Last 12 months
Inside the activity.
0 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 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 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 |
|---|---|---|---|---|---|---|
| December 13, 2023 Filed Dec 15, 2023 08:25 UTC |
Roemer Alan S.Director
|
GrantSeries A Warrants (right to buy) · Derivative | 102,459 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001209191-23-058719 · doc4.xml · derivative · entry 2 Roemer Alan S. · CIK 0001643070 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 102,459 Underlying: Common Stock · 102,459 shares Expires 2025-06-13 F1 · price: The reported securities are included within 102,459 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 102,459 shares of common stock. F2 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 08:25 UTC |
Roemer Alan S.Director
|
GrantCommon Stock | 102,459 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-058719 · doc4.xml · nonDerivative · entry 1 Roemer Alan S. · CIK 0001643070 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 158,448 F1 · price: The reported securities are included within 102,459 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 102,459 shares of common stock. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:18 UTC |
Brandt Peter C.Director
|
GrantSeries B Warrants (right to buy) · Derivative | 81,967 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001209191-23-058713 · doc4.xml · derivative · entry 4 Brandt Peter C. · CIK 0001434099 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,967 Underlying: Common Stock · 81,967 shares Expires 2028-12-13 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. F3 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:18 UTC |
Brandt Peter C.Director
|
GrantSeries A Warrants (right to buy) · Derivative | 81,967 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001209191-23-058713 · doc4.xml · derivative · entry 3 Brandt Peter C. · CIK 0001434099 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,967 Underlying: Common Stock · 81,967 shares Expires 2025-06-13 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. F3 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:18 UTC |
Brandt Peter C.Director
|
GrantCommon Stock | 81,967 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-058713 · doc4.xml · nonDerivative · entry 1 Brandt Peter C. · CIK 0001434099 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 264,440 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:27 UTC |
Graff Jeremy R.Director
|
GrantSeries B Warrants (right to buy) · Derivative | 2,049 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001209191-23-058721 · doc4.xml · derivative · entry 3 Graff Jeremy R. · CIK 0001975028 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,049 Underlying: Common Stock · 2,049 shares Expires 2028-12-13 F1 · price: The reported securities are included within 2,049 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 2,049 shares of common stock. F2 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:27 UTC |
Graff Jeremy R.Director
|
GrantSeries A Warrants (right to buy) · Derivative | 2,049 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001209191-23-058721 · doc4.xml · derivative · entry 2 Graff Jeremy R. · CIK 0001975028 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,049 Underlying: Common Stock · 2,049 shares Expires 2025-06-13 F1 · price: The reported securities are included within 2,049 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 2,049 shares of common stock. F2 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:27 UTC |
Graff Jeremy R.Director
|
GrantCommon Stock | 2,049 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-058721 · doc4.xml · nonDerivative · entry 1 Graff Jeremy R. · CIK 0001975028 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,549 F1 · price: The reported securities are included within 2,049 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 2,049 shares of common stock. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:26 UTC |
Epperly CorinneDirector
|
GrantSeries B Warrants (right to buy) · Derivative | 81,967 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001209191-23-058720 · doc4.xml · derivative · entry 3 Epperly Corinne · CIK 0001839156 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,967 Underlying: Common Stock · 81,967 shares Expires 2028-12-13 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. F2 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:26 UTC |
Epperly CorinneDirector
|
GrantSeries A Warrants (right to buy) · Derivative | 81,967 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001209191-23-058720 · doc4.xml · derivative · entry 2 Epperly Corinne · CIK 0001839156 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,967 Underlying: Common Stock · 81,967 shares Expires 2025-06-13 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. F2 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:26 UTC |
Epperly CorinneDirector
|
GrantCommon Stock | 81,967 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-058720 · doc4.xml · nonDerivative · entry 1 Epperly Corinne · CIK 0001839156 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,967 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:24 UTC |
Ho William Tai-WeiDirector · President and CEO · 10% owner
|
