Last 12 months
Inside the activity.
0 purchase rows · 46 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 7 |
| Dec 2025 | 0 | 9 |
| Jan 2026 | 0 | 2 |
| Feb 2026 | 0 | 1 |
| Mar 2026 | 0 | 1 |
| Apr 2026 | 0 | 1 |
| May 2026 | 0 | 2 |
| Jun 2026 | 0 | 1 |
| Jul 2026 | 0 | 15 |
| Aug 2026 | 0 | 5 |
| Sep 2026 | 0 | 2 |
| 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 |
|---|---|---|---|---|---|---|
| June 19, 2020 Filed Jun 23, 2020 20:23 UTC |
Flannelly Barry PEVP & General Manager US
|
Exercise / conversionCommon Stock | 7,181 | $73.21 | $525,721.01 |
DisclosureSEC source: 0001209191-20-038461 · doc4.xml · nonDerivative · entry 1 Flannelly Barry P · CIK 0001615842 · EVP & General Manager US 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,043 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 20:29 UTC |
Wenqing YaoEVP, Head of Discovery Chem
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-038189 · doc4.xml · nonDerivative · entry 1 Wenqing Yao · CIK 0001624033 · EVP, Head of Discovery Chem 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,188 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on June 18, 2020. The performance shares will vest in full on June 28, 2022, subject to the Reporting Person's continued service with the Issuer through the vesting date. Each performance share initially represented the right to receive one share of common stock based on, and subject to, the approval of a new chemical entity developed by the issuer as a drug by the U.S. FDA or the European Medicines Agency during a specified performance period. F2 · balance_after: Includes an aggregate of 95,832 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units and performance shares that have not vested as of June 18, 2020. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 20:23 UTC |
Stein Steven HEVP & Chief Medical Officer
|
GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-038174 · doc4.xml · nonDerivative · entry 1 Stein Steven H · CIK 0001673776 · EVP & Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,354 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on June 18, 2020. The performance shares will vest in full on June 28, 2022, subject to the Reporting Person's continued service with the Issuer through the vesting date. Each performance share initially represented the right to receive one share of common stock based on, and subject to, the approval of a new chemical entity developed by the issuer as a drug by the U.S. FDA or the European Medicines Agency during a specified performance period. F2 · balance_after: Includes an aggregate of 95,832 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units and performance shares that have not vested as of June 18, 2020. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 20:24 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 127 | $0.00 Strike: $65.36 | $0.00 |
DisclosureSEC source: 0001209191-20-036975 · doc4.xml · derivative · entry 2 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,823 Underlying: Common Stock · 127 shares Expires 2028-04-09 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. F2 · derivative.exercise_date: Beginning April 9, 2018, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 20:24 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionCommon Stock | 127 | $65.36 | $8,300.72 |
DisclosureSEC source: 0001209191-20-036975 · doc4.xml · nonDerivative · entry 1 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,661 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 · balance_after: This includes an aggregate of 20,648 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 20:11 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionNon Qualified Stock Option (right to buy) · Derivative | 2,192 | $0.00 Strike: $65.36 | $0.00 |
DisclosureSEC source: 0001209191-20-036246 · doc4.xml · derivative · entry 6 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,058 Underlying: Common Stock · 2,192 shares Expires 2028-04-09 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. F4 · derivative.exercise_date: Beginning April 9, 2018, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 20:11 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionNon Qualified Stock Option (right to buy) · Derivative | 1,423 | $0.00 Strike: $68.62 | $0.00 |
DisclosureSEC source: 0001209191-20-036246 · doc4.xml · derivative · entry 5 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,861 Underlying: Common Stock · 1,423 shares Expires 2028-07-01 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. F3 · derivative.exercise_date: Beginning July 2, 2018, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 20:11 UTC |
Pasquale Maria EEVP & General Counsel
|
SaleCommon Stock | 2,192 | $94.19 | $206,464.48 |
DisclosureSEC source: 0001209191-20-036246 · doc4.xml · nonDerivative · entry 4 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,534 F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. F2 · balance_after: This includes an aggregate of 20,648 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 20:11 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionCommon Stock | 2,192 | $65.36 | $143,269.12 |
DisclosureSEC source: 0001209191-20-036246 · doc4.xml · nonDerivative · entry 3 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,726 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 20:11 UTC |
Pasquale Maria EEVP & General Counsel
|
SaleCommon Stock | 1,423 | $95.00 | $135,185.00 |
