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Nasdaq · USD

IBIO

iBio, Inc.

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6906
SEC CIK
0001420720
Parsed reports
157

Last 12 months

Inside the activity.

4 purchase rows · 0 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 202640
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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
June 22, 2023 Filed Jun 27, 2023 12:12 UTC
Brenner MartinSee Remarks
Disposition to issuerCommon Stock 75,833 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-075015 · tm2319771-1_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 177,578

F1 · kind: Consists of 75,833 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 75,833 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan") that expired prior to vesting.

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June 21, 2023 Filed Jun 22, 2023 13:28 UTC
Brenner MartinSee Remarks
SaleCommon Stock 100 $0.68 $68.32
Disclosure

SEC source: 0001104659-23-073578 · tm2319412d1_4seq1.xml · nonDerivative · entry 3

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,411

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

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June 21, 2023 Filed Jun 22, 2023 13:28 UTC
Brenner MartinSee Remarks
SaleCommon Stock 225 $0.69 $154.51
Disclosure

SEC source: 0001104659-23-073578 · tm2319412d1_4seq1.xml · nonDerivative · entry 2

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,511

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

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June 21, 2023 Filed Jun 22, 2023 13:28 UTC
Brenner MartinSee Remarks
SaleCommon Stock 3,859 $0.68 $2,626.05
Disclosure

SEC source: 0001104659-23-073578 · tm2319412d1_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,736

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

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May 22, 2023 Filed May 24, 2023 10:03 UTC
Brenner MartinSee Remarks
SaleCommon Stock 24 $0.95 $22.68
Disclosure

SEC source: 0001104659-23-063805 · tm2316530-1_4seq1.xml · nonDerivative · entry 2

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,595

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

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May 22, 2023 Filed May 24, 2023 10:03 UTC
Brenner MartinSee Remarks
SaleCommon Stock 4,158 $0.94 $3,887.73
Disclosure

SEC source: 0001104659-23-063805 · tm2316530-1_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,619

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

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April 24, 2023 Filed Apr 24, 2023 20:01 UTC
Brenner MartinSee Remarks
SaleCommon Stock 4,382 $1.20 $5,257.52
Disclosure

SEC source: 0001104659-23-048952 · tm2313583-1_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 261,777

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.1815 to $1.2 inclusive. The Reporting Person undertakes to provide to the Issuer, any securities holder of the Issuer, or the staff of the Securities and Exchange Commission, upon report, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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March 31, 2023 Filed Apr 3, 2023 20:02 UTC
Brenner MartinSee Remarks
GrantCommon Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-040819 · tm2311232-2_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,159

F1 · kind: Consists of 50,000 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 50,000 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 50,000 RSUs vest pro rata quarterly over 12 months beginning April 1, 2023.

F1 · shares: Consists of 50,000 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 50,000 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 50,000 RSUs vest pro rata quarterly over 12 months beginning April 1, 2023.

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March 31, 2023 Filed Apr 3, 2023 20:02 UTC
Duran FelipeChief Financial Officer
GrantCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-040818 · tm2311232-1_4seq1.xml · nonDerivative · entry 1

Duran Felipe · CIK 0001964267 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,633

F1 · kind: Consists of 37,500 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 37,500 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 37,500 RSUs vest pro rata quarterly over 12 months beginning April 1, 2023.

F1 · shares: Consists of 37,500 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 37,500 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 37,500 RSUs vest pro rata quarterly over 12 months beginning April 1, 2023.

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March 23, 2023 Filed Mar 28, 2023 12:32 UTC
Brenner MartinSee Remarks
SaleCommon Stock 5,213 $2.13 $11,111.51
Disclosure

SEC source: 0001104659-23-037424 · tm2310726-1_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,159

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.1303 to $2.1315 inclusive. The Reporting Person undertakes to provide to the Issuer, any securities holder of the Issuer, or the staff of the Securities and Exchange Commission, upon report, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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February 21, 2023 Filed Feb 23, 2023 21:31 UTC
Brenner MartinSee Remarks
SaleCommon Stock 3,976 $1.77 $7,037.52
Disclosure

SEC source: 0001104659-23-024785 · tm237675-1_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,372

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

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January 20, 2023 Filed Jan 24, 2023 21:05 UTC
Brenner MartinInterim CEO and CSO
GrantCommon Stock 130,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-006184 · tm234222-1_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · Interim CEO and CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,348

F1 · security: Consists of 130,000 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 130,000 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 130,000 RSUs vest pro rata over a twelve- month period, such vesting to terminate if Dr. Brenner is no longer the Company's Interim Chief Executive Officer.