GrantSeries B Warrants (right to buy) · Derivative | 81,967 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001209191-23-058718 · doc4.xml · derivative · entry 8 Ho William Tai-Wei · CIK 0001830914 · Director · President and CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,967 Underlying: Common Stock · 81,967 shares Expires 2028-12-13 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. F3 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:24 UTC |
Ho William Tai-WeiDirector · President and CEO · 10% owner
|
GrantSeries A Warrants (right to buy) · Derivative | 81,967 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001209191-23-058718 · doc4.xml · derivative · entry 7 Ho William Tai-Wei · CIK 0001830914 · Director · President and CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,967 Underlying: Common Stock · 81,967 shares Expires 2025-06-13 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. F3 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:24 UTC |
Ho William Tai-WeiDirector · President and CEO · 10% owner
|
GrantCommon Stock | 81,967 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-058718 · doc4.xml · nonDerivative · entry 1 Ho William Tai-Wei · CIK 0001830914 · Director · President and CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,421,512 F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:19 UTC |
Lamb LawrenceEVP and CSO
|
GrantSeries B Warrants (right to buy) · Derivative | 1,639 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001209191-23-058714 · doc4.xml · derivative · entry 3 Lamb Lawrence · CIK 0001830059 · EVP and CSO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,639 Underlying: Common Stock · 1,639 shares Expires 2028-12-13 F1 · price: The reported securities are included within 1,639 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 1,639 shares of common stock. F2 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:19 UTC |
Lamb LawrenceEVP and CSO
|
GrantSeries A Warrants (right to buy) · Derivative | 1,639 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001209191-23-058714 · doc4.xml · derivative · entry 2 Lamb Lawrence · CIK 0001830059 · EVP and CSO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,639 Underlying: Common Stock · 1,639 shares Expires 2025-06-13 F1 · price: The reported securities are included within 1,639 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 1,639 shares of common stock. F2 · derivative.exercise_date: Fully vested and exercisable. Read SEC document |
| December 13, 2023 Filed Dec 15, 2023 13:19 UTC |
Lamb LawrenceEVP and CSO
|
GrantCommon Stock | 1,639 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-058714 · doc4.xml · nonDerivative · entry 1 Lamb Lawrence · CIK 0001830059 · EVP and CSO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,369 F1 · price: The reported securities are included within 1,639 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 1,639 shares of common stock. Read SEC document |
| December 06, 2023 Filed Dec 8, 2023 21:26 UTC |
Epperly CorinneDirector
|
GrantStock Option (right to buy) · Derivative | 54,800 | $0.00 Strike: $1.04 | $0.00 |
DisclosureSEC source: 0001209191-23-057915 · doc4.xml · derivative · entry 1 Epperly Corinne · CIK 0001839156 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 54,800 Underlying: Common Stock · 54,800 shares Expires 2033-12-06 F1 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option shall vest in equal monthly installments commencing on January 6, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| September 13, 2023 Filed Sep 15, 2023 20:51 UTC |
Graff Jeremy R.Director
|
PurchaseCommon Stock | 2,500 | $0.95 | $2,375.00 |
DisclosureSEC source: 0001209191-23-049607 · doc4.xml · nonDerivative · entry 1 Graff Jeremy R. · CIK 0001975028 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 20:43 UTC |
McCall PatrickChief Financial Officer
|
PurchaseCommon Stock | 1,000 | $1.03 | $1,030.00 |
DisclosureSEC source: 0001209191-23-047526 · doc4.xml · nonDerivative · entry 1 McCall Patrick · CIK 0001874384 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,263 Read SEC document |
| August 24, 2023 Filed Aug 28, 2023 20:42 UTC |
Ho William Tai-WeiDirector · President and CEO · 10% owner
|
PurchaseCommon Stock | 23,800 | $1.05 | $24,990.00 |
DisclosureSEC source: 0001209191-23-047525 · doc4.xml · nonDerivative · entry 1 Ho William Tai-Wei · CIK 0001830914 · Director · President and CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,339,545 Read SEC document |
| July 28, 2023 Filed Aug 1, 2023 20:41 UTC |
FAIRBAIRN EMILYDirector
|
OtherCommon Stock | 4,111,958 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-044002 · doc4.xml · nonDerivative · entry 1 FAIRBAIRN EMILY · CIK 0001682638 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: These securities are held by Transcend Partners Opportunity Fund I LLC ("Transcend"). Effective July 28, 2023, Transcend appointed new managing members and adopted a policy pursuant to which voting and dispositive decisions with respect to the Issuer's securities require the approval of at least two of Transcend's managers, Grant Fairbairn, Nina Fairbairn and Scott Kintz. Under the so-called "rule of three," if voting and dispositive decisions regarding an entity's securities are made by two or more individuals, and a voting and dispositive decision requires the approval of a majority of those individuals, then none of the individuals is deemed a beneficial owner of the entity's securities. Based upon the foregoing analysis, neither an individual manager of Transcend nor the Reporting Person exercises voting or dispositive control over any of the Issuer's securities, even those in which such person may hold a pecuniary interest. F1 · ownership.nature: These