wk-form4_1709939068.xml · nonDerivative · entry 1

Winchell Stephen · CIK 0001933634 · EVP, Operations and R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 428,957

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 364,512 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 23:23 UTC
Loretta DavidChief Financial Officer
GrantCommon Stock 236,056 $0.00 $0.00
Disclosure

SEC source: 0001363502-24-000001 · wk-form4_1709335406.xml · nonDerivative · entry 1

Loretta David · CIK 0001363502 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,063,413

F1 · shares: The Restricted Stock Units (RSUs) shall vest over a four-year period, with 25% of the RSUs vesting on March 4, 2025, and the remainder vesting in 12 equal quarterly installments on each of March 4, May 19, August 19 and November 19 thereafter, in each case subject to such Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through each such date. The RSUs are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 827,357 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 23:25 UTC
Warren JessicaDirector · Chief Creative Officer
GrantCommon Stock 963,494 $0.00 $0.00
Disclosure

SEC source: 0001858976-24-000006 · wk-form4_1709335541.xml · nonDerivative · entry 1

Warren Jessica · CIK 0001858976 · Director · Chief Creative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,928,561

F1 · shares: The Restricted Stock Units (RSUs) shall vest over a four-year period, with 25% of the RSUs vesting on January 2, 2025, and the remainder vesting in 12 equal quarterly installments on each of March 4, May 19, August 19 and November 19 thereafter, in each case subject to such Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through each such date. The RSUs are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 676,942 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 23:21 UTC
Barton KatherineChief Growth Officer
GrantCommon Stock 157,370 $0.00 $0.00
Disclosure

SEC source: 0001977036-24-000003 · wk-form4_1709335311.xml · nonDerivative · entry 1

Barton Katherine · CIK 0001977036 · Chief Growth Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,935

F1 · shares: The Restricted Stock Units (RSUs) shall vest over a four-year period, with 25% of the RSUs vesting on March 4, 2025, and the remainder vesting in 12 equal quarterly installments on each of March 4, May 19, August 19 and November 19 thereafter, in each case subject to such Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through each such date. The RSUs are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 843,565 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 23:20 UTC
Sheehey BrendanGeneral Counsel
GrantCommon Stock 157,370 $0.00 $0.00
Disclosure

SEC source: 0001858823-24-000006 · wk-form4_1709335234.xml · nonDerivative · entry 1

Sheehey Brendan · CIK 0001858823 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 555,772

F1 · shares: The Restricted Stock Units (RSUs) shall vest over a four-year period, with 25% of the RSUs vesting on March 4, 2025, and the remainder vesting in 12 equal quarterly installments on each of March 4, May 19, August 19 and November 19 thereafter, in each case subject to such Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through each such date. The RSUs are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 281,958 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 23:19 UTC
Winchell StephenEVP, Operations and R&D
GrantCommon Stock 157,370 $0.00 $0.00
Disclosure

SEC source: 0001933634-24-000002 · wk-form4_1709335168.xml · nonDerivative · entry 1

Winchell Stephen · CIK 0001933634 · EVP, Operations and R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 448,622

F1 · shares: The Restricted Stock Units (RSUs) shall vest over a four-year period, with 25% of the RSUs vesting on March 4, 2025, and the remainder vesting in 12 equal quarterly installments on each of March 4, May 19, August 19 and November 19 thereafter, in each case subject to such Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through each such date. The RSUs are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 259,325 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 23:17 UTC
Vernon CarlaDirector · Chief Executive Officer
GrantCommon Stock 1,188,309 $0.00 $0.00
Disclosure

SEC source: 0001961856-24-000002 · wk-form4_1709335050.xml · nonDerivative · entry 1

Vernon Carla · CIK 0001961856 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,133,547

F1 · shares: The Restricted Stock Units (RSUs) shall vest over a four-year period, with 25% of the RSUs vesting on March 4, 2025, and the remainder vesting in 12 equal quarterly installments on each of March 4, May 19, August 19 and November 19 thereafter, in each case subject to such Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through each such date. The RSUs are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 1,845,238 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
February 29, 2024 Filed Mar 1, 2024 23:09 UTC
Ball Dorria L.Chief People Officer
GrantCommon Stock 208,757 $0.00 $0.00
Disclosure