DisclosureSEC source: 0001209191-20-036246 · doc4.xml · nonDerivative · entry 2 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,534 F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. Read SEC document |
| June 10, 2020 Filed Jun 12, 2020 20:11 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionCommon Stock | 1,423 | $68.62 | $97,646.26 |
DisclosureSEC source: 0001209191-20-036246 · doc4.xml · nonDerivative · entry 1 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,957 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 08, 2020 Filed Jun 10, 2020 20:34 UTC |
Dhanak DashyantEVP & Chief Scientific Officer
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 961 | $0.00 Strike: $65.42 | $0.00 |
DisclosureSEC source: 0001209191-20-035524 · doc4.xml · derivative · entry 3 Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,525 Underlying: Common Stock · 961 shares Expires 2028-12-10 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. F3 · derivative.exercise_date: Beginning December 10, 2018, options become exercisable in 37 installments, with the first 25.00% vesting on December 10, 2019 and the remainder vesting monthly over three years. Read SEC document |
| June 08, 2020 Filed Jun 10, 2020 20:34 UTC |
Dhanak DashyantEVP & Chief Scientific Officer
|
SaleCommon Stock | 961 | $91.87 | $88,287.07 |
DisclosureSEC source: 0001209191-20-035524 · doc4.xml · nonDerivative · entry 2 Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,987 F2 · balance_after: This includes an aggregate of 18,801 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested. Read SEC document |
| June 08, 2020 Filed Jun 10, 2020 20:34 UTC |
Dhanak DashyantEVP & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 961 | $65.42 | $62,868.62 |
DisclosureSEC source: 0001209191-20-035524 · doc4.xml · nonDerivative · entry 1 Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,948 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 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. Read SEC document |
| May 28, 2020 Filed May 29, 2020 00:07 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
PurchaseCommon Stock | 1 | $102.55 | $102.55 |
DisclosureSEC source: 0001638599-20-000518 · doc4_6711.xml · nonDerivative · entry 7 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 29,313,198 F7 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. F8 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options, Common Stock issued upon exercise of Stock Options, RSUs and Common Stock received upon vesting of RSUs (i.e. no direct pecuniary interest). F9 · ownership.nature: Includes beneficial ownership of 4,758 shares of Common Stock issued to Julian C. Baker pursuant to the Stock Incentive Plan in lieu of director retainer fees, 1,520 shares of Common Stock received from vested RSUs and 155,000 shares of Common Stock received from exercise of 155,000 Stock Options that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the Funds may be deemed to own a portion. F11 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F12 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F14 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser, the Adviser has voting and dispositive power over the Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs. Read SEC document |
| May 28, 2020 Filed May 29, 2020 00:07 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
PurchaseCommon Stock | 1 | $102.55 | $102.55 |
DisclosureSEC source: 0001638599-20-000518 · doc4_6711.xml · nonDerivative · entry 6 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,849,431 F6 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP),LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F8 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options, Common Stock issued upon exercise of Stock Options, RSUs and Common Stock received upon vesting of RSUs (i.e. no direct pecuniary interest). F9 · ownership.nature: Includes beneficial ownership of 4,758 shares of Common Stock issued to Julian C. Baker pursuant to the Stock Incentive Plan in lieu of director retainer fees, 1,520 shares of Common Stock received from vested RSUs and 155,000 shares of Common Stock received from exercise of 155,000 Stock Options that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the Funds may be deemed to own a portion. F11 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F12 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F14 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser, the Adviser has voting and dispositive power over the Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs. Read SEC document |
| May 26, 2020 Filed May 29, 2020 00:07 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
GrantNon-Qualified Stock Options (right to buy) · Derivative | 10,514 | $0.00 Strike: $98.68 | $0.00 |