securities are held by Transcend Partners Opportunity Fund I LLC ("Transcend"). Effective July 28, 2023, Transcend appointed new managing members and adopted a policy pursuant to which voting and dispositive decisions with respect to the Issuer's securities require the approval of at least two of Transcend's managers, Grant Fairbairn, Nina Fairbairn and Scott Kintz. Under the so-called "rule of three," if voting and dispositive decisions regarding an entity's securities are made by two or more individuals, and a voting and dispositive decision requires the approval of a majority of those individuals, then none of the individuals is deemed a beneficial owner of the entity's securities. Based upon the foregoing analysis, neither an individual manager of Transcend nor the Reporting Person exercises voting or dispositive control over any of the Issuer's securities, even those in which such person may hold a pecuniary interest. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 22:28 UTC |
McCall PatrickChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 87,150 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-23-039509 · doc4.xml · derivative · entry 1 McCall Patrick · CIK 0001874384 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,150 Underlying: Common Stock · 87,150 shares Expires 2033-06-21 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on June 21, 2024, and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 22:27 UTC |
Rochlin KateChief Operating Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 67,800 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-23-039508 · doc4.xml · derivative · entry 1 Rochlin Kate · CIK 0001898521 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,800 Underlying: Common Stock · 67,800 shares Expires 2033-06-21 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on June 21, 2024, and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 18:29 UTC |
Goswami TrishnaChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 134,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-23-039510 · doc4.xml · derivative · entry 1 Goswami Trishna · CIK 0001894243 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,000 Underlying: Common Stock · 134,000 shares Expires 2033-06-21 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on June 21, 2024, and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 22:26 UTC |
Lamb LawrenceEVP and CSO
|
GrantEmployee Stock Option (right to buy) · Derivative | 77,600 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-23-039507 · doc4.xml · derivative · entry 1 Lamb Lawrence · CIK 0001830059 · EVP and CSO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,600 Underlying: Common Stock · 77,600 shares Expires 2033-06-21 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on June 21, 2024, and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 21, 2023 Filed Jun 23, 2023 22:25 UTC |
Ho William Tai-WeiDirector · President and CEO · 10% owner
|
GrantEmployee Stock Option (right to buy) · Derivative | 393,950 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-23-039506 · doc4.xml · derivative · entry 1 Ho William Tai-Wei · CIK 0001830914 · Director · President and CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 393,950 Underlying: Common Stock · 393,950 shares Expires 2033-06-21 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on June 21, 2024, and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 23:44 UTC |
Greenwood LubaDirector
|
GrantStock Option (right to buy) · Derivative | 85,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-23-038121 · doc4.xml · derivative · entry 1 Greenwood Luba · CIK 0001853815 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 15, 2023 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 19:42 UTC |
Roemer Alan S.Director
|
GrantStock Option (right to buy) · Derivative | 85,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-23-038119 · doc4.xml · derivative · entry 1 Roemer Alan S. · CIK 0001643070 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 15, 2023 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 23:47 UTC |
Brandt Peter C.Director
|
GrantStock Option (right to buy) · Derivative | 85,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-23-038124 · doc4.xml · derivative · entry 1 Brandt Peter C. · CIK 0001434099 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 15, 2023 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 23:46 UTC |
FAIRBAIRN EMILYDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 85,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-23-038123 · doc4.xml · derivative · entry 1 FAIRBAIRN EMILY · CIK 0001682638 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 15, 2023 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 23:45 UTC |
Whitfill TravisDirector
|
GrantStock Option (right to buy) · Derivative | 85,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-23-038122 · doc4.xml · derivative · entry 1 Whitfill Travis · CIK 0001830178 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 15, 2023 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 23:43 UTC |
Graff Jeremy R.Director
|
GrantStock Option (right to buy) · Derivative | 85,000 | $0.00 Strike: $2.12 | $0.00 |
DisclosureSEC source: 0001209191-23-038120 · doc4.xml · derivative · entry 1 Graff Jeremy R. · CIK 0001975028 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2033-06-15 F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 15, 2023 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| May 01, 2023 Filed May 3, 2023 20:55 UTC |
