Last 12 months
Inside the activity.
13 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 9 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 4 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 20, 2021 Filed Apr 20, 2021 22:47 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 5,000 | $4.70 | $23,500.00 |
DisclosureSEC source: 0001214659-21-004357 · marketforms-52313.xml · nonDerivative · entry 4 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,315,440 Read SEC document |
| April 20, 2021 Filed Apr 20, 2021 22:47 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 25,000 | $4.80 | $120,000.00 |
DisclosureSEC source: 0001214659-21-004357 · marketforms-52313.xml · nonDerivative · entry 3 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,310,440 Read SEC document |
| April 19, 2021 Filed Apr 20, 2021 22:47 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 5,692 | $4.86 | $27,663.12 |
DisclosureSEC source: 0001214659-21-004357 · marketforms-52313.xml · nonDerivative · entry 2 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,285,440 Read SEC document |
| April 19, 2021 Filed Apr 20, 2021 22:47 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 25,000 | $4.90 | $122,500.00 |
DisclosureSEC source: 0001214659-21-004357 · marketforms-52313.xml · nonDerivative · entry 1 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,279,748 Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 23:29 UTC |
Haller Julia ADirector
|
GrantStock Option (right to buy) · Derivative | 1,637 | $0.00 Strike: $5.11 | $0.00 |
DisclosureSEC source: 0001638599-21-000395 · doc4_7182.xml · derivative · entry 2 Haller Julia A · CIK 0001656082 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,637 Underlying: Common Stock · 1,637 shares Expires 2031-03-31 F2 · derivative.exercise_date: The option becomes exercisable on the earlier of March 31, 2022 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 23:29 UTC |
Haller Julia ADirector
|
GrantCommon Stock, par value $.0001 | 1,223 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-21-000395 · doc4_7182.xml · nonDerivative · entry 1 Haller Julia A · CIK 0001656082 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,223 F1 · shares: Represents restricted stock units that vest on the earlier of March 31, 2022 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| March 05, 2021 Filed Mar 8, 2021 22:34 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $0.0001 | 35,000 | $5.50 | $192,500.00 |
DisclosureSEC source: 0001214659-21-002861 · marketforms-51829.xml · nonDerivative · entry 1 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,254,748 Read SEC document |
| January 15, 2021 Filed Jan 19, 2021 16:40 UTC |
MARIO ERNESTDirector
|
OtherClass A Warrant · Derivative | 41,216 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001638599-21-000068 · doc4_7003.xml · derivative · entry 2 MARIO ERNEST · CIK 0001180469 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,216 shares Expires 2021-03-24 F1 · derivative.exercise_price: The exercise price per share of the Issuer's common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F2 · derivative.underlying_shares: The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F2 · balance_after: The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. Read SEC document |
| January 15, 2021 Filed Jan 19, 2021 16:40 UTC |
MARIO ERNESTDirector
|
OtherCommon Stock, par value $.0001 | 41,216 | $2.27 | $93,560.32 |
DisclosureSEC source: 0001638599-21-000068 · doc4_7003.xml · nonDerivative · entry 1 MARIO ERNEST · CIK 0001180469 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375,743 Read SEC document |
| January 05, 2021 Filed Jan 6, 2021 21:59 UTC |
Ianchulev TsontchoDirector · Chief Executive Officer
|
OtherClass A Warrant · Derivative | 41,216 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001638599-21-000036 · doc4_6987.xml · derivative · entry 4 Ianchulev Tsontcho · CIK 0001728916 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,216 shares Expires 2021-03-24 F2 · derivative.exercise_price: The exercise price per share of the Issuer's common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F3 · derivative.underlying_shares: The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F3 · balance_after: The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. Read SEC document |
| January 05, 2021 Filed Jan 6, 2021 21:59 UTC |
Ianchulev TsontchoDirector · Chief Executive Officer
|
OtherCommon Stock, par value $.0001 | 41,216 | $2.27 | $93,560.32 |
DisclosureSEC source: 0001638599-21-000036 · doc4_6987.xml · nonDerivative · entry 1 Ianchulev Tsontcho · CIK 0001728916 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,895 Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 16:24 UTC |
LaBelle Curt HDirector
|
