Tapewire

Nasdaq · USD

HUMA

Humacyte, Inc.

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Tapewire entity
6478
SEC CIK
0001818382
Parsed reports
235

Last 12 months

Inside the activity.

5 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202622
Jun 202600
Jul 202600
Aug 202620
Sep 202610
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 08, 2023 Filed Dec 12, 2023 21:09 UTC
Cao YangChief Regulatory Officer
GrantStock Options (right to buy) · Derivative 210,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001818382-23-000194 · wk-form4_1702415388.xml · derivative · entry 1

Cao Yang · CIK 0001946538 · Chief Regulatory Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,000

Underlying: Common Stock · 210,000 shares

Expires 2033-12-08

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on December 8, 2024, after which 1/48 of the option will become exercisable on the 8th of each month through December 8, 2027.

Read SEC document
November 21, 2023 Filed Nov 21, 2023 16:07 UTC Exercise / conversionStock Options (right to buy) · Derivative 6,564 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001818382-23-000165 · wk-form4_1700600845.xml · derivative · entry 2

Wallace Max N. · CIK 0001877453 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,564 shares

Expires 2023-11-22

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
November 21, 2023 Filed Nov 21, 2023 16:07 UTC Exercise / conversionCommon Stock 6,564 $1.19 $7,811.16
Disclosure

SEC source: 0001818382-23-000165 · wk-form4_1700600845.xml · nonDerivative · entry 1

Wallace Max N. · CIK 0001877453 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,550

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
October 10, 2023 Filed Oct 10, 2023 16:08 UTC
Niklason Laura EDirector · President, CEO and Director
Exercise / conversionStock Options (right to buy) · Derivative 114,420 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001818382-23-000153 · wk-form4_1696968477.xml · derivative · entry 4

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,176

Underlying: Common Stock · 114,420 shares

Expires 2023-11-23

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
October 10, 2023 Filed Oct 10, 2023 16:08 UTC
Niklason Laura EDirector · President, CEO and Director
Exercise / conversionCommon Stock 114,420 $1.19 $136,159.80
Disclosure

SEC source: 0001818382-23-000153 · wk-form4_1696968477.xml · nonDerivative · entry 1

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,384,660

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
October 10, 2023 Filed Oct 10, 2023 16:11 UTC Exercise / conversionStock Options (right to buy) · Derivative 114,420 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001818382-23-000154 · wk-form4_1696968681.xml · derivative · entry 4

Dougan Brady W · CIK 0001878020 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 48,176

Underlying: Common Stock · 114,420 shares

Expires 2023-11-22

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
October 10, 2023 Filed Oct 10, 2023 16:11 UTC Exercise / conversionCommon Stock 114,420 $1.19 $136,159.80
Disclosure

SEC source: 0001818382-23-000154 · wk-form4_1696968681.xml · nonDerivative · entry 1

Dougan Brady W · CIK 0001878020 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 1,384,660

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 14, 2023 Filed Sep 15, 2023 16:06 UTC
Niklason Laura EDirector · President, CEO and Director
SaleCommon Stock 2,000,000 $2.78 $5,560,000.00
Disclosure

SEC source: 0001818382-23-000130 · wf-form4_169480836158057.xml · nonDerivative · entry 1

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 6,191,140

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase. Dr. Niklason is treated as indirectly beneficially owning the shares sold, resulting in the requirement to file this Form 4. However, no shares directly beneficially owned by Dr. Niklason were sold in these transactions.

Read SEC document
September 14, 2023 Filed Sep 15, 2023 16:05 UTC SaleCommon Stock 2,000,000 $2.78 $5,560,000.00
Disclosure

SEC source: 0001818382-23-000129 · wf-form4_169480834461695.xml · nonDerivative · entry 1

Dougan Brady W · CIK 0001878020 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 6,191,140

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

Read SEC document
August 21, 2023 Filed Aug 21, 2023 18:07 UTC
Niklason Laura EDirector · President, CEO and Director
SaleCommon Stock 602,443 $3.39 $2,042,281.77
Disclosure

SEC source: 0001818382-23-000121 · wf-form4_169265565726867.xml · nonDerivative · entry 3

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 8,191,140

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase. Dr. Niklason is treated as indirectly beneficially owning the shares sold, resulting in the requirement to file this Form 4. However, no shares directly beneficially owned by Dr. Niklason were sold in these transactions.