Graff Jeremy R.Director
|
GrantStock Option (right to buy) · Derivative | 27,000 | $0.00 Strike: $1.74 | $0.00 |
DisclosureSEC source: 0001209191-23-027027 · doc4.xml · derivative · entry 1 Graff Jeremy R. · CIK 0001975028 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,000 Underlying: Common Stock · 27,000 shares Expires 2033-05-01 F1 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option shall vest in equal monthly installments commencing on June 1, 2023, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| April 14, 2023 Filed Apr 18, 2023 21:04 UTC |
McCall PatrickChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $1.22 | $0.00 |
DisclosureSEC source: 0001209191-23-024698 · doc4.xml · derivative · entry 1 McCall Patrick · CIK 0001874384 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2033-04-14 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on April 14, 2024 and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| April 14, 2023 Filed Apr 18, 2023 21:06 UTC |
Rochlin KateChief Operating Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $1.22 | $0.00 |
DisclosureSEC source: 0001209191-23-024701 · doc4.xml · derivative · entry 1 Rochlin Kate · CIK 0001898521 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2033-04-14 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on April 14, 2024 and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| April 14, 2023 Filed Apr 18, 2023 17:00 UTC |
Goswami TrishnaChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $1.22 | $0.00 |
DisclosureSEC source: 0001209191-23-024692 · doc4.xml · derivative · entry 1 Goswami Trishna · CIK 0001894243 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2033-04-14 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on April 14, 2024 and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| April 14, 2023 Filed Apr 18, 2023 21:02 UTC |
Lamb LawrenceEVP and CSO
|
GrantEmployee Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $1.22 | $0.00 |
DisclosureSEC source: 0001209191-23-024695 · doc4.xml · derivative · entry 1 Lamb Lawrence · CIK 0001830059 · EVP and CSO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2033-04-14 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on April 14, 2024 and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| April 14, 2023 Filed Apr 18, 2023 21:01 UTC |
Ho William Tai-WeiDirector · President and CEO · 10% owner
|
GrantEmployee Stock Option (right to buy) · Derivative | 393,950 | $0.00 Strike: $1.34 | $0.00 |
DisclosureSEC source: 0001209191-23-024694 · doc4.xml · derivative · entry 1 Ho William Tai-Wei · CIK 0001830914 · Director · President and CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 393,950 Underlying: Common Stock · 393,950 shares Expires 2028-04-14 F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on April 14, 2024 and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| April 14, 2023 Filed Jun 23, 2023 22:25 UTC Amendment |
Ho William Tai-WeiDirector · President and CEO · 10% owner
|
GrantEmployee Stock Option (right to buy) · Derivative | 393,950 | $0.00 Strike: $1.21 | $0.00 |
DisclosureSEC source: 0001209191-23-039505 · doc4a.xml · derivative · entry 1 Ho William Tai-Wei · CIK 0001830914 · Director · President and CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 393,950 Underlying: Common Stock · 393,950 shares Expires 2033-04-14 F1 · derivative.exercise_price: The initial Form 4 inadvertently listed the wrong exercise price and expiration date. This amendment reflects the revised exercise price and expiration date for this option. F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on April 14, 2024 and the remaining shares subject to the option shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. F1 · derivative.expiration_date: The initial Form 4 inadvertently listed the wrong exercise price and expiration date. This amendment reflects the revised exercise price and expiration date for this option. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 07:00 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 8,735 | $2.48 | $21,652.32 |
DisclosureSEC source: 0001104659-22-126432 · tm2232534-1_4seq1.xml · nonDerivative · entry 3 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 570,724 F12 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.37 to $2.58, inclusive. The reporting persons undertake to provide to IN8BIO, Inc., any security holder of IN8BIO, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (12) to this Form 4. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and BIOS Incysus Co-Invest I, LP ("BIOS Incysus"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners of Bios Equity II and Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F2 · ownership.nature: Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund II, Bios Fund II QP, Bios Fund II NT, BIOS Incysus, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Fletcher, Bios Management, Bios Advisors and the Bios Equity Entities, Mr. Fletcher, Bios Management and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F3 · ownership.nature: Mr. Kreis, Cavu Management and Cavu Advisors each share voting and investment control with respect to the shares held by the Bios Equity Entities. Because of the relationship between Mr. Kreis, Cavu Management, Cavu Advisors and the Bios Equity Entities, Mr. Kreis, Cavu Management and Cavu Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 07:00 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 57,052 | $2.48 | $141,420.50 |