F1 · shares: Consists of 130,000 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 130,000 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 130,000 RSUs vest pro rata over a twelve- month period, such vesting to terminate if Dr. Brenner is no longer the Company's Interim Chief Executive Officer.

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November 11, 2022 Filed Nov 15, 2022 13:34 UTC
Brenner MartinChief Scientific Officer
GrantCommon Stock 95,348 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-118976 · tm2230588-1_4seq1.xml · nonDerivative · entry 1

Brenner Martin · CIK 0001770235 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,348

F1 · shares: Consists of 95,348 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 95,348 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 95,348 RSUs vest the earlier of: (i) July 1, 2023, or (ii) the successful achievement of the Corporation's 2023 objectives, as defined by the Board of Directors.

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November 11, 2022 Filed Nov 15, 2022 13:33 UTC GrantCommon Stock 100,057 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-118975 · tm2230588-2_4seq1.xml · nonDerivative · entry 1

Lutz Robert Matthew · CIK 0001786203 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,165

F1 · shares: Consists of 100,057 shares of iBio, Inc. (the "Company") common stock, $0.001 par value per share (the "Common Stock") represented by 100,057 restricted stock units ("RSUs") granted under the Company's 2020 Omnibus Equity Incentive Plan, (the "2020 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 100,057 RSUs vest the earlier of: (i) July 1, 2023, or (ii) the successful achievement of the Corporation's 2023 objectives, as defined by the Board of Directors.

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September 08, 2022 Filed Sep 12, 2022 20:02 UTC
Isett Thomas Francis 3rdDirector · CEO and Executive Chairman
GrantStock Option (right to buy) · Derivative 2,000,000 $0.00 Strike: $0.27 $0.00
Disclosure

SEC source: 0001104659-22-099236 · tm2225675d1_4.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2032-09-07

F1 · security: These options vest ratably in equal monthly instalments over a 36-month period beginning on the date of the grant (September 8, 2022), subject to the conditions of the iBio, Inc. 2020 Omnibus Incentive Compensation Plan, as amended, and the related stock option grant agreement.

F1 · derivative.exercise_date: These options vest ratably in equal monthly instalments over a 36-month period beginning on the date of the grant (September 8, 2022), subject to the conditions of the iBio, Inc. 2020 Omnibus Incentive Compensation Plan, as amended, and the related stock option grant agreement.

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August 29, 2022 Filed Aug 31, 2022 20:00 UTC
Brenner MartinChief Scientific Officer
GrantStock Option (right to buy) · Derivative 700,000 $0.00 Strike: $0.28 $0.00
Disclosure

SEC source: 0001104659-22-096528 · tm2224840-1_4seq1.xml · derivative · entry 1

Brenner Martin · CIK 0001770235 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common Stock · 700,000 shares

Expires 2032-08-29

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

Read SEC document
August 29, 2022 Filed Aug 31, 2022 20:01 UTC GrantStock Option (right to buy) · Derivative 400,000 $0.00 Strike: $0.28 $0.00
Disclosure

SEC source: 0001104659-22-096529 · tm2224840-2_4seq1.xml · derivative · entry 1

Lutz Robert Matthew · CIK 0001786203 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2032-08-28

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

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March 10, 2022 Filed Mar 14, 2022 20:12 UTC SaleCommon Stock 24,625 $0.35 $8,510.40
Disclosure

SEC source: 0001104659-22-033320 · tm229111-2_4seq1.xml · nonDerivative · entry 1

Lutz Robert Matthew · CIK 0001786203 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,375

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F1 · shares: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sales were to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and do not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc. (the "Issuer").

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.3410 to $0.3481 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
December 09, 2021 Filed Dec 13, 2021 18:53 UTC GrantStock Option (right to buy) · Derivative 109,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-21-149215 · tm2135158-5_4seq1.xml · derivative · entry 1

MCKEY JOHN D JR · CIK 0001120452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2031-12-08

F1 · security: These options vest pro rata on a monthly basis over 12 months.

F1 · shares: These options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 12 months.