OtherCommon Stock, par value $.0001 | 453,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-20-000919 · doc4_6919.xml · nonDerivative · entry 1 LaBelle Curt H · CIK 0001396235 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By PME Investor Services Eyenovia, LLC Disclosed balance after: 0 F1 · kind: On November 20, 2020, PME Investor Services Eyenovia, LLC, of which the reporting person is a manager, distributed its holdings of the Issuer's common stock in-kind and on a pro rata basis to its members. F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 21:07 UTC |
Ianchulev TsontchoDirector · Chief Executive Officer
|
OtherCommon Stock, par value $.0001 | 453,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-20-000916 · doc4_6908.xml · nonDerivative · entry 1 Ianchulev Tsontcho · CIK 0001728916 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By PME Investor Services Eyenovia, LLC Disclosed balance after: 0 F1 · kind: On November 20, 2020, PME Investor Services Eyenovia, LLC, of which the reporting person is a manager, distributed its holdings of the Issuer's common stock in-kind and on a pro rata basis to its members. F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 16:05 UTC |
GANDOLFO JOHN PChief Financial Officer
|
PurchaseCommon Stock, par value $.0001 | 4,000 | $3.40 | $13,600.00 |
DisclosureSEC source: 0001638599-20-000912 · doc4_6927.xml · nonDerivative · entry 1 GANDOLFO JOHN P · CIK 0001200155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 15:54 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $0.001 | 50,000 | $3.60 | $180,000.00 |
DisclosureSEC source: 0001214659-20-008557 · marketforms-49855.xml · nonDerivative · entry 2 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,219,748 Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 15:54 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $0.0001 | 50,000 | $3.50 | $175,000.00 |
DisclosureSEC source: 0001214659-20-008557 · marketforms-49855.xml · nonDerivative · entry 1 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,169,748 Read SEC document |
| September 24, 2020 Filed Sep 25, 2020 17:42 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 50,000 | $3.00 | $150,000.00 |
DisclosureSEC source: 0001214659-20-008109 · marketforms-49764.xml · nonDerivative · entry 2 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,119,748 Read SEC document |
| September 24, 2020 Filed Sep 25, 2020 17:42 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 25,000 | $2.98 | $74,500.00 |
DisclosureSEC source: 0001214659-20-008109 · marketforms-49764.xml · nonDerivative · entry 1 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,069,748 Read SEC document |
| September 18, 2020 Filed Oct 16, 2020 17:04 UTC |
Clasby Jennifer GVP, Clinical Operations
|
Exercise / conversionStock Option (right to buy) · Derivative | 26,737 | $0.00 Strike: $1.95 | $0.00 |
DisclosureSEC source: 0001638599-20-000857 · doc4_6897.xml · derivative · entry 2 Clasby Jennifer G · CIK 0001728919 · VP, Clinical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,510 Underlying: Common Stock · 26,737 shares Expires 2027-07-07 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 · derivative.exercise_date: The option became exercisable as to 2,228 shares on August 7, 2017 and becomes exercisable in equal 2,228 share amounts on each of the 35 one-month anniversaries thereafter. Read SEC document |
| September 18, 2020 Filed Oct 16, 2020 17:04 UTC |
Clasby Jennifer GVP, Clinical Operations
|
Exercise / conversionCommon Stock | 26,737 | $1.95 | $52,137.15 |
DisclosureSEC source: 0001638599-20-000857 · doc4_6897.xml · nonDerivative · entry 1 Clasby Jennifer G · CIK 0001728919 · VP, Clinical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,702 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 11, 2020 Filed Sep 15, 2020 16:16 UTC |
ESHELMAN FREDRIC NDirector
|
GrantStock Option (right to buy) · Derivative | 9,820 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001104659-20-105231 · tm2030853d1_4.xml · derivative · entry 3 ESHELMAN FREDRIC N · CIK 0001033409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,820 Underlying: Common Stock · 9,820 shares Expires 2030-09-11 F3 · derivative.exercise_date: The option becomes exercisable on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:16 UTC |
ESHELMAN FREDRIC NDirector
|
GrantCommon Stock, par value $.0001 | 7,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-105231 · tm2030853d1_4.xml · nonDerivative · entry 1 ESHELMAN FREDRIC N · CIK 0001033409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,292,787 F1 · shares: Represents restricted stock units that vest on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:18 UTC |
MARIO ERNESTDirector
|
GrantStock Option (right to buy) · Derivative | 9,820 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001104659-20-105238 · tm2030853d6_4.xml · derivative · entry 2 MARIO ERNEST · CIK 0001180469 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,820 Underlying: Common Stock · 9,820 shares Expires 2030-09-11 F2 · derivative.exercise_date: The option becomes exercisable on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:18 UTC |