F4 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.22 to $3.80. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 21, 2023 Filed Aug 21, 2023 18:07 UTC SaleCommon Stock 602,443 $3.39 $2,042,281.77
Disclosure

SEC source: 0001818382-23-000120 · wf-form4_169265564057555.xml · nonDerivative · entry 3

Dougan Brady W · CIK 0001878020 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 8,191,140

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

F4 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.22 to $3.80. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 21, 2023 Filed Aug 21, 2023 18:07 UTC
Ayabudge LLC10% owner
SaleCommon Stock 602,443 $3.39 $2,042,281.77
Disclosure

SEC source: 0001818382-23-000119 · wf-form4_169265561875582.xml · nonDerivative · entry 3

Ayabudge LLC · CIK 0001878024 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,191,140

F1 · shares: Between August 17, 2023 and August 21, 2023, the Reporting Person sold 1,799,596 shares of Common Stock. The transactions enabled Mr. Brady W. Dougan, a person controlling the Reporting Person, to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

F4 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.22 to $3.80. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 18, 2023 Filed Aug 21, 2023 18:07 UTC
Niklason Laura EDirector · President, CEO and Director
SaleCommon Stock 626,979 $3.57 $2,238,315.03
Disclosure

SEC source: 0001818382-23-000121 · wf-form4_169265565726867.xml · nonDerivative · entry 2

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 8,793,583

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase. Dr. Niklason is treated as indirectly beneficially owning the shares sold, resulting in the requirement to file this Form 4. However, no shares directly beneficially owned by Dr. Niklason were sold in these transactions.

F3 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.50 to $3.75. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 18, 2023 Filed Aug 21, 2023 18:07 UTC SaleCommon Stock 626,979 $3.57 $2,238,315.03
Disclosure

SEC source: 0001818382-23-000120 · wf-form4_169265564057555.xml · nonDerivative · entry 2

Dougan Brady W · CIK 0001878020 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 8,793,583

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

F3 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.50 to $3.75. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 18, 2023 Filed Aug 21, 2023 18:07 UTC
Ayabudge LLC10% owner
SaleCommon Stock 626,979 $3.57 $2,238,315.03
Disclosure

SEC source: 0001818382-23-000119 · wf-form4_169265561875582.xml · nonDerivative · entry 2

Ayabudge LLC · CIK 0001878024 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,793,583

F1 · shares: Between August 17, 2023 and August 21, 2023, the Reporting Person sold 1,799,596 shares of Common Stock. The transactions enabled Mr. Brady W. Dougan, a person controlling the Reporting Person, to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

F3 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.50 to $3.75. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 18:07 UTC
Niklason Laura EDirector · President, CEO and Director
SaleCommon Stock 570,174 $3.68 $2,098,240.32
Disclosure

SEC source: 0001818382-23-000121 · wf-form4_169265565726867.xml · nonDerivative · entry 1

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 9,420,562

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase. Dr. Niklason is treated as indirectly beneficially owning the shares sold, resulting in the requirement to file this Form 4. However, no shares directly beneficially owned by Dr. Niklason were sold in these transactions.