DisclosureSEC source: 0001638599-20-000518 · doc4_6711.xml · derivative · entry 8 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 10,514 Underlying: Common Stock · 10,514 shares Expires 2030-05-25 F13 · derivative.exercise_date: Stock Options granted to Julian C. Baker on May 26, 2020, pursuant to the Incentive Plan. The Stock Options with a strike price of $98.68 vest on the earlier of May 26, 2021, the date of the next annual shareholder meeting of the Issuer or upon a change of control as defined in the Incentive Plan. F5 · ownership.nature: Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have a right to any of the Issuer's securities issued as part of his service on the Board and the Funds (as defined below) are entitled to receive all of the pecuniary interest in the securities issued. 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") each owns an indirect proportionate pecuniary interest in the RSUs and Stock Options (defined below). Solely as a result of Julian C. Baker's and Felix J. Baker's ownership interest in the general partners of the general partners of the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the RSUs and non-qualified stock options ("Stock Options") exercisable solely into Common Stock. F8 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options, Common Stock issued upon exercise of Stock Options, RSUs and Common Stock received upon vesting of RSUs (i.e. no direct pecuniary interest). F10 · ownership.nature: The disclosure of the grant of RSUs and Stock Options reported on this form is a single grant of 1,282 RSUs on Table I and 10,514 Stock Options on Table II. The 1,282 RSUs and 10,514 Stock Options are reported for each of the Funds as each has an indirect pecuniary interest in such security. F11 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F12 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F13 · ownership.nature: Stock Options granted to Julian C. Baker on May 26, 2020, pursuant to the Incentive Plan. The Stock Options with a strike price of $98.68 vest on the earlier of May 26, 2021, the date of the next annual shareholder meeting of the Issuer or upon a change of control as defined in the Incentive Plan. F14 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser, the Adviser has voting and dispositive power over the Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs. Read SEC document |
| May 26, 2020 Filed May 29, 2020 00:07 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-20-000518 · doc4_6711.xml · nonDerivative · entry 5 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 29,313,197 F4 · ownership.nature: Restricted Stock Units (each an "RSU") payable solely in Common Stock granted to Julian C. Baker on May 26, 2020, pursuant to the Amended and Restated 2010 Stock Incentive Plan ("Incentive Plan"). The RSUs fully vest on the earlier of May 26, 2021, the date of the next annual shareholder meeting of the Issuer or upon a change in control as defined in the Incentive Plan. F5 · ownership.nature: Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have a right to any of the Issuer's securities issued as part of his service on the Board and the Funds (as defined below) are entitled to receive all of the pecuniary interest in the securities issued. 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") each owns an indirect proportionate pecuniary interest in the RSUs and Stock Options (defined below). Solely as a result of Julian C. Baker's and Felix J. Baker's ownership interest in the general partners of the general partners of the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the RSUs and non-qualified stock options ("Stock Options") exercisable solely into Common Stock. F7 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. F8 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options, Common Stock issued upon exercise of Stock Options, RSUs and Common Stock received upon vesting of RSUs (i.e. no direct pecuniary interest). F9 · ownership.nature: Includes beneficial ownership of 4,758 shares of Common Stock issued to Julian C. Baker pursuant to the Stock Incentive Plan in lieu of director retainer fees, 1,520 shares of Common Stock received from vested RSUs and 155,000 shares of Common Stock received from exercise of 155,000 Stock Options that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the Funds may be deemed to own a portion. F10 · ownership.nature: The disclosure of the grant of RSUs and Stock Options reported on this form is a single grant of 1,282 RSUs on Table I and 10,514 Stock Options on Table II. The 1,282 RSUs and 10,514 Stock Options are reported for each of the Funds as each has an indirect pecuniary interest in such security. F11 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F12 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F14 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser, the Adviser has voting and dispositive power over the Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs. Read SEC document |
| May 26, 2020 Filed May 29, 2020 00:07 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-20-000518 · doc4_6711.xml · nonDerivative · entry 4 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,849,430 F4 · ownership.nature: Restricted Stock Units (each an "RSU") payable solely in Common Stock granted to Julian C. Baker on May 26, 2020, pursuant to the Amended and Restated 2010 Stock Incentive Plan ("Incentive Plan"). The RSUs fully vest on the earlier of May 26, 2021, the date of the next annual shareholder meeting of the Issuer or upon a change in control as defined in the Incentive Plan. F5 · ownership.nature: Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have a right to any of the Issuer's securities issued as part of his service on the Board and the Funds (as defined below) are entitled to receive all of the pecuniary interest in the securities issued. 