MARIO ERNESTDirector
|
GrantCommon Stock, par value $.0001 | 7,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-105238 · tm2030853d6_4.xml · nonDerivative · entry 1 MARIO ERNEST · CIK 0001180469 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 334,527 F1 · shares: Represents restricted stock units that vest on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:17 UTC |
LEE KENNETH B JRDirector
|
GrantStock Option (right to buy) · Derivative | 9,820 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001104659-20-105235 · tm2030853d4_4.xml · derivative · entry 2 LEE KENNETH B JR · CIK 0001208570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,820 Underlying: Common Stock · 9,820 shares Expires 2030-09-11 F2 · derivative.exercise_date: The option becomes exercisable on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:17 UTC |
LEE KENNETH B JRDirector
|
GrantCommon Stock, par value $.0001 | 7,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-105235 · tm2030853d4_4.xml · nonDerivative · entry 1 LEE KENNETH B JR · CIK 0001208570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,359 F1 · shares: Represents restricted stock units that vest on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:16 UTC |
SUN ANTHONY YDirector
|
GrantStock Option (right to buy) · Derivative | 9,820 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001104659-20-105234 · tm2030853d3_4.xml · derivative · entry 2 SUN ANTHONY Y · CIK 0001377952 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,820 Underlying: Common Stock · 9,820 shares Expires 2030-09-11 F2 · derivative.exercise_date: The option becomes exercisable on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:16 UTC |
SUN ANTHONY YDirector
|
GrantCommon Stock, par value $.0001 | 7,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-105234 · tm2030853d3_4.xml · nonDerivative · entry 1 SUN ANTHONY Y · CIK 0001377952 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,359 F1 · shares: Represents restricted stock units that vest on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:17 UTC |
LaBelle Curt HDirector
|
GrantStock Option (right to buy) · Derivative | 9,820 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001104659-20-105236 · tm2030853d5_4.xml · derivative · entry 4 LaBelle Curt H · CIK 0001396235 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,820 Underlying: Common Stock · 9,820 shares Expires 2030-09-11 F3 · derivative.exercise_date: The option becomes exercisable on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting at stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon changes in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:17 UTC |
LaBelle Curt HDirector
|
GrantCommon Stock, par value $.0001 | 7,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-105236 · tm2030853d5_4.xml · nonDerivative · entry 1 LaBelle Curt H · CIK 0001396235 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,273 F1 · shares: Represents restricted stock units that vest on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:16 UTC |
MATHER CHARLES E IVDirector
|
GrantStock Option (right to buy) · Derivative | 9,820 | $0.00 Strike: $3.43 | $0.00 |
DisclosureSEC source: 0001104659-20-105232 · tm2030853d2_4.xml · derivative · entry 2 MATHER CHARLES E IV · CIK 0001563422 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,820 Underlying: Common Stock · 9,820 shares Expires 2030-09-11 F2 · derivative.exercise_date: The option becomes exercisable on the earlier of September 11, 2020 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| September 11, 2020 Filed Sep 15, 2020 16:16 UTC |
MATHER CHARLES E IVDirector
|
GrantCommon Stock, par value $.0001 | 7,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-105232 · tm2030853d2_4.xml · nonDerivative · entry 1 MATHER CHARLES E IV · CIK 0001563422 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,359 F1 · shares: Represents restricted stock units that vest on the earlier of September 11, 2020 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control. Read SEC document |
| August 20, 2020 Filed Aug 24, 2020 10:05 UTC |
Grant Stuart M.10% owner
|
OtherClass A Warrant · Derivative | 903,240 | Not disclosed Strike: $2.06 | Not disclosed |
DisclosureSEC source: 0001214659-20-007432 · marketforms-49513.xml · derivative · entry 3 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 451,620 shares Expires 2021-03-23 F1 · security: Exercise of 903,240 Class A Warrants, each exercisable for 0.5 shares of Common Stock, for a price per each full share of Common Stock of $2.058. F2 · price: Not applicable pursuant to Instruction 4(c)(iii) Read SEC document |
| August 20, 2020 Filed Aug 24, 2020 10:05 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 451,620 | $2.06 | $929,433.96 |