SEC source: 0002007998-24-000006 · wk-form4_1709334556.xml · nonDerivative · entry 1

Ball Dorria L. · CIK 0002007998 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 208,757

F1 · balance_after: On February 29, 2024, the Compensation Committee of the Issuer's Board of Directors approved a grant to the Reporting Person with a grant date of February 29, 2024 in the number of Restricted Stock Units ("RSUs") in Table I, Box 4 above, pursuant to the Issuer's 2023 Inducement Plan and in accordance with the terms of the Reporting Person's employment agreement effective January 2, 2024. The RSUs are payable in an equivalent number of shares of the Issuer's common stock. 25% of the RSUs vest on March 4, 2025 and an additional 6.25% of the RSUs vesting on each quarterly vesting date thereafter, subject to the Reporting Person's continued employment with the Issuer.

Read SEC document
January 03, 2024 Filed Jan 4, 2024 14:44 UTC
Warren JessicaDirector · Chief Creative Officer
SaleCommon Stock 50,659 $2.94 $148,937.46
Disclosure

SEC source: 0001858976-24-000002 · wk-form4_1704379481.xml · nonDerivative · entry 1

Warren Jessica · CIK 0001858976 · Director · Chief Creative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 965,067

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.77 to $2.95, inclusive. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

F3 · balance_after: Includes 676,942 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
January 02, 2024 Filed Jan 4, 2024 14:43 UTC
Sheehey BrendanGeneral Counsel
SaleCommon Stock 4,495 $3.18 $14,294.10
Disclosure

SEC source: 0001858823-24-000004 · wk-form4_1704379415.xml · nonDerivative · entry 1

Sheehey Brendan · CIK 0001858823 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 398,402

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.13 to $3.18, inclusive. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

F3 · balance_after: Includes 281,958 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
January 01, 2024 Filed Jan 3, 2024 02:27 UTC GrantCommon Stock 32,334 $2.47 $79,864.98
Disclosure

SEC source: 0001530979-24-000004 · wk-form4_1704248826.xml · nonDerivative · entry 1

BAYNE KATIE J · CIK 0001272609 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,758

F1 · kind: Pursuant to the Issuer's Non-Employee Director Compensation Policy, directors may elect to receive an award of restricted stock units (RSUs) in lieu of an annual cash retainer for their service on the board. In accordance with the reporting person's election, the reporting person was issued the RSUs for the fiscal year 2024. The RSUs vest in four installments: 8,083 RSUs on March 31, 2024, 8,084 RSUs on June 30, 2024, 8,083 RSUs on September 30, 2024 and 8,084 RSUs on December 31, 2024 and are payable in an equivalent number of shares of the Issuer's Common Stock.

F2 · price: The number of shares of RSUs is equal to $80,000 divided by $2.47, the average of the closing price of the Issuer's common stock on the Nasdaq Global Select Market for the 30 days prior to the date of grant.

F3 · balance_after: Includes 138,179 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
January 01, 2024 Filed Jan 3, 2024 02:17 UTC
Hartung JackDirector
GrantCommon Stock 28,292 $2.47 $69,881.24
Disclosure

SEC source: 0001530979-24-000003 · wk-form4_1704248247.xml · nonDerivative · entry 1

Hartung Jack · CIK 0001350874 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 264,486

F1 · kind: Pursuant to the Issuer's Non-Employee Director Compensation Policy, directors may elect to receive an award of restricted stock units (RSUs) in lieu of an annual cash retainer for their service on the board. In accordance with the reporting person's election, the reporting person was issued the RSUs for the fiscal year 2024. The RSUs vest in four installments: 7,073 RSUs on March 31, 2024, 7,073 RSUs on June 30, 2024, 7,073 RSUs on September 30, 2024 and 7,073 RSUs on December 31, 2024 and are payable in an equivalent number of shares of the Issuer's Common Stock. The reporting person made a deferral election to settle these RSUs in a single lump sum installment in whole shares on the earlier of (a) immediately prior to a change in control or (b) within 60 days following the reporting person's separation date or death, whichever is earlier.

