Last 12 months
Inside the activity.
4 purchase rows · 7 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 | 1 |
| Feb 2026 | 0 | 1 |
| Mar 2026 | 0 | 4 |
| Apr 2026 | 0 | 0 |
| May 2026 | 4 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 1 |
| 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 |
|---|---|---|---|---|---|---|
| September 28, 2020 Filed Sep 30, 2020 18:52 UTC |
Principi AnthonyDirector
|
Exercise / conversionRSU · Derivative | 12,690 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-018653 · ownership.xml · derivative · entry 6 Principi Anthony · CIK 0001347187 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,225 Underlying: Common Stock · 12,690 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 18:52 UTC |
Principi AnthonyDirector
|
Exercise / conversionRSU · Derivative | 15,723 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-018653 · ownership.xml · derivative · entry 5 Principi Anthony · CIK 0001347187 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,535 Underlying: Common Stock · 15,723 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 18:52 UTC |
Principi AnthonyDirector
|
Exercise / conversionRSU · Derivative | 34,091 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-018653 · ownership.xml · derivative · entry 4 Principi Anthony · CIK 0001347187 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,812 Underlying: Common Stock · 34,091 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 18:52 UTC |
Principi AnthonyDirector
|
Exercise / conversionRSU · Derivative | 9,715 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-018653 · ownership.xml · derivative · entry 3 Principi Anthony · CIK 0001347187 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,721 Underlying: Common Stock · 9,715 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 18:52 UTC |
Principi AnthonyDirector
|
Exercise / conversionRSU · Derivative | 17,006 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-018653 · ownership.xml · derivative · entry 2 Principi Anthony · CIK 0001347187 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,006 Underlying: Common Stock · 17,006 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 18:52 UTC |
Principi AnthonyDirector
|
Exercise / conversionCOMMON STOCK | 93,798 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-018653 · ownership.xml · nonDerivative · entry 1 Principi Anthony · CIK 0001347187 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,798 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. Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 22:48 UTC |
Van Horn R. LawrenceDirector
|
GrantRSU · Derivative | 12,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-018649 · ownership.xml · derivative · entry 1 Van Horn R. Lawrence · CIK 0001641475 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2021-09-28 F1 · security: Award of Restricted Stock Units vests in full on the one-year anniversary from the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration.. Read SEC document |
| July 12, 2020 Filed Jul 15, 2020 01:45 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 1,900 | $4.98 | $9,462.19 |
DisclosureSEC source: 0001493152-20-013301 · ownership.xml · nonDerivative · entry 4 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Account Disclosed balance after: 131,900 F5 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.9801. The range of purchase prices on the transaction date was $4.97 to $5.00 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F6 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account. Read SEC document |
| July 12, 2020 Filed Jul 15, 2020 01:45 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 19,000 | $4.99 | $94,783.40 |
DisclosureSEC source: 0001493152-20-013301 · ownership.xml · nonDerivative · entry 3 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,827,100 F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.9886. The range of purchase prices on the transaction date was $4.95 to $5.00 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| July 11, 2020 Filed Jul 15, 2020 01:45 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 46,800 | $4.96 | $231,922.08 |
DisclosureSEC source: 0001493152-20-013301 · ownership.xml · nonDerivative · entry 2 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,808,100 F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.9556. The range of purchase prices on the transaction date was $4.86 to $5.00 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| July 10, 2020 Filed Jul 15, 2020 01:45 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 45,000 | $4.98 | $223,965.00 |
DisclosureSEC source: 0001493152-20-013301 · ownership.xml · nonDerivative · entry 1 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,761,300 F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.977. The range of purchase prices on the transaction date was $4.90 to $5.00 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| July 09, 2020 Filed Jul 10, 2020 01:30 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 5,000 | $4.82 | $24,078.50 |
DisclosureSEC source: 0001493152-20-013031 · ownership.xml · nonDerivative · entry 4 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Account Disclosed balance after: 130,000 F5 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.8157. The range of purchase prices on the transaction date was $4.74 to $4.87 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F6 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account. Read SEC document |
| July 09, 2020 Filed Jul 10, 2020 01:30 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 25,000 | $4.84 | $121,000.00 |
DisclosureSEC source: 0001493152-20-013031 · ownership.xml · nonDerivative · entry 3 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,716,300 F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.84. The range of purchase prices on the transaction date was $4.73 to $4.89 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| July 08, 2020 Filed Jul 10, 2020 01:30 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 65,000 | $4.99 | $324,629.50 |