Read SEC document
December 09, 2021 Filed Dec 13, 2021 18:56 UTC GrantStock Option (right to buy) · Derivative 109,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-21-149220 · tm2135158-4_4seq1.xml · derivative · entry 1

GENERAL HILL (Ret) JAMES T. · CIK 0001441718 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2031-12-08

F1 · security: These options vest pro rata on a monthly basis over 12 months.

F1 · shares: These options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 12 months.

Read SEC document
December 09, 2021 Filed Dec 14, 2021 00:12 UTC GrantStock Option (right to buy) · Derivative 109,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-21-149239 · tm2135158-8_4seq1.xml · derivative · entry 1

Clark William D · CIK 0001355415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2031-12-08

F1 · security: These options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 12 months.

Read SEC document
December 09, 2021 Filed Dec 14, 2021 00:09 UTC GrantStock Option (right to buy) · Derivative 109,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-21-149236 · tm2135158-2_4seq1.xml · derivative · entry 1

Schimmelpennink Evert B. · CIK 0001713795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2031-12-08

F1 · security: These options vest pro rata on a monthly basis over 12 months.

F1 · shares: These options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 12 months.

Read SEC document
December 09, 2021 Filed Dec 14, 2021 00:08 UTC GrantStock Option (right to buy) · Derivative 109,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-21-149234 · tm2135158-1_4seq1.xml · derivative · entry 1

Kropotova Alexandra · CIK 0001825323 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2031-12-08

F1 · security: These options vest pro rata on a monthly basis over 12 months.

F1 · shares: These options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 12 months.

Read SEC document
December 09, 2021 Filed Dec 14, 2021 00:06 UTC GrantStock Option (right to buy) · Derivative 109,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-21-149231 · tm2135158-7_4seq1.xml · derivative · entry 1

Armstrong Linda Washington · CIK 0001825579 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2031-12-08

F1 · security: These options vest pro rata on a monthly basis over 12 months.

F1 · shares: These options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 12 months.

Read SEC document
December 09, 2021 Filed Dec 13, 2021 23:58 UTC
Sender GaryDirector
GrantStock Option (right to buy) · Derivative 109,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-21-149222 · tm2135158-3_4seq1.xml · derivative · entry 1

Sender Gary · CIK 0001659085 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2031-12-08

F1 · security: These options vest pro rata on a monthly basis over 12 months.

F1 · shares: These options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 12 months.

Read SEC document
December 09, 2021 Filed Dec 13, 2021 23:50 UTC
Chang GlennDirector
GrantStock Option (right to buy) · Derivative 109,000 $0.00 Strike: $0.69 $0.00
Disclosure

SEC source: 0001104659-21-149211 · tm2135158-6_4seq1.xml · derivative · entry 1

Chang Glenn · CIK 0001384967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2031-12-08

F1 · security: These options vest pro rata on a monthly basis over 12 months.

F1 · shares: These options vest pro rata on a monthly basis over 12 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 12 months.

Read SEC document
December 07, 2021 Filed Mar 14, 2022 16:11 UTC
Maddux Randy JoeChief Operating Officer
SaleCommon Stock 37,243 $0.68 $25,444.42
Disclosure

SEC source: 0001104659-22-033319 · tm229111-1_4seq1.xml · nonDerivative · entry 1

Maddux Randy Joe · CIK 0001683826 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,757

F1 · kind: The sales reported on this Form 4 represent shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. The RSUs represent a contingent right to receive one share of common stock of iBio, Inc.

F2 · price: These shares were sold in a single transaction at a price of $0.6832 per share.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:30 UTC
Isett Thomas Francis 3rdDirector · CEO and Executive Chairman
GrantStock Option (right to buy) · Derivative 2,000,000 $0.00 Strike: $1.17 $0.00
Disclosure

SEC source: 0001104659-21-119847 · tm2128467-1_4seq1.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2031-09-22

F1 · security: These options vest as follows: (1) 25% of options granted will vest one year following the grant date; and (2) after one year following the grant date, 6.25% of the options granted will vest for each additional three (3) months of employment, subject to the conditions of the iBio, Inc. 2020 Omnibus Incentive Plan, as amended and the stock option grant agreement.

F1 · derivative.exercise_date: These options vest as follows: (1) 25% of options granted will vest one year following the grant date; and (2) after one year following the grant date, 6.25% of the options granted will vest for each additional three (3) months of employment, subject to the conditions of the iBio, Inc. 2020 Omnibus Incentive Plan, as amended and the stock option grant agreement.