F2 · shares: The number of shares of RSUs is equal to $70,000 divided by $2.47, the average of the closing price of the Issuer's common stock on the Nasdaq Global Select Market for the 30 days prior to the date of grant.

F3 · balance_after: Includes 166,547 Restricted Stock Units which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 01:05 UTC GrantCommon Stock 51,659 $0.00 $0.00
Disclosure

SEC source: 0001875681-23-000005 · wk-form4_1702429526.xml · nonDerivative · entry 2

Lynch Alissa Hsu · CIK 0001875681 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,567

F2 · shares: Pursuant to the Issuer's Non-Employee Director Compensation Policy, the reported securities represent the automatic prorated annual grant of Restricted Stock Units (RSUs) to the Reporting Person upon her appointment to the Issuer's Board of Directors on December 8, 2023. The RSUs are payable in an equivalent number of shares of the Issuer's common stock. The RSUs shall vest on the earlier of (a) December 8, 2024, and (b) the date immediately prior to the date of the Issuer's 2024 Annual Meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through the vesting date.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 01:05 UTC GrantCommon Stock 112,908 $0.00 $0.00
Disclosure

SEC source: 0001875681-23-000005 · wk-form4_1702429526.xml · nonDerivative · entry 1

Lynch Alissa Hsu · CIK 0001875681 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,908

F1 · shares: Pursuant to the Issuer's Non-Employee Director Compensation Policy, the reported securities represent the automatic initial grant of Restricted Stock Units (RSUs) to the Reporting Person upon her appointment to the Issuer's Board of Directors on December 8, 2023. The RSUs are payable in an equivalent number of shares of the Issuer's common stock. 1/3 of the RSUs shall vest on December 8, 2024, and 1/3 of the RSUs shall vest yearly thereafter, in each case subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 01:07 UTC GrantCommon Stock 51,659 $0.00 $0.00
Disclosure

SEC source: 0001530979-23-000161 · wk-form4_1702429646.xml · nonDerivative · entry 2

Honest Company, Inc. · CIK 0001530979 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,567

F2 · shares: Pursuant to the Issuer's Non-Employee Director Compensation Policy, the reported securities represent the automatic prorated annual grant of Restricted Stock Units (RSUs) to the Reporting Person upon his appointment to the Issuer's Board of Directors on December 8, 2023. The RSUs are payable in an equivalent number of shares of the Issuer's common stock. The RSUs shall vest in full on the earlier of (a) December 8, 2024, and (b) the date immediately prior to the date of the Issuer's 2024 Annual Meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through the vesting date.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 01:07 UTC GrantCommon Stock 112,908 $0.00 $0.00
Disclosure

SEC source: 0001530979-23-000161 · wk-form4_1702429646.xml · nonDerivative · entry 1

Honest Company, Inc. · CIK 0001530979 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,908

F1 · shares: Pursuant to the Issuer's Non-Employee Director Compensation Policy, the reported securities represent the automatic initial grant of Restricted Stock Units (RSUs) to the Reporting Person upon his appointment to the Issuer's Board of Directors on December 8, 2023. The RSUs are payable in an equivalent number of shares of the Issuer's common stock. 1/3 of the RSUs shall vest on December 8, 2024, and 1/3 of the RSUs shall vest yearly thereafter, in each case subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 21:31 UTC GrantCommon Stock 51,659 $0.00 $0.00
Disclosure

SEC source: 0002004311-23-000004 · wk-form4_1702503085.xml · nonDerivative · entry 2

Turner Andrea · CIK 0002004311 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,567

F2 · shares: Pursuant to the Issuer's Non-Employee Director Compensation Policy, the reported securities represent the automatic prorated annual grant of Restricted Stock Units (RSUs) to the Reporting Person upon her appointment to the Issuer's Board of Directors on December 8, 2023. The RSUs are payable in an equivalent number of shares of the Issuer's common stock. The RSUs shall vest in full on the earlier of (a) December 8, 2024, and (b) the date immediately prior to the date of the Issuer's 2024 Annual Meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through the vest date.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 21:31 UTC GrantCommon Stock 112,908 $0.00 $0.00
Disclosure

SEC source: 0002004311-23-000004 · wk-form4_1702503085.xml · nonDerivative · entry 1

Turner Andrea · CIK 0002004311 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,908

F1 · shares: Pursuant to the Issuer's Non-Employee Director Compensation Policy, the reported securities represent the automatic initial grant of Restricted Stock Units (RSUs) to the Reporting Person upon her appointment to the Issuer's Board of Directors on December 8, 2023. The RSUs are payable in an equivalent number of shares of the Issuer's common stock. 1/3 of the RSUs shall vest on December 8, 2024, and 1/3 of the RSUs shall vest yearly thereafter, in each case subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2021 Equity Incentive Plan) through the applicable vesting date.