DisclosureSEC source: 0001493152-20-013031 · ownership.xml · nonDerivative · entry 2 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,691,300 F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.9943. The range of purchase prices on the transaction date was $4.95 to $5.00 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| July 07, 2020 Filed Jul 10, 2020 01:30 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 41,300 | $5.18 | $213,995.95 |
DisclosureSEC source: 0001493152-20-013031 · ownership.xml · nonDerivative · entry 1 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,626,300 F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.1815. The range of purchase prices on the transaction date was $5.11 to $5.23 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| June 19, 2020 Filed Jun 24, 2020 01:45 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 35,000 | $5.58 | $195,401.50 |
DisclosureSEC source: 0001493152-20-011671 · ownership.xml · nonDerivative · entry 1 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,585,000 F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.58293. The range of purchase prices on the transaction date was $5.49 to $5.70 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| June 04, 2020 Filed Jun 4, 2020 22:06 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 10,000 | $5.79 | $57,861.00 |
DisclosureSEC source: 0001493152-20-010599 · ownership.xml · nonDerivative · entry 3 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,550,000 F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.7861. The range of purchase prices on the transaction date was $5.6475 to $5.90 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 18:05 UTC |
LINDSTROM RICHARD L MDDirector
|
GrantRSU · Derivative | 17,006 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-010788 · ownership.xml · derivative · entry 1 LINDSTROM RICHARD L MD · CIK 0001242177 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,006 Underlying: Common Stock · 17,006 shares Expires not disclosed F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 22:05 UTC |
BAUM MARK LDirector · Chief Executive Officer
|
GrantEmployee Stock Option - Right to Buy · Derivative | 600,000 | $0.00 Strike: $7.87 | $0.00 |
DisclosureSEC source: 0001493152-20-010785 · ownership.xml · derivative · entry 2 BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2025-07-31 F1 · kind: The two reported transactions involve an amendment of an outstanding option to extend the term of the option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on July 31, 2015. The option provides for vesting in five installments based on the satisfaction of certain stock-price based performance targets during the term of such option. F1 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option to extend the term of the option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on July 31, 2015. The option provides for vesting in five installments based on the satisfaction of certain stock-price based performance targets during the term of such option. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 22:05 UTC |
BAUM MARK LDirector · Chief Executive Officer
|
Disposition to issuerEmployee Stock Option - Right to Buy · Derivative | 600,000 | $0.00 Strike: $7.87 | $0.00 |
DisclosureSEC source: 0001493152-20-010785 · ownership.xml · derivative · entry 1 BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 600,000 shares Expires 2020-07-31 F1 · kind: The two reported transactions involve an amendment of an outstanding option to extend the term of the option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on July 31, 2015. The option provides for vesting in five installments based on the satisfaction of certain stock-price based performance targets during the term of such option. F1 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option to extend the term of the option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on July 31, 2015. The option provides for vesting in five installments based on the satisfaction of certain stock-price based performance targets during the term of such option. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 18:05 UTC |
Principi AnthonyDirector
|
GrantRSU · Derivative | 17,006 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-010786 · ownership.xml · derivative · entry 1 Principi Anthony · CIK 0001347187 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,006 Underlying: Common Stock · 17,006 shares Expires not disclosed F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 22:22 UTC |
Kammer Robert JDirector
|
GrantRSU · Derivative | 17,006 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-010793 · ownership.xml · derivative · entry 1 Kammer Robert J · CIK 0001542484 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,006 Underlying: Common Stock · 17,006 shares Expires not disclosed F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 22:05 UTC |
Sparks TeresaDirector
|
GrantRSU · Derivative | 17,006 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-010787 · ownership.xml · derivative · entry 1 Sparks Teresa · CIK 0001650335 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,006 Underlying: Common Stock · 17,006 shares Expires not disclosed F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. Read SEC document |
| June 03, 2020 Filed Jun 4, 2020 22:06 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 20,600 | $5.74 | $118,307.86 |
DisclosureSEC source: 0001493152-20-010599 · ownership.xml · nonDerivative · entry 2 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,540,000 F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.7431. The range of purchase prices on the transaction date was $5.70 to $5.79 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| June 02, 2020 Filed Jun 4, 2020 22:06 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 19,400 | $5.69 | $110,339.44 |