DisclosureSEC source: 0001214659-20-007432 · marketforms-49513.xml · nonDerivative · entry 2 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,044,748 F1 · balance_after: Exercise of 903,240 Class A Warrants, each exercisable for 0.5 shares of Common Stock, for a price per each full share of Common Stock of $2.058. Read SEC document |
| August 19, 2020 Filed Aug 24, 2020 10:05 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 333,000 | $3.60 | $1,198,800.00 |
DisclosureSEC source: 0001214659-20-007432 · marketforms-49513.xml · nonDerivative · entry 1 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,593,128 Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 18:07 UTC |
Clauson LukeVP, R&D and Manufacturing
|
GrantStock Option (right to buy) · Derivative | 101,358 | $0.00 Strike: $2.72 | $0.00 |
DisclosureSEC source: 0001638599-20-000654 · doc4_6774.xml · derivative · entry 1 Clauson Luke · CIK 0001736840 · VP, R&D and Manufacturing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,358 Underlying: Common Stock · 101,358 shares Expires 2030-06-02 F1 · derivative.exercise_date: This stock option was granted by the Issuer's Board of Directors on June 3, 2020, subject to stockholder approval of the Issuer's Amended and Restated 2018 Omnibus Stock Incentive Plan (the "Plan"). The Issuer's stockholders approved the Plan on June 30, 2020. One-third of the option becomes exercisable on June 3, 2021 and the remaining shares underlying the option become exercisable in equal increments on each of the 24 one-month anniversaries thereafter. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 18:06 UTC |
Clasby Jennifer GVP, Clinical Operations
|
GrantStock Option (right to buy) · Derivative | 121,410 | $0.00 Strike: $2.72 | $0.00 |
DisclosureSEC source: 0001638599-20-000653 · doc4_6776.xml · derivative · entry 2 Clasby Jennifer G · CIK 0001728919 · VP, Clinical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,410 Underlying: Common Stock · 121,410 shares Expires 2030-06-02 F1 · derivative.exercise_date: This stock option was granted by the Issuer's Board of Directors on June 3, 2020, subject to stockholder approval of the Issuer's Amended and Restated 2018 Omnibus Stock Incentive Plan (the "Plan"). The Issuer's stockholders approved the Plan on June 30, 2020. One-third of the option becomes exercisable on June 3, 2021 and the remaining shares underlying the option become exercisable in equal increments on each of the 24 one-month anniversaries thereafter. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 18:08 UTC |
GANDOLFO JOHN PChief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 114,774 | $0.00 Strike: $2.72 | $0.00 |
DisclosureSEC source: 0001638599-20-000655 · doc4_6777.xml · derivative · entry 2 GANDOLFO JOHN P · CIK 0001200155 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,774 Underlying: Common Stock · 114,774 shares Expires 2030-06-02 F1 · derivative.exercise_date: This stock option was granted by the Issuer's Board of Directors on June 3, 2020, subject to stockholder approval of the Issuer's Amended and Restated 2018 Omnibus Stock Incentive Plan (the "Plan"). The Issuer's stockholders approved the Plan on June 30, 2020. One-third of the option becomes exercisable on June 3, 2021 and the remaining shares underlying the option become exercisable in equal increments on each of the 24 one-month anniversaries thereafter. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 22:10 UTC |
Rowe Michael MVice President, Commercial
|
GrantStock Option (right to buy) · Derivative | 141,622 | $0.00 Strike: $2.72 | $0.00 |
DisclosureSEC source: 0001638599-20-000657 · doc4_6775.xml · derivative · entry 2 Rowe Michael M · CIK 0001744774 · Vice President, Commercial 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,622 Underlying: Common Stock · 141,622 shares Expires 2030-06-02 F1 · derivative.exercise_date: This stock option was granted by the Issuer's Board of Directors on June 3, 2020, subject to stockholder approval of the Issuer's Amended and Restated 2018 Omnibus Stock Incentive Plan (the "Plan"). The Issuer's stockholders approved the Plan on June 30, 2020. One-third of the option becomes exercisable on June 3, 2021 and the remaining shares underlying the option become exercisable in equal increments on each of the 24 one-month anniversaries thereafter. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 22:09 UTC |
Ianchulev TsontchoDirector · Chief Executive Officer · 10% owner
|
GrantStock Option (right to buy) · Derivative | 285,255 | $0.00 Strike: $2.72 | $0.00 |