F2 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.50 to $4.13. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 18:07 UTC SaleCommon Stock 570,174 $3.68 $2,098,240.32
Disclosure

SEC source: 0001818382-23-000120 · wf-form4_169265564057555.xml · nonDerivative · entry 1

Dougan Brady W · CIK 0001878020 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 9,420,562

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

F2 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.50 to $4.13. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 17, 2023 Filed Aug 21, 2023 18:07 UTC
Ayabudge LLC10% owner
SaleCommon Stock 570,174 $3.68 $2,098,240.32
Disclosure

SEC source: 0001818382-23-000119 · wf-form4_169265561875582.xml · nonDerivative · entry 1

Ayabudge LLC · CIK 0001878024 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,420,562

F1 · shares: Between August 17, 2023 and August 21, 2023, the Reporting Person sold 1,799,596 shares of Common Stock. The transactions enabled Mr. Brady W. Dougan, a person controlling the Reporting Person, to pay down leverage while providing a mechanism for investors to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

F2 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.50 to $4.13. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:12 UTC GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000093 · wf-form4_168694635174230.xml · derivative · entry 1

Green Charles Bruce · CIK 0001945398 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:09 UTC GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000085 · wf-form4_168694618352288.xml · derivative · entry 1

Seimetz Diane · CIK 0001930980 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:13 UTC GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000095 · wf-form4_168694639954421.xml · derivative · entry 1

Brown Emery N. · CIK 0001878691 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:09 UTC
Niklason Laura EDirector · President, CEO and Director · 10% owner
GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000084 · wf-form4_168694616392845.xml · derivative · entry 1

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:04 UTC
Niklason Laura EDirector · President, CEO and Director · 10% owner
SaleCommon Stock 500,000 $3.12 $1,558,750.00
Disclosure

SEC source: 0001818382-23-000083 · wf-form4_168694588567524.xml · nonDerivative · entry 1

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 9,990,736

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase. Dr. Niklason is treated as indirectly beneficially owning the shares sold, resulting in the requirement to file this Form 4. However, no shares directly owned by Dr. Niklason were sold in these transactions.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:12 UTC
Dougan Brady WDirector · 10% owner
GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000092 · wf-form4_168694632366088.xml · derivative · entry 1

Dougan Brady W · CIK 0001878020 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:04 UTC
Dougan Brady WDirector · 10% owner
SaleCommon Stock 500,000 $3.12 $1,558,750.00
Disclosure

SEC source: 0001818382-23-000082 · wf-form4_168694586486936.xml · nonDerivative · entry 1

Dougan Brady W · CIK 0001878020 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 9,990,736

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:04 UTC
Ayabudge LLC10% owner
SaleCommon Stock 500,000 $3.12 $1,558,750.00
Disclosure

SEC source: 0001818382-23-000081 · wf-form4_168694584708349.xml · nonDerivative · entry 1

Ayabudge LLC · CIK 0001878024 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,990,736

F1 · shares: On June 15, 2023, the Reporting Person sold 500,000 shares of Common Stock. The transactions enabled Mr. Brady W. Dougan, a person controlling the Reporting Person, to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 16:13 UTC GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000094 · wf-form4_168694637062084.xml · derivative · entry 1

Wallace Max N. · CIK 0001877453 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 20:11 UTC GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000091 · wf-form4_168694629960516.xml · derivative · entry 1

Sebelius Kathleen · CIK 0001654316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 20:11 UTC GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000090 · wf-form4_168694628257320.xml · derivative · entry 1

Constantino Michael T. · CIK 0001817285 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 20:11 UTC
Pope ToddDirector
GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000089 · wf-form4_168694625802598.xml · derivative · entry 1

Pope Todd · CIK 0001584367 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 20:10 UTC GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000088 · wf-form4_168694623409421.xml · derivative · entry 1

Binder Gordon M · CIK 0001291957 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

Read SEC document
June 15, 2023 Filed Jun 16, 2023 20:10 UTC
Shukla RajivDirector
GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000087 · wf-form4_168694621566524.xml · derivative · entry 1

Shukla Rajiv · CIK 0001709033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

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June 15, 2023 Filed Jun 16, 2023 20:10 UTC GrantStock Options (right to buy) · Derivative 8,500 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001818382-23-000086 · wf-form4_168694619989218.xml · derivative · entry 1

Windham-Bannister Susan Richards · CIK 0001713760 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The first 25% of the option becomes exercisable on June 15, 2024, after which 1/48 of the option will become exercisable on the 15th of each month through June 15, 2027.