Read SEC document
August 23, 2021 Filed Aug 25, 2021 20:32 UTC
Maddux Randy JoeChief Operating Officer
GrantStock Option (right to buy) · Derivative 500,000 $0.00 Strike: $1.26 $0.00
Disclosure

SEC source: 0001104659-21-109469 · tm2125787-3_4seq1.xml · derivative · entry 1

Maddux Randy Joe · CIK 0001683826 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-08-22

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

Read SEC document
August 23, 2021 Filed Aug 26, 2021 00:32 UTC
Brenner MartinChief Scientific Officer
GrantStock Option (right to buy) · Derivative 700,000 $0.00 Strike: $1.26 $0.00
Disclosure

SEC source: 0001104659-21-109468 · tm2125787-2_4seq1.xml · derivative · entry 1

Brenner Martin · CIK 0001770235 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common Stock · 700,000 shares

Expires 2031-08-22

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

Read SEC document
August 23, 2021 Filed Aug 26, 2021 00:32 UTC GrantStock Option (right to buy) · Derivative 500,000 $0.00 Strike: $1.26 $0.00
Disclosure

SEC source: 0001104659-21-109470 · tm2125787-4_4seq1.xml · derivative · entry 1

Lutz Robert Matthew · CIK 0001786203 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-08-22

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

Read SEC document
August 23, 2021 Filed Aug 26, 2021 00:31 UTC
Isett Thomas Francis 3rdDirector · CEO and Executive Chairman
GrantStock Option (right to buy) · Derivative 2,000,000 $0.00 Strike: $1.26 $0.00
Disclosure

SEC source: 0001104659-21-109467 · tm2125787-1_4seq1.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2031-08-22

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

Read SEC document
August 23, 2021 Filed Aug 26, 2021 00:31 UTC GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $1.26 $0.00
Disclosure

SEC source: 0001104659-21-109466 · tm2125787d5_4seq1.xml · derivative · entry 1

Clark William D · CIK 0001355415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-08-22

F1 · security: These options vest pro rata on a monthly basis over 36 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 36 months.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 21:19 UTC GrantStock Option · Derivative 100,000 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001104659-21-078869 · tm2119289d1_4.xml · derivative · entry 1

Schimmelpennink Evert B. · CIK 0001713795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-06-06

F1 · shares: These options vest pro rata on a monthly basis over 36 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 36 months.

Read SEC document
April 30, 2021 Filed May 5, 2021 00:46 UTC
Isett Thomas Francis 3rdDirector · CEO and Executive Chairman
GrantStock Option (right to buy) · Derivative 3,000,000 $1.37 Strike: $1.37 $4,110,000.00
Disclosure

SEC source: 0001104659-21-061237 · tm2115085d1_4.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000,000

Underlying: Common Stock · 3,000,000 shares

Expires 2031-04-29

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three (3) months of employment.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three (3) months of employment.

Read SEC document
March 04, 2021 Filed Mar 5, 2021 02:30 UTC GrantStock Option (right to buy) · Derivative 350,000 $0.00 Strike: $1.43 $0.00
Disclosure

SEC source: 0001104659-21-032333 · tm218800d2_4seq1.xml · derivative · entry 2

Lutz Robert Matthew · CIK 0001786203 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2031-03-04

F2 · derivative.exercise_date: The stock option vests as follows: (1) 25% of the options granted will vest after one year of employment with the Company; and (2) after one year of employment with the Company, 6.25% of the options granted will vest for each additional three (3) months of employment, subject to the conditions of the 2020 Plan and the stock option grant agreement.

Read SEC document
March 04, 2021 Filed Mar 5, 2021 02:30 UTC GrantCommon Stock 232,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-032333 · tm218800d2_4seq1.xml · nonDerivative · entry 1

Lutz Robert Matthew · CIK 0001786203 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,000

F1 · shares: Each restricted stock unit represents a contingent right to receive one share of common stock of iBio, Inc. (the "Company"). The restricted stock units vest in three equal annual installments beginning March 4, 2022, subject to the conditions of the iBio, Inc. 2020 Omnibus Equity Incentive Plan (the "2020 Plan") and the restricted stock unit grant agreement.