DisclosureSEC source: 0001493152-20-010599 · ownership.xml · nonDerivative · entry 1 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,519,400 F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.6876. The range of purchase prices on the transaction date was $5.4873 to $5.757 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| May 22, 2020 Filed May 22, 2020 23:22 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 5,000 | $5.02 | $25,105.00 |
DisclosureSEC source: 0001493152-20-009778 · ownership.xml · nonDerivative · entry 6 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Account Disclosed balance after: 125,000 F6 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.021. The range of purchase prices on the transaction date was $4.70 to $5.20 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F3 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account. Read SEC document |
| May 22, 2020 Filed May 22, 2020 23:22 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 8,804 | $5.05 | $44,483.97 |
DisclosureSEC source: 0001493152-20-009778 · ownership.xml · nonDerivative · entry 5 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,500,000 F5 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $5.0527. The range of purchase prices on the transaction date was $4.72 to $5.34 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| May 21, 2020 Filed May 22, 2020 23:22 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 200 | $4.70 | $939.62 |
DisclosureSEC source: 0001493152-20-009778 · ownership.xml · nonDerivative · entry 4 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Account Disclosed balance after: 120,000 F3 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account. Read SEC document |
| May 21, 2020 Filed May 22, 2020 23:22 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 10,396 | $4.66 | $48,398.58 |
DisclosureSEC source: 0001493152-20-009778 · ownership.xml · nonDerivative · entry 3 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,491,196 F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.6555. The range of purchase prices on the transaction date was $4.605 to $4.747 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| May 20, 2020 Filed May 22, 2020 23:22 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 1,200 | $4.50 | $5,397.72 |
DisclosureSEC source: 0001493152-20-009778 · ownership.xml · nonDerivative · entry 2 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Account Disclosed balance after: 119,800 F3 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account. Read SEC document |
| May 20, 2020 Filed May 22, 2020 23:22 UTC |
Opaleye Management Inc.10% owner
|
PurchaseCommon Stock, par value $0.0001 per share | 300 | $4.47 | $1,341.00 |
DisclosureSEC source: 0001493152-20-009778 · ownership.xml · nonDerivative · entry 1 Opaleye Management Inc. · CIK 0001595855 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Opaleye, L.P. Disclosed balance after: 2,480,800 F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $4.47. The range of purchase prices on the transaction date was $4.40 to $4.505 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 18:59 UTC |
AUSTIN STEPHEN GDirector
|
Exercise / conversionRSU · Derivative | 12,690 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-004287 · ownership.xml · derivative · entry 5 AUSTIN STEPHEN G · CIK 0001219121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,529 Underlying: Common Stock · 12,690 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 18:59 UTC |
AUSTIN STEPHEN GDirector
|
Exercise / conversionRSU · Derivative | 15,723 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-004287 · ownership.xml · derivative · entry 4 AUSTIN STEPHEN G · CIK 0001219121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,806 Underlying: Common Stock · 15,723 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 18:59 UTC |
AUSTIN STEPHEN GDirector
|
Exercise / conversionRSU · Derivative | 34,091 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-004287 · ownership.xml · derivative · entry 3 AUSTIN STEPHEN G · CIK 0001219121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,715 Underlying: Common Stock · 34,091 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 18:59 UTC |
AUSTIN STEPHEN GDirector
|
Exercise / conversionRSU · Derivative | 9,715 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-004287 · ownership.xml · derivative · entry 2 AUSTIN STEPHEN G · CIK 0001219121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,715 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. F1 · security: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration. F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors. F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 18:59 UTC |
AUSTIN STEPHEN GDirector
|
Exercise / conversionCOMMON STOCK | 72,218 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-004287 · ownership.xml · nonDerivative · entry 1 AUSTIN STEPHEN G · CIK 0001219121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,987 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. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 23:04 UTC |
Sparks TeresaDirector
|
GrantRSU · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-004289 · ownership.xml · derivative · entry 1 Sparks Teresa · CIK 0001650335 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2021-03-16 F1 · security: Award of Restricted Stock Units vests in full on the one-year anniversary from the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service. F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 00:46 UTC |
BAUM MARK LDirector · Chief Executive Officer
|