Read SEC document
November 20, 2023 Filed Nov 21, 2023 23:53 UTC
Warren JessicaDirector · Chief Creative Officer
SaleCommon Stock 12,551 $1.54 $19,328.54
Disclosure

SEC source: 0001530979-23-000154 · wk-form4_1700610817.xml · nonDerivative · entry 1

Warren Jessica · CIK 0001858976 · Director · Chief Creative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,015,726

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 800,298 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
November 20, 2023 Filed Nov 21, 2023 23:52 UTC
Winchell StephenEVP, Operations and R&D
SaleCommon Stock 2,960 $1.54 $4,558.40
Disclosure

SEC source: 0001530979-23-000153 · wk-form4_1700610756.xml · nonDerivative · entry 1

Winchell Stephen · CIK 0001933634 · EVP, Operations and R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,252

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 259,325 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
November 20, 2023 Filed Nov 21, 2023 23:39 UTC
Sheehey BrendanGeneral Counsel
SaleCommon Stock 4,175 $1.54 $6,429.50
Disclosure

SEC source: 0001858823-23-000052 · wk-form4_1700609931.xml · nonDerivative · entry 1

Sheehey Brendan · CIK 0001858823 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 402,897

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · balance_after: Includes 294,458 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

Read SEC document
November 16, 2023 Filed Nov 16, 2023 18:45 UTC SaleCommon Stock 124,287 $1.43 $177,730.41
Disclosure

SEC source: 0001209191-23-055606 · doc4.xml · nonDerivative · entry 2

Institutional Venture Management XIII, LLC · CIK 0001493921 · 10% owner

Institutional Venture Partners XIII, L.P. · CIK 0001493922 · 10% owner

Chaffee Todd C · CIK 0001300134 · 10% owner

FOGELSONG NORMAN A · CIK 0001140932 · 10% owner

Harrick Stephen J · CIK 0001299975 · 10% owner

Miller J Sanford · CIK 0001359524 · 10% owner

Phelps Dennis B · CIK 0001299965 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Institutional Venture Partners XIII, L.P.

Disclosed balance after: 9,363,416

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.42 to $1.51 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares are held of record by Institutional Venture Partners XIII, L.P. ("IVP XIII"). Institutional Venture Management XIII, LLC ("IVM XIII") is the general partner of IVP XIII. Todd C. Chaffee, Norman A. Fogelsong, Stephen J. Harrick, J. Sanford Miller and Dennis B. Phelps, Jr. as the managing directors of IVM XIII, may be deemed to have shared voting and dispositive power with respect to the shares held by IVP XIII. Each of IVM XIII and the managing directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or his respective pecuniary interest therein.

Read SEC document
November 15, 2023 Filed Nov 16, 2023 18:45 UTC SaleCommon Stock 236,747 $1.53 $362,222.91
Disclosure

SEC source: 0001209191-23-055606 · doc4.xml · nonDerivative · entry 1

Institutional Venture Management XIII, LLC · CIK 0001493921 · 10% owner

Institutional Venture Partners XIII, L.P. · CIK 0001493922 · 10% owner

Chaffee Todd C · CIK 0001300134 · 10% owner

FOGELSONG NORMAN A · CIK 0001140932 · 10% owner

Harrick Stephen J · CIK 0001299975 · 10% owner

Miller J Sanford · CIK 0001359524 · 10% owner

Phelps Dennis B · CIK 0001299965 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Institutional Venture Partners XIII, L.P.