DisclosureSEC source: 0001104659-22-126432 · tm2232534-1_4seq1.xml · nonDerivative · entry 2 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,727,597 F12 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.37 to $2.58, inclusive. The reporting persons undertake to provide to IN8BIO, Inc., any security holder of IN8BIO, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (12) to this Form 4. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and BIOS Incysus Co-Invest I, LP ("BIOS Incysus"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners of Bios Equity II and Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F2 · ownership.nature: Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund II, Bios Fund II QP, Bios Fund II NT, BIOS Incysus, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Fletcher, Bios Management, Bios Advisors and the Bios Equity Entities, Mr. Fletcher, Bios Management and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F3 · ownership.nature: Mr. Kreis, Cavu Management and Cavu Advisors each share voting and investment control with respect to the shares held by the Bios Equity Entities. Because of the relationship between Mr. Kreis, Cavu Management, Cavu Advisors and the Bios Equity Entities, Mr. Kreis, Cavu Management and Cavu Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 07:00 UTC |
Fletcher Aaron G.L.Director · 10% owner
BIOS Fund II, LPDirector · 10% owner
BIOS Fund II QP, LPDirector · 10% owner
BIOS Fund II NT, LPDirector · 10% owner
BIOS Incysus Co-Invest I, LPDirector · 10% owner
BIOS Fund III, LPDirector · 10% owner
BIOS Fund III QP, LPDirector · 10% owner
BIOS Fund III NT, LPDirector · 10% owner
BIOS Capital Management, LPDirector · 10% owner
BIOS Advisors GP, LLCDirector · 10% owner
|
PurchaseCommon Stock | 9,214 | $2.48 | $22,839.66 |
DisclosureSEC source: 0001104659-22-126432 · tm2232534-1_4seq1.xml · nonDerivative · entry 1 Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner BIOS Fund II, LP · CIK 0001714576 · Director · 10% owner BIOS Fund II QP, LP · CIK 0001716869 · Director · 10% owner BIOS Fund II NT, LP · CIK 0001728851 · Director · 10% owner BIOS Incysus Co-Invest I, LP · CIK 0001740029 · Director · 10% owner BIOS Fund III, LP · CIK 0001791917 · Director · 10% owner BIOS Fund III QP, LP · CIK 0001791916 · Director · 10% owner BIOS Fund III NT, LP · CIK 0001791910 · Director · 10% owner BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 601,980 F12 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.37 to $2.58, inclusive. The reporting persons undertake to provide to IN8BIO, Inc., any security holder of IN8BIO, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (12) to this Form 4. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and BIOS Incysus Co-Invest I, LP ("BIOS Incysus"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners of Bios Equity II and Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F2 · ownership.nature: Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund II, Bios Fund II QP, Bios Fund II NT, BIOS Incysus, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Fletcher, Bios Management, Bios Advisors and the Bios Equity Entities, Mr. Fletcher, Bios Management and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F3 · ownership.nature: Mr. Kreis, Cavu Management and Cavu Advisors each share voting and investment control with respect to the shares held by the Bios Equity Entities. Because of the relationship between Mr. Kreis, Cavu Management, Cavu Advisors and the Bios Equity Entities, Mr. Kreis, Cavu Management and Cavu Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 07:01 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 8,735 | $2.48 | $21,652.32 |
DisclosureSEC source: 0001104659-22-126433 · tm2232534-2_4seq1.xml · nonDerivative · entry 3 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 570,724 F12 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.37 to $2.58 inclusive. The reporting persons undertake to provide to IN8BIO, Inc., any security holder of IN8BIO, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (12) to this Form 4. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and BIOS Incysus Co-Invest I, LP ("BIOS Incysus"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners of Bios Equity II and Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F2 · ownership.nature: Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund II, Bios Fund II QP, Bios Fund II NT, BIOS Incysus, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Fletcher, Bios Management, Bios Advisors and the Bios Equity Entities, Mr. Fletcher, Bios Management and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F3 · ownership.nature: Mr. Kreis, Cavu Management and Cavu Advisors each share voting and investment control with respect to the shares held by the Bios Equity Entities. Because of the relationship between Mr. Kreis, Cavu Management, Cavu Advisors and the Bios Equity Entities, Mr. Kreis, Cavu Management and Cavu Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F7 · ownership.nature: The securities are directly held by Bios Fund III. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 07:01 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 57,052 | $2.48 | $141,420.50 |