GrantRestricted Stock Unit · Derivative | 88,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-000270 · ownership.xml · derivative · entry 2 BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,000 Underlying: Common Stock · 88,000 shares Expires 2023-01-02 F2 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 00:46 UTC |
BAUM MARK LDirector · Chief Executive Officer
|
GrantOption - Right to Buy · Derivative | 217,500 | $0.00 Strike: $7.30 | $0.00 |
DisclosureSEC source: 0001493152-20-000270 · ownership.xml · derivative · entry 1 BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,500 Underlying: Common Stock · 217,500 shares Expires 2030-01-02 F1 · derivative.exercise_date: Represents stock options granted under the Issuer's 2017 Stock Incentive and Awards Plan (the "Plan"). The stock options vest in equal quarterly installments over a three-year period. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 02:41 UTC Amendment |
BAUM MARK LDirector · Chief Executive Officer
|
GrantRestricted Stock Unit · Derivative | 88,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-000279 · ownership.xml · derivative · entry 2 BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,000 Underlying: Common Stock · 88,000 shares Expires 2023-01-02 F2 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 02:41 UTC Amendment |
BAUM MARK LDirector · Chief Executive Officer
|
GrantOption - Right to Buy · Derivative | 217,500 | $0.00 Strike: $7.30 | $0.00 |
DisclosureSEC source: 0001493152-20-000279 · ownership.xml · derivative · entry 1 BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,500 Underlying: Common Stock · 217,500 shares Expires 2030-01-02 F1 · derivative.exercise_date: Represents stock options granted under the Issuer's 2017 Stock Incentive and Awards Plan (the "Plan"). The stock options vest in equal quarterly installments over a three-year period. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 02:35 UTC Amendment |
BOLL ANDREW R.Chief Financial Officer
|
GrantRestricted Stock Unit · Derivative | 23,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-000277 · ownership.xml · derivative · entry 2 BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 Underlying: Common Stock · 23,000 shares Expires 2023-01-02 F2 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 02:35 UTC Amendment |
BOLL ANDREW R.Chief Financial Officer
|
GrantOption - Right to Buy · Derivative | 57,000 | $0.00 Strike: $7.30 | $0.00 |
DisclosureSEC source: 0001493152-20-000277 · ownership.xml · derivative · entry 1 BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires 2030-01-02 F1 · derivative.exercise_date: Represents stock options granted under the Issuer's 2017 Stock Incentive and Awards Plan (the "Plan"). The stock options vest in equal quarterly installments over a three-year period. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 00:47 UTC |
BOLL ANDREW R.Chief Financial Officer
|
GrantRestricted Stock Unit · Derivative | 23,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-20-000271 · ownership.xml · derivative · entry 2 BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 Underlying: Common Stock · 23,000 shares Expires 2023-01-02 F2 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant. Read SEC document |
| January 02, 2020 Filed Jan 7, 2020 00:47 UTC |
BOLL ANDREW R.Chief Financial Officer
|
GrantOption - Right to Buy · Derivative | 57,000 | $0.00 Strike: $7.30 | $0.00 |
DisclosureSEC source: 0001493152-20-000271 · ownership.xml · derivative · entry 1 BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires 2030-01-02 F1 · derivative.exercise_date: Represents stock options granted under the Issuer's 2017 Stock Incentive and Awards Plan (the "Plan"). The stock options vest in equal quarterly installments over a three-year period. Read SEC document |
| November 22, 2019 Filed Nov 25, 2019 21:12 UTC |
BAUM MARK LDirector · Chief Executive Officer
|
OtherPurchase Warrant · Derivative | 156,000 | $0.00 Strike: $1.79 | $0.00 |
DisclosureSEC source: 0001493152-19-018350 · ownership.xml · derivative · entry 2 BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 156,000 shares Expires 2019-12-23 F2 · security: On November 22, 2019, the Beadore Trust assigned the Purchase Warrants to the Four Tree Trust. Read SEC document |
| November 22, 2019 Filed Nov 25, 2019 21:12 UTC |
BAUM MARK LDirector · Chief Executive Officer
|
OtherCommon Stock | 156,000 | $1.79 | $279,240.00 |
DisclosureSEC source: 0001493152-19-018350 · ownership.xml · nonDerivative · entry 1 BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 598,126 F1 · ownership.nature: Total number of shares beneficially held by the Four Tree Trust dated June 3, 2019 (the "Four Tree Trust"), a trust through which Mr. Baum has voting and investment control over the securities. Mr. Baum, individually, and the Beadore Trust dated March 20, 2015 (the "Beadore Trust") assigned 442,126 shares of the Company's common stock to the Four Tree Trust. Read SEC document |
| November 22, 2019 Filed Nov 25, 2019 21:14 UTC |
BOLL ANDREW R.Chief Financial Officer
|
OtherPurchase Warrant · Derivative | 39,000 | $0.00 Strike: $1.79 | $0.00 |
DisclosureSEC source: 0001493152-19-018352 · ownership.xml · derivative · entry 2 BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 39,000 shares Expires 2019-12-23 Read SEC document |
| November 22, 2019 Filed Nov 25, 2019 21:14 UTC |
BOLL ANDREW R.Chief Financial Officer
|
OtherCommon Stock | 39,000 | $1.79 | $69,810.00 |
DisclosureSEC source: 0001493152-19-018352 · ownership.xml · nonDerivative · entry 1 BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,000 Read SEC document |
| November 11, 2019 Filed Nov 14, 2019 00:00 UTC |
Kammer Robert JDirector
|
SaleCommon Stock | 6,500 | $4.75 | $30,875.00 |
DisclosureSEC source: 0001493152-19-017079 · ownership.xml · nonDerivative · entry 1 Kammer Robert J · CIK 0001542484 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 797,327 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan, as amended, adopted by the Reporting Person. 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.