Disclosed balance after: 9,487,703

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.50 to $1.57 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares are held of record by Institutional Venture Partners XIII, L.P. ("IVP XIII"). Institutional Venture Management XIII, LLC ("IVM XIII") is the general partner of IVP XIII. Todd C. Chaffee, Norman A. Fogelsong, Stephen J. Harrick, J. Sanford Miller and Dennis B. Phelps, Jr. as the managing directors of IVM XIII, may be deemed to have shared voting and dispositive power with respect to the shares held by IVP XIII. Each of IVM XIII and the managing directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or his respective pecuniary interest therein.

Read SEC document
November 14, 2023 Filed Nov 14, 2023 18:28 UTC SaleCommon Stock 323,278 $1.49 $481,684.22
Disclosure

SEC source: 0001209191-23-055224 · doc4.xml · nonDerivative · entry 4

Institutional Venture Management XIII, LLC · CIK 0001493921 · 10% owner

Institutional Venture Partners XIII, L.P. · CIK 0001493922 · 10% owner

Chaffee Todd C · CIK 0001300134 · 10% owner

FOGELSONG NORMAN A · CIK 0001140932 · 10% owner

Harrick Stephen J · CIK 0001299975 · 10% owner

Miller J Sanford · CIK 0001359524 · 10% owner

Phelps Dennis B · CIK 0001299965 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Institutional Venture Partners XIII, L.P.

Disclosed balance after: 9,724,450

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.45 to $1.53 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares are held of record by Institutional Venture Partners XIII, L.P. ("IVP XIII"). Institutional Venture Management XIII, LLC ("IVM XIII") is the general partner of IVP XIII. Todd C. Chaffee, Norman A. Fogelsong, Stephen J. Harrick, J. Sanford Miller and Dennis B. Phelps, Jr. as the managing directors of IVM XIII, may be deemed to have shared voting and dispositive power with respect to the shares held by IVP XIII. Each of IVM XIII and the managing directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or his respective pecuniary interest therein.

Read SEC document
November 13, 2023 Filed Nov 14, 2023 18:28 UTC SaleCommon Stock 64,196 $1.41 $90,516.36
Disclosure

SEC source: 0001209191-23-055224 · doc4.xml · nonDerivative · entry 3

Institutional Venture Management XIII, LLC · CIK 0001493921 · 10% owner

Institutional Venture Partners XIII, L.P. · CIK 0001493922 · 10% owner

Chaffee Todd C · CIK 0001300134 · 10% owner

FOGELSONG NORMAN A · CIK 0001140932 · 10% owner

Harrick Stephen J · CIK 0001299975 · 10% owner

Miller J Sanford · CIK 0001359524 · 10% owner

Phelps Dennis B · CIK 0001299965 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Institutional Venture Partners XIII, L.P.

Disclosed balance after: 10,047,728

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.40 to $1.43 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares are held of record by Institutional Venture Partners XIII, L.P. ("IVP XIII"). Institutional Venture Management XIII, LLC ("IVM XIII") is the general partner of IVP XIII. Todd C. Chaffee, Norman A. Fogelsong, Stephen J. Harrick, J. Sanford Miller and Dennis B. Phelps, Jr. as the managing directors of IVM XIII, may be deemed to have shared voting and dispositive power with respect to the shares held by IVP XIII. Each of IVM XIII and the managing directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or his respective pecuniary interest therein.

Read SEC document
November 10, 2023 Filed Nov 14, 2023 18:28 UTC SaleCommon Stock 133,239 $1.47 $195,861.33
Disclosure

SEC source: 0001209191-23-055224 · doc4.xml · nonDerivative · entry 2

Institutional Venture Management XIII, LLC · CIK 0001493921 · 10% owner

Institutional Venture Partners XIII, L.P. · CIK 0001493922 · 10% owner

Chaffee Todd C · CIK 0001300134 · 10% owner

FOGELSONG NORMAN A · CIK 0001140932 · 10% owner

Harrick Stephen J · CIK 0001299975 · 10% owner

Miller J Sanford · CIK 0001359524 · 10% owner

Phelps Dennis B · CIK 0001299965 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Institutional Venture Partners XIII, L.P.