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June 13, 2023 Filed Jun 15, 2023 16:21 UTC
Niklason Laura EDirector · President, CEO and Director · 10% owner
SaleCommon Stock 4,875,000 $2.60 $12,675,000.00
Disclosure

SEC source: 0001818382-23-000049 · wf-form4_168686046417140.xml · nonDerivative · entry 1

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 10,490,736

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase. Dr. Niklason is treated as indirectly beneficially owning the shares sold, resulting in the requirement to file this Form 4. However, no shares directly owned by Dr. Niklason were sold in these transactions.

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June 13, 2023 Filed Jun 15, 2023 16:19 UTC
Dougan Brady WDirector · 10% owner
SaleCommon Stock 4,875,000 $2.60 $12,675,000.00
Disclosure

SEC source: 0001818382-23-000048 · wf-form4_168686035871729.xml · nonDerivative · entry 1

Dougan Brady W · CIK 0001878020 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 10,490,736

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

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June 13, 2023 Filed Jun 15, 2023 16:17 UTC
Ayabudge LLC10% owner
SaleCommon Stock 4,875,000 $2.60 $12,675,000.00
Disclosure

SEC source: 0001818382-23-000047 · wf-form4_168686024922892.xml · nonDerivative · entry 1

Ayabudge LLC · CIK 0001878024 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,490,736

F1 · shares: On June 13, 2023, the Reporting Person sold 4,875,000 shares of Common Stock. The transactions enabled Mr. Brady W. Dougan, a person controlling the Reporting Person, to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

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May 25, 2023 Filed May 26, 2023 17:05 UTC
Niklason Laura EDirector · President, CEO and Director · 10% owner
SaleCommon Stock 2,625,000 $2.75 $7,218,750.00
Disclosure

SEC source: 0001104659-23-065546 · tm2317123-9_4seq1.xml · nonDerivative · entry 1

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 15,365,736

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase. Dr. Niklason is treated as indirectly beneficially owning the shares sold, resulting in the requirement to file this Form 4. However, no shares directly owned by Dr. Niklason were sold in these transactions.

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May 25, 2023 Filed May 26, 2023 17:04 UTC
Dougan Brady WDirector · 10% owner
SaleCommon Stock 2,625,000 $2.75 $7,218,750.00
Disclosure

SEC source: 0001104659-23-065544 · tm2317123-8_4seq1.xml · nonDerivative · entry 1

Dougan Brady W · CIK 0001878020 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Ayabudge LLC

Disclosed balance after: 15,365,736

F1 · shares: The sales were made by Ayabudge LLC, an entity controlled by Brady W. Dougan. The transactions enabled Mr. Dougan to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

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May 25, 2023 Filed May 26, 2023 17:02 UTC
Ayabudge LLC10% owner
SaleCommon Stock 2,625,000 $2.75 $7,218,750.00
Disclosure

SEC source: 0001104659-23-065543 · tm2317123-7_4seq1.xml · nonDerivative · entry 1

Ayabudge LLC · CIK 0001878024 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,365,736

F1 · shares: On May 25, 2023, the Reporting Person sold 2,625,000 shares of Common Stock. The transactions enabled Mr. Brady W. Dougan, a person controlling the Reporting Person, to pay down leverage while providing a mechanism for the institutional healthcare investor purchasers to acquire shares of the Issuer at a time that the Issuer was not conducting a financing transaction and was not making any additional shares available for purchase.

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May 25, 2023 Filed May 26, 2023 17:05 UTC
Prichard Heather LedbetterChief Operating Officer
Exercise / conversionStock Options (right to buy) · Derivative 64,990 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001104659-23-065547 · tm2317123-10_4seq1.xml · derivative · entry 6

Prichard Heather Ledbetter · CIK 0001877712 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64,990 shares

Expires 2023-11-22

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.