Read SEC document
January 18, 2021 Filed Jan 20, 2021 00:20 UTC
Brenner MartinChief Scientific Officer
GrantStock Option · Derivative 500,000 $0.00 Strike: $1.47 $0.00
Disclosure

SEC source: 0001104659-21-005499 · tm213570d2_4.xml · derivative · entry 1

Brenner Martin · CIK 0001770235 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-01-18

Read SEC document
December 01, 2020 Filed Dec 2, 2020 17:26 UTC
Maddux Randy JoeChief Operating Officer
GrantStock Option · Derivative 465,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001104659-20-131634 · tm2037478d2_4.xml · derivative · entry 2

Maddux Randy Joe · CIK 0001683826 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 465,000

Underlying: Common Stock · 465,000 shares

Expires 2030-11-30

F2 · derivative.exercise_date: The options vest as follows: (i) 25% of the options granted under the 2018 Plan will vest after one year of employment with the Company; and (ii) after one year of employment with the Company, 6.25% of the options granted will vest for each additional three (3) months of employment.

Read SEC document
December 01, 2020 Filed Dec 2, 2020 17:26 UTC
Maddux Randy JoeChief Operating Officer
GrantCommon Stock 309,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-131634 · tm2037478d2_4.xml · nonDerivative · entry 1

Maddux Randy Joe · CIK 0001683826 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,000

F1 · shares: Consists of 309,000 shares of iBio, Inc. (the "Company") common stock , $0.001 par value per share (the "Common Stock") represented by 309,000 restricted stock units ("RSUs") granted under the Company's 2018 Omnibus Equity Incentive Plan, as amended (the "2018 Plan"). Each RSU represents a contingent right to receive one share of Common Stock. The 309,000 RSUs start vesting pro rata on the (i) first anniversary of the grant date; (ii) second anniversary of the grant date; and (iii) third anniversary of the grant date.

Read SEC document
October 14, 2020 Filed Oct 16, 2020 10:10 UTC GrantStock Option · Derivative 100,000 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001104659-20-115459 · tm2033244d6_form4.xml · derivative · entry 1

Armstrong Linda Washington · CIK 0001825579 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-10-13

F1 · shares: These options vest pro rata on a monthly basis over 36 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 36 months.

Read SEC document
October 14, 2020 Filed Oct 16, 2020 10:09 UTC GrantStock Option · Derivative 100,000 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001104659-20-115457 · tm2033244d5_form4.xml · derivative · entry 1

Kropotova Alexandra · CIK 0001825323 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-10-13

F1 · shares: These options vest pro rata on a monthly basis over 36 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 36 months.

Read SEC document
October 14, 2020 Filed Oct 16, 2020 10:08 UTC
Sender GaryDirector
GrantStock Option · Derivative 100,000 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001104659-20-115456 · tm2033244d4_form4.xml · derivative · entry 1

Sender Gary · CIK 0001659085 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-10-13

F1 · shares: These options vest pro rata on a monthly basis over 36 months.

F1 · derivative.exercise_date: These options vest pro rata on a monthly basis over 36 months.

Read SEC document
August 11, 2020 Filed Aug 11, 2020 17:08 UTC SaleCommon Stock 15,864,436 $2.92 $46,330,498.89
Disclosure

SEC source: 0001408408-20-000047 · ownership.xml · nonDerivative · entry 4

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,629,693

F4 · security: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $2.69 to $3.69. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request

F4 · price: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $2.69 to $3.69. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request

Read SEC document
August 10, 2020 Filed Aug 11, 2020 17:08 UTC SaleCommon Stock 7,264,864 $3.91 $28,429,592.29
Disclosure

SEC source: 0001408408-20-000047 · ownership.xml · nonDerivative · entry 3

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,494,129

F3 · security: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $3.65 to $4.53. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request.

F3 · price: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $3.65 to $4.53. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request.

Read SEC document
August 07, 2020 Filed Aug 11, 2020 17:08 UTC ConversionSeries B Preferred Stock · Derivative 5,785 Not disclosed Strike: $0.20 Not disclosed
Disclosure

SEC source: 0001408408-20-000047 · ownership.xml · derivative · entry 5

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,925,000 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: On August 6, 2020 Eastern Capital Limited provided notice to the Issuer with effect on August 7, 2020 to convert the shares of Series B Preferred Stock ("Preferred Shares") into shares of Common Stock. The Preferred Shares were convertible into Shares at the option of the holder, at any time, at a conversion price equal to $0.20 per share. As a result, the Preferred Shares converted into 28,925,000 shares of Common Stock.