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") each owns an indirect proportionate pecuniary interest in the RSUs and Stock Options (defined below). Solely as a result of Julian C. Baker's and Felix J. Baker's ownership interest in the general partners of the general partners of the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the RSUs and non-qualified stock options ("Stock Options") exercisable solely into Common Stock. F6 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP),LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F8 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options, Common Stock issued upon exercise of Stock Options, RSUs and Common Stock received upon vesting of RSUs (i.e. no direct pecuniary interest). F9 · ownership.nature: Includes beneficial ownership of 4,758 shares of Common Stock issued to Julian C. Baker pursuant to the Stock Incentive Plan in lieu of director retainer fees, 1,520 shares of Common Stock received from vested RSUs and 155,000 shares of Common Stock received from exercise of 155,000 Stock Options that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the Funds may be deemed to own a portion. F10 · ownership.nature: The disclosure of the grant of RSUs and Stock Options reported on this form is a single grant of 1,282 RSUs on Table I and 10,514 Stock Options on Table II. The 1,282 RSUs and 10,514 Stock Options are reported for each of the Funds as each has an indirect pecuniary interest in such security. F11 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F12 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F14 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser, the Adviser has voting and dispositive power over the Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs. Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:36 UTC |
High Katherine ADirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 10,514 | $0.00 Strike: $98.68 | $0.00 |
DisclosureSEC source: 0001209191-20-032607 · doc4.xml · derivative · entry 2 High Katherine A · CIK 0001631248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,514 Underlying: Common Stock · 10,514 shares Expires 2030-05-25 F2 · derivative.exercise_date: This option vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon change of control (as defined in the Amended and Restated 2010 Stock Incentive Plan). Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:36 UTC |
High Katherine ADirector
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032607 · doc4.xml · nonDerivative · entry 1 High Katherine A · CIK 0001631248 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,421 F1 · shares: This award of restricted stock units ("RSUs") vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon a change of control (as defined in the Amended and Restated 2010 Stock Incentive Plan). The RSUs may be settled only for shares of common stock on a one-for-one basis. Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:32 UTC |
HARRIGAN EDMUNDDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 10,514 | $0.00 Strike: $98.68 | $0.00 |
DisclosureSEC source: 0001209191-20-032603 · doc4.xml · derivative · entry 2 HARRIGAN EDMUND · CIK 0001177917 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,514 Underlying: Common Stock · 10,514 shares Expires 2030-05-25 F2 · derivative.exercise_date: This option vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon change of control (as defined in the Amended and Restated 2010 Stock Incentive Plan). Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:32 UTC |
HARRIGAN EDMUNDDirector
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032603 · doc4.xml · nonDerivative · entry 1 HARRIGAN EDMUND · CIK 0001177917 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,946 F1 · shares: This award of restricted stock units ("RSUs") vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon a change of control (as defined in the Amended and Restated 2010 Stock Incentive Plan). The RSUs may be settled only for shares of common stock on a one-for-one basis. Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:27 UTC |
FRIEDMAN PAUL ADirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 10,514 | $0.00 Strike: $98.68 | $0.00 |
DisclosureSEC source: 0001209191-20-032596 · doc4.xml · derivative · entry 3 FRIEDMAN PAUL A · CIK 0001236927 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,514 Underlying: Common Stock · 10,514 shares Expires 2030-05-25 F3 · derivative.exercise_date: This option vests in full on the first anniversary of the date of grant, or if earlier, the date of the next regular annual meeting of the Company's stockholders or upon change of control (as defined in the option plan). Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:27 UTC |
FRIEDMAN PAUL ADirector
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032596 · doc4.xml · nonDerivative · entry 1 FRIEDMAN PAUL A · CIK 0001236927 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,813 F1 · shares: This award of restricted stock units ("RSUs") vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon a change of control (as defined in the RSU plan). The RSUs may be settled only for shares of common stock on a one-for-one basis. Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:18 UTC |
FOUSE JACQUALYN ADirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 10,514 | $0.00 Strike: $98.68 | $0.00 |
DisclosureSEC source: 0001209191-20-032592 · doc4.xml · derivative · entry 2 FOUSE JACQUALYN A · CIK 0001405288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,514 Underlying: Common Stock · 10,514 shares Expires 2030-05-25 F2 · derivative.exercise_date: This option vests in full on the first anniversary of the date of grant, or if earlier, the date of the next regular annual meeting of the Company's stockholders or upon change of control (as defined in the option plan). Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:18 UTC |