DisclosureSEC source: 0001104659-22-126433 · tm2232534-2_4seq1.xml · nonDerivative · entry 2 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,727,597 F12 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.37 to $2.58 inclusive. The reporting persons undertake to provide to IN8BIO, Inc., any security holder of IN8BIO, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (12) to this Form 4. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and BIOS Incysus Co-Invest I, LP ("BIOS Incysus"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners of Bios Equity II and Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F2 · ownership.nature: Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund II, Bios Fund II QP, Bios Fund II NT, BIOS Incysus, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Fletcher, Bios Management, Bios Advisors and the Bios Equity Entities, Mr. Fletcher, Bios Management and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F3 · ownership.nature: Mr. Kreis, Cavu Management and Cavu Advisors each share voting and investment control with respect to the shares held by the Bios Equity Entities. Because of the relationship between Mr. Kreis, Cavu Management, Cavu Advisors and the Bios Equity Entities, Mr. Kreis, Cavu Management and Cavu Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F6 · ownership.nature: The securities are directly held by Bios Fund III QP. Read SEC document |
| December 12, 2022 Filed Dec 13, 2022 07:01 UTC |
Kreis Leslie W.Director · 10% owner
Bios Equity Partners II, LPDirector · 10% owner
BIOS Equity Partners III, LPDirector · 10% owner
Cavu Management, LPDirector · 10% owner
Cavu Advisors, LLCDirector · 10% owner
|
PurchaseCommon Stock | 9,214 | $2.48 | $22,839.66 |
DisclosureSEC source: 0001104659-22-126433 · tm2232534-2_4seq1.xml · nonDerivative · entry 1 Kreis Leslie W. · CIK 0001813316 · Director · 10% owner Bios Equity Partners II, LP · CIK 0001813313 · Director · 10% owner BIOS Equity Partners III, LP · CIK 0001831976 · Director · 10% owner Cavu Management, LP · CIK 0001813270 · Director · 10% owner Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 601,980 F12 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.37 to $2.58 inclusive. The reporting persons undertake to provide to IN8BIO, Inc., any security holder of IN8BIO, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (12) to this Form 4. F1 · ownership.nature: Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and BIOS Incysus Co-Invest I, LP ("BIOS Incysus"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners of Bios Equity II and Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr. F2 · ownership.nature: Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund II, Bios Fund II QP, Bios Fund II NT, BIOS Incysus, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Fletcher, Bios Management, Bios Advisors and the Bios Equity Entities, Mr. Fletcher, Bios Management and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F3 · ownership.nature: Mr. Kreis, Cavu Management and Cavu Advisors each share voting and investment control with respect to the shares held by the Bios Equity Entities. Because of the relationship between Mr. Kreis, Cavu Management, Cavu Advisors and the Bios Equity Entities, Mr. Kreis, Cavu Management and Cavu Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities. F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. F5 · ownership.nature: The securities are directly held by Bios Fund III NT. Read SEC document |
| October 21, 2022 Filed Oct 25, 2022 20:36 UTC |
McCall PatrickChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 59,796 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0001209191-22-054513 · doc4.xml · derivative · entry 1 McCall Patrick · CIK 0001874384 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,796 Underlying: Common Stock · 59,796 shares Expires 2032-10-21 F1 · derivative.exercise_date: The option will vest in three equal annual installments commencing on October 21, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| October 21, 2022 Filed Oct 25, 2022 20:35 UTC |
Rochlin KateChief Operating Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 60,555 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0001209191-22-054512 · doc4.xml · derivative · entry 1 Rochlin Kate · CIK 0001898521 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,555 Underlying: Common Stock · 60,555 shares Expires 2032-10-21 F1 · derivative.exercise_date: The option will vest in three equal annual installments commencing on October 21, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| October 21, 2022 Filed Oct 25, 2022 16:32 UTC |
Goswami TrishnaChief Medical Officer
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GrantEmployee Stock Option (right to buy) · Derivative | 68,427 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0001209191-22-054506 · doc4.xml · derivative · entry 1 Goswami Trishna · CIK 0001894243 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,427 Underlying: Common Stock · 68,427 shares Expires 2032-10-21 F1 · derivative.exercise_date: The option will vest in three equal annual installments commencing on October 21, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| October 21, 2022 Filed Oct 25, 2022 20:34 UTC |
Lamb LawrenceEVP and CSO
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GrantEmployee Stock Option (right to buy) · Derivative | 62,826 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0001209191-22-054509 · doc4.xml · derivative · entry 1 Lamb Lawrence · CIK 0001830059 · EVP and CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,826 Underlying: Common Stock · 62,826 shares Expires 2032-10-21 F1 · derivative.exercise_date: The option will vest in three equal annual installments commencing on October 21, 2024, subject to the Reporting Person continuing to provide service through each such date. 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.