DisclosureSEC source: 0001638599-20-000656 · doc4_6778.xml · derivative · entry 5 Ianchulev Tsontcho · CIK 0001728916 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,255 Underlying: Common Stock · 285,255 shares Expires 2030-06-02 F2 · derivative.exercise_date: This stock option was granted by the Issuer's Board of Directors on June 3, 2020, subject to stockholder approval of the Issuer's Amended and Restated 2018 Omnibus Stock Incentive Plan (the "Plan"). The Issuer's stockholders approved the Plan on June 30, 2020. One-third of the option becomes exercisable on June 3, 2021 and the remaining shares underlying the option become exercisable in equal increments on each of the 24 one-month anniversaries thereafter. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 18:12 UTC |
MARIO ERNESTDirector
|
PurchaseClass B Warrant · Derivative | 61,823 | Not disclosed Strike: $2.72 | Not disclosed |
DisclosureSEC source: 0001638599-20-000345 · doc4_6614.xml · derivative · entry 3 MARIO ERNEST · CIK 0001180469 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,823 Underlying: Common Stock · 61,823 shares Expires 2025-03-24 F3 · derivative.exercise_price: The exercise price per share of the Issuer's common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F4 · shares: The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F1 · price: On March 24, 2020, the Reporting Person purchased Units from the Issuer in a private placement, with each Unit consisting of (a) one share of the Issuer's common stock, (b) a Class A Warrant representing the right to acquire 0.5 shares of the Issuer's common stock and (c) a Class B Warrant representing the right to acquire 0.75 shares of the Issuer's common stock. The purchase price for each Unit was $2.42625 of which $2.27 was for the share of the Issuer's common stock, $0.06250 was for the Class A Warrant and $0.09375 was for the Class B Warrant. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 18:12 UTC |
MARIO ERNESTDirector
|
PurchaseClass A Warrant · Derivative | 41,216 | Not disclosed Strike: $2.27 | Not disclosed |
DisclosureSEC source: 0001638599-20-000345 · doc4_6614.xml · derivative · entry 2 MARIO ERNEST · CIK 0001180469 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,216 Underlying: Common Stock · 41,216 shares Expires 2021-03-24 F3 · derivative.exercise_price: The exercise price per share of the Issuer's common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F4 · shares: The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F1 · price: On March 24, 2020, the Reporting Person purchased Units from the Issuer in a private placement, with each Unit consisting of (a) one share of the Issuer's common stock, (b) a Class A Warrant representing the right to acquire 0.5 shares of the Issuer's common stock and (c) a Class B Warrant representing the right to acquire 0.75 shares of the Issuer's common stock. The purchase price for each Unit was $2.42625 of which $2.27 was for the share of the Issuer's common stock, $0.06250 was for the Class A Warrant and $0.09375 was for the Class B Warrant. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 18:12 UTC |
MARIO ERNESTDirector
|
PurchaseCommon Stock, par value $.0001 | 82,431 | $2.27 | $187,118.37 |
DisclosureSEC source: 0001638599-20-000345 · doc4_6614.xml · nonDerivative · entry 1 MARIO ERNEST · CIK 0001180469 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,239 F1 · price: On March 24, 2020, the Reporting Person purchased Units from the Issuer in a private placement, with each Unit consisting of (a) one share of the Issuer's common stock, (b) a Class A Warrant representing the right to acquire 0.5 shares of the Issuer's common stock and (c) a Class B Warrant representing the right to acquire 0.75 shares of the Issuer's common stock. The purchase price for each Unit was $2.42625 of which $2.27 was for the share of the Issuer's common stock, $0.06250 was for the Class A Warrant and $0.09375 was for the Class B Warrant. F2 · balance_after: The amount of shares beneficially owned by the Reporting Person has been adjusted to reflect shares of the Issuer's common stock that are no longer beneficially attributed to the Reporting Person since he resigned as trustee of the Mario 2002 Children's Trust. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 22:17 UTC |
Ianchulev TsontchoDirector · Chief Executive Officer · 10% owner
|
PurchaseClass B Warrant · Derivative | 61,823 | Not disclosed Strike: $2.72 | Not disclosed |
DisclosureSEC source: 0001638599-20-000346 · doc4_6617.xml · derivative · entry 6 Ianchulev Tsontcho · CIK 0001728916 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,823 Underlying: Common Stock · 61,823 shares Expires 2025-03-24 F3 · derivative.exercise_price: The exercise price per share of the Issuer's common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F4 · shares: The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F1 · price: On March 24, 2020, the Reporting Person purchased Units from the Issuer in a private placement, with each Unit consisting of (a) one share of the Issuer's common stock, (b) a Class A Warrant representing the right to acquire 0.5 shares of the Issuer's common stock and (c) a Class B Warrant representing the right to acquire 0.75 shares of the Issuer's common stock. The purchase price for each Unit was $2.42625 of which $2.27 was for the share of the Issuer's common stock, $0.06250 was for the Class A Warrant and $0.09375 was for the Class B Warrant. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 22:17 UTC |