Disclosed balance after: 10,111,924

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.46 to $1.50 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares are held of record by Institutional Venture Partners XIII, L.P. ("IVP XIII"). Institutional Venture Management XIII, LLC ("IVM XIII") is the general partner of IVP XIII. Todd C. Chaffee, Norman A. Fogelsong, Stephen J. Harrick, J. Sanford Miller and Dennis B. Phelps, Jr. as the managing directors of IVM XIII, may be deemed to have shared voting and dispositive power with respect to the shares held by IVP XIII. Each of IVM XIII and the managing directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or his respective pecuniary interest therein.

Read SEC document
November 09, 2023 Filed Nov 14, 2023 18:28 UTC SaleCommon Stock 151,741 $1.56 $236,715.96
Disclosure

SEC source: 0001209191-23-055224 · doc4.xml · nonDerivative · entry 1

Institutional Venture Management XIII, LLC · CIK 0001493921 · 10% owner

Institutional Venture Partners XIII, L.P. · CIK 0001493922 · 10% owner

Chaffee Todd C · CIK 0001300134 · 10% owner

FOGELSONG NORMAN A · CIK 0001140932 · 10% owner

Harrick Stephen J · CIK 0001299975 · 10% owner

Miller J Sanford · CIK 0001359524 · 10% owner

Phelps Dennis B · CIK 0001299965 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Institutional Venture Partners XIII, L.P.

Disclosed balance after: 10,245,163

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.51 to $1.59 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares are held of record by Institutional Venture Partners XIII, L.P. ("IVP XIII"). Institutional Venture Management XIII, LLC ("IVM XIII") is the general partner of IVP XIII. Todd C. Chaffee, Norman A. Fogelsong, Stephen J. Harrick, J. Sanford Miller and Dennis B. Phelps, Jr. as the managing directors of IVM XIII, may be deemed to have shared voting and dispositive power with respect to the shares held by IVP XIII. Each of IVM XIII and the managing directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or his respective pecuniary interest therein.

Read SEC document
November 01, 2023 Filed Nov 3, 2023 21:37 UTC
Loretta DavidChief Financial Officer
GrantCommon Stock 827,357 $1.21 $1,001,101.97
Disclosure

SEC source: 0001530979-23-000136 · wk-form4_1699047449.xml · nonDerivative · entry 1

Loretta David · CIK 0001363502 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 827,357

F1 · shares: On November 1, 2023, the Compensation Committee of the Issuer's Board of Directors approved a grant to the Reporting Person with a grant date of November 1, 2023 in the number of Restricted Stock Units ("RSUs") in Table I, Box 4 above, pursuant to the Issuer's 2023 Inducement Plan and in accordance with the terms of the Reporting Person's employment agreement effective September 25, 2023. The RSUs are payable in an equivalent number of shares of the Issuer's common stock. 25% of the RSUs vest on August 19, 2024 and an additional 6.25% of the RSUs vesting on each quarterly vesting date thereafter, subject to the Reporting Person's continued employment with the Issuer and the vesting acceleration provisions set forth in the Reporting Person's previously disclosed employment agreement.

Read SEC document
October 02, 2023 Filed Oct 5, 2023 20:49 UTC
Kennedy Kelly J.EVP and CFO
SaleCommon Stock 40,327 $1.23 $49,602.21
Disclosure

SEC source: 0001530979-23-000134 · wk-form4_1696538962.xml · nonDerivative · entry 1

Kennedy Kelly J. · CIK 0001545591 · EVP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 922,715

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.22 to $1.23, inclusive. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

Read SEC document
October 02, 2023 Filed Oct 5, 2023 20:48 UTC
Rexing RickChief Revenue Officer
SaleCommon Stock 10,119 $1.23 $12,446.37
Disclosure

SEC source: 0001858826-23-000033 · wk-form4_1696538892.xml · nonDerivative · entry 1

Rexing Rick · CIK 0001858826 · Chief Revenue Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 445,752

F1 · shares: Shares were sold solely to cover the associated tax liability upon the vesting of a previously granted award of Restricted Stock Units (RSUs).

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.22 to $1.23, inclusive. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

F3 · balance_after: Includes 338,510 RSUs which are payable in an equivalent number of shares of the Issuer's common stock.

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.