F1 · kind: On August 6, 2020 Eastern Capital Limited provided notice to the Issuer with effect on August 7, 2020 to convert the shares of Series B Preferred Stock ("Preferred Shares") into shares of Common Stock. The Preferred Shares were convertible into Shares at the option of the holder, at any time, at a conversion price equal to $0.20 per share. As a result, the Preferred Shares converted into 28,925,000 shares of Common Stock.

F1 · price: On August 6, 2020 Eastern Capital Limited provided notice to the Issuer with effect on August 7, 2020 to convert the shares of Series B Preferred Stock ("Preferred Shares") into shares of Common Stock. The Preferred Shares were convertible into Shares at the option of the holder, at any time, at a conversion price equal to $0.20 per share. As a result, the Preferred Shares converted into 28,925,000 shares of Common Stock.

F1 · derivative.exercise_date: On August 6, 2020 Eastern Capital Limited provided notice to the Issuer with effect on August 7, 2020 to convert the shares of Series B Preferred Stock ("Preferred Shares") into shares of Common Stock. The Preferred Shares were convertible into Shares at the option of the holder, at any time, at a conversion price equal to $0.20 per share. As a result, the Preferred Shares converted into 28,925,000 shares of Common Stock.

F1 · derivative.expiration_date: On August 6, 2020 Eastern Capital Limited provided notice to the Issuer with effect on August 7, 2020 to convert the shares of Series B Preferred Stock ("Preferred Shares") into shares of Common Stock. The Preferred Shares were convertible into Shares at the option of the holder, at any time, at a conversion price equal to $0.20 per share. As a result, the Preferred Shares converted into 28,925,000 shares of Common Stock.

Read SEC document
August 07, 2020 Filed Aug 11, 2020 17:08 UTC SaleCommon Stock 1,355,604 $3.83 $5,185,591.98
Disclosure

SEC source: 0001408408-20-000047 · ownership.xml · nonDerivative · entry 2

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,758,993

F2 · security: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $3.62 to $4.08. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request.

F2 · price: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $3.62 to $4.08. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request.

Read SEC document
August 07, 2020 Filed Aug 11, 2020 17:08 UTC ConversionCommon Stock 28,925,000 $0.20 $5,785,000.00
Disclosure

SEC source: 0001408408-20-000047 · ownership.xml · nonDerivative · entry 1

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,114,597

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: On August 6, 2020 Eastern Capital Limited provided notice to the Issuer with effect on August 7, 2020 to convert the shares of Series B Preferred Stock ("Preferred Shares") into shares of Common Stock. The Preferred Shares were convertible into Shares at the option of the holder, at any time, at a conversion price equal to $0.20 per share. As a result, the Preferred Shares converted into 28,925,000 shares of Common Stock.

F1 · kind: On August 6, 2020 Eastern Capital Limited provided notice to the Issuer with effect on August 7, 2020 to convert the shares of Series B Preferred Stock ("Preferred Shares") into shares of Common Stock. The Preferred Shares were convertible into Shares at the option of the holder, at any time, at a conversion price equal to $0.20 per share. As a result, the Preferred Shares converted into 28,925,000 shares of Common Stock.

F1 · price: On August 6, 2020 Eastern Capital Limited provided notice to the Issuer with effect on August 7, 2020 to convert the shares of Series B Preferred Stock ("Preferred Shares") into shares of Common Stock. The Preferred Shares were convertible into Shares at the option of the holder, at any time, at a conversion price equal to $0.20 per share. As a result, the Preferred Shares converted into 28,925,000 shares of Common Stock.

Read SEC document
August 06, 2020 Filed Aug 6, 2020 17:33 UTC SaleCommon Stock 2,768,137 $4.18 $11,570,535.85
Disclosure

SEC source: 0001408408-20-000039 · ownership.xml · nonDerivative · entry 3

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,114,597

F3 · security: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $4.05 to $4.52. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request.

F3 · price: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $4.05 to $4.52. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request.

Read SEC document
August 05, 2020 Filed Aug 6, 2020 17:33 UTC SaleCommon Stock 900,000 $4.46 $4,013,550.00
Disclosure

SEC source: 0001408408-20-000039 · ownership.xml · nonDerivative · entry 2

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,882,734

F2 · security: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $4.36 to $4.73. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request.

F2 · price: The Price reported in Column 4 is a weighted average price. This transaction was executed in multiple trades at prices ranging from $4.36 to $4.73. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff, the Issuer or a security holder of the Issuer upon request.

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.