Ianchulev TsontchoDirector · Chief Executive Officer · 10% owner
|
PurchaseClass A Warrant · Derivative | 41,216 | Not disclosed Strike: $2.27 | Not disclosed |
DisclosureSEC source: 0001638599-20-000346 · doc4_6617.xml · derivative · entry 5 Ianchulev Tsontcho · CIK 0001728916 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,216 Underlying: Common Stock · 41,216 shares Expires 2021-03-24 F3 · derivative.exercise_price: The exercise price per share of the Issuer's common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F4 · shares: The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events. F1 · price: On March 24, 2020, the Reporting Person purchased Units from the Issuer in a private placement, with each Unit consisting of (a) one share of the Issuer's common stock, (b) a Class A Warrant representing the right to acquire 0.5 shares of the Issuer's common stock and (c) a Class B Warrant representing the right to acquire 0.75 shares of the Issuer's common stock. The purchase price for each Unit was $2.42625 of which $2.27 was for the share of the Issuer's common stock, $0.06250 was for the Class A Warrant and $0.09375 was for the Class B Warrant. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 22:17 UTC |
Ianchulev TsontchoDirector · Chief Executive Officer · 10% owner
|
PurchaseCommon Stock, par value $.0001 | 82,431 | $2.27 | $187,118.37 |
DisclosureSEC source: 0001638599-20-000346 · doc4_6617.xml · nonDerivative · entry 1 Ianchulev Tsontcho · CIK 0001728916 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 508,679 F1 · price: On March 24, 2020, the Reporting Person purchased Units from the Issuer in a private placement, with each Unit consisting of (a) one share of the Issuer's common stock, (b) a Class A Warrant representing the right to acquire 0.5 shares of the Issuer's common stock and (c) a Class B Warrant representing the right to acquire 0.75 shares of the Issuer's common stock. The purchase price for each Unit was $2.42625 of which $2.27 was for the share of the Issuer's common stock, $0.06250 was for the Class A Warrant and $0.09375 was for the Class B Warrant. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 21:51 UTC |
Grant Stuart M.10% owner
|
PurchaseClass B Warrant · Derivative | 903,240 | $0.16 Strike: $2.47 | $141,176.41 |
DisclosureSEC source: 0001214659-20-002915 · marketforms-48442.xml · derivative · entry 3 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 903,240 Underlying: Common Stock · 677,430 shares Expires 2025-03-23 F4 · security: Each Class B Warrant represents the right to acquire 0.75 shares of Common Stock for a price per each full share of Common Stock of $2.4696. F3 · price: The price of the Unit ($2.21425) provided that $0.15625 of such amount was the purchase price for the Class A Warrant and the Class B Warrant included in each Unit. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 21:51 UTC |
Grant Stuart M.10% owner
|
PurchaseClass A Warrant · Derivative | 903,240 | $0.16 Strike: $2.06 | $141,176.41 |
DisclosureSEC source: 0001214659-20-002915 · marketforms-48442.xml · derivative · entry 2 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 903,240 Underlying: Common Stock · 451,620 shares Expires 2021-03-23 F2 · security: Each Class A Warrant represents the right to acquire 0.5 shares of Common Stock for a price per each full share of Common Stock of $2.058. F3 · price: The price of the Unit ($2.21425) provided that $0.15625 of such amount was the purchase price for the Class A Warrant and the Class B Warrant included in each Unit. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 21:51 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 903,240 | $2.06 | $1,858,867.92 |
DisclosureSEC source: 0001214659-20-002915 · marketforms-48442.xml · nonDerivative · entry 1 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,260,128 F1 · balance_after: Shares were acquired as part of a Unit. Each Unit consisting of (a) one share of Common Stock, (b) one Class A Warrant (decribed in note (2)) and (c) one Class B Warrant (described in note (4)) F2 · balance_after: Each Class A Warrant represents the right to acquire 0.5 shares of Common Stock for a price per each full share of Common Stock of $2.058. Read SEC document |
| November 13, 2019 Filed Nov 18, 2019 11:01 UTC |
Grant Stuart M.10% owner
|
PurchaseCommon Stock, par value $.0001 | 10,000 | $2.65 | $26,500.00 |
DisclosureSEC source: 0001214659-19-007241 · marketforms-46144.xml · nonDerivative · entry 12 Grant Stuart M. · CIK 0001783415 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,356,888 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.