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May 25, 2023 Filed May 26, 2023 17:05 UTC
Prichard Heather LedbetterChief Operating Officer
SaleCommon Stock 9,613 $3.83 $36,817.79
Disclosure

SEC source: 0001104659-23-065547 · tm2317123-10_4seq1.xml · nonDerivative · entry 4

Prichard Heather Ledbetter · CIK 0001877712 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,566

F2 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.82 to $3.89. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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May 25, 2023 Filed May 26, 2023 17:05 UTC
Prichard Heather LedbetterChief Operating Officer
Exercise / conversionCommon Stock 64,990 $1.19 $77,338.10
Disclosure

SEC source: 0001104659-23-065547 · tm2317123-10_4seq1.xml · nonDerivative · entry 3

Prichard Heather Ledbetter · CIK 0001877712 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,179

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
May 24, 2023 Filed May 26, 2023 17:05 UTC
Prichard Heather LedbetterChief Operating Officer
Exercise / conversionStock Options (right to buy) · Derivative 13,789 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001104659-23-065547 · tm2317123-10_4seq1.xml · derivative · entry 5

Prichard Heather Ledbetter · CIK 0001877712 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,990

Underlying: Common Stock · 13,789 shares

Expires 2023-11-22

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
May 24, 2023 Filed May 26, 2023 17:05 UTC
Prichard Heather LedbetterChief Operating Officer
SaleCommon Stock 13,789 $4.14 $57,086.46
Disclosure

SEC source: 0001104659-23-065547 · tm2317123-10_4seq1.xml · nonDerivative · entry 2

Prichard Heather Ledbetter · CIK 0001877712 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,189

F1 · price: The price is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $4.14 to $4.16. The Reporting Person undertakes to provide upon request to the SEC staff, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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May 24, 2023 Filed May 26, 2023 17:05 UTC
Prichard Heather LedbetterChief Operating Officer
Exercise / conversionCommon Stock 13,789 $1.19 $16,408.91
Disclosure

SEC source: 0001104659-23-065547 · tm2317123-10_4seq1.xml · nonDerivative · entry 1

Prichard Heather Ledbetter · CIK 0001877712 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,978

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.

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May 18, 2023 Filed May 19, 2023 20:02 UTC PurchaseCommon Stock 4,750 $4.18 $19,855.00
Disclosure

SEC source: 0001818382-23-000032 · wf-form4_168452651163131.xml · nonDerivative · entry 1

Constantino Michael T. · CIK 0001817285 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,250

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March 01, 2023 Filed Mar 2, 2023 16:04 UTC
Niklason Laura EDirector · President, CEO and Director · 10% owner
Exercise / conversionStock Options (right to buy) · Derivative 100,000 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001818382-23-000003 · wf-form4_167779102542302.xml · derivative · entry 4

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,596

Underlying: Common Stock · 100,000 shares

Expires 2023-11-23

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 01, 2023 Filed Mar 2, 2023 16:04 UTC
Niklason Laura EDirector · President, CEO and Director · 10% owner
Exercise / conversionCommon Stock 100,000 $1.19 $119,000.00
Disclosure

SEC source: 0001818382-23-000003 · wf-form4_167779102542302.xml · nonDerivative · entry 1

Niklason Laura E · CIK 0001878075 · Director · President, CEO and Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,270,240

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 01, 2023 Filed Mar 2, 2023 16:05 UTC
Dougan Brady WDirector · 10% owner
Exercise / conversionStock Options (right to buy) · Derivative 100,000 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001818382-23-000004 · wf-form4_167779108942848.xml · derivative · entry 4

Dougan Brady W · CIK 0001878020 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 162,596

Underlying: Common Stock · 100,000 shares

Expires 2023-11-22

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 01, 2023 Filed Mar 2, 2023 16:05 UTC
Dougan Brady WDirector · 10% owner
Exercise / conversionCommon Stock 100,000 $1.19 $119,000.00
Disclosure

SEC source: 0001818382-23-000004 · wf-form4_167779108942848.xml · nonDerivative · entry 1

Dougan Brady W · CIK 0001878020 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 1,270,240

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

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