FOUSE JACQUALYN ADirector
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032592 · doc4.xml · nonDerivative · entry 1 FOUSE JACQUALYN A · CIK 0001405288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,601 F1 · shares: This award of restricted stock units ("RSUs") vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon a change of control (as defined in the RSU plan). The RSUs may be settled only for shares of common stock on a one-for-one basis. Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:15 UTC |
DIXON WENDY LDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 10,514 | $0.00 Strike: $98.68 | $0.00 |
DisclosureSEC source: 0001209191-20-032583 · doc4.xml · derivative · entry 2 DIXON WENDY L · CIK 0001202283 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,514 Underlying: Common Stock · 10,514 shares Expires 2030-05-25 F2 · derivative.exercise_date: This option vests in full on the first anniversary of the date of grant, or if earlier, the date of the next regular annual meeting of the Company's stockholders or upon change of control (as defined in the option plan). Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:15 UTC |
DIXON WENDY LDirector
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032583 · doc4.xml · nonDerivative · entry 1 DIXON WENDY L · CIK 0001202283 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,061 F1 · shares: This award of restricted stock units ("RSUs") vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon a change of control (as defined in the RSU plan). The RSUs may be settled only for shares of common stock on a one-for-one basis. Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:13 UTC |
Clancy Paul JDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 10,514 | $0.00 Strike: $98.68 | $0.00 |
DisclosureSEC source: 0001209191-20-032579 · doc4.xml · derivative · entry 2 Clancy Paul J · CIK 0001409601 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,514 Underlying: Common Stock · 10,514 shares Expires 2030-05-25 F2 · derivative.exercise_date: This option vests in full on the first anniversary of the date of grant, or if earlier, the date of the next regular annual meeting of the Company's stockholders or upon change of control (as defined in the option plan). Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:13 UTC |
Clancy Paul JDirector
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032579 · doc4.xml · nonDerivative · entry 1 Clancy Paul J · CIK 0001409601 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,026 F1 · shares: This award of restricted stock units ("RSUs") vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon a change of control (as defined in the RSU plan). The RSUs may be settled only for shares of common stock on a one-for-one basis. Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:08 UTC |
BIENAIME JEAN JACQUESDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 10,514 | $0.00 Strike: $98.68 | $0.00 |
DisclosureSEC source: 0001209191-20-032575 · doc4.xml · derivative · entry 2 BIENAIME JEAN JACQUES · CIK 0001221590 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,514 Underlying: Common Stock · 10,514 shares Expires 2030-05-25 F2 · derivative.exercise_date: This option vests in full on the first anniversary of the date of grant, or if earlier, the date of the next regular annual meeting of the Company's stockholders or upon change of control (as defined in the option plan). Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:08 UTC |
BIENAIME JEAN JACQUESDirector
|
GrantCommon Stock | 1,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-032575 · doc4.xml · nonDerivative · entry 1 BIENAIME JEAN JACQUES · CIK 0001221590 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,982 F1 · shares: This award of restricted stock units ("RSUs") vests in full on the first anniversary of the date of grant or, if earlier, the date of the next regular annual meeting of the Company's stockholders or upon a change of control (as defined in the RSU plan). The RSUs may be settled only for shares of common stock on a one-for-one basis. Read SEC document |
| May 11, 2020 Filed May 13, 2020 20:38 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 128 | $0.00 Strike: $65.36 | $0.00 |
DisclosureSEC source: 0001209191-20-028838 · doc4.xml · derivative · entry 2 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,950 Underlying: Common Stock · 128 shares Expires 2028-04-09 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. F2 · derivative.exercise_date: Beginning April 9, 2018, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years. Read SEC document |
| May 11, 2020 Filed May 13, 2020 20:38 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionCommon Stock | 128 | $65.36 | $8,366.08 |
DisclosureSEC source: 0001209191-20-028838 · doc4.xml · nonDerivative · entry 1 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,534 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 · balance_after: This includes an aggregate of 20,648 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested. Read SEC document |
| May 06, 2020 Filed May 8, 2020 20:53 UTC |
Dhanak DashyantEVP & Chief Scientific Officer
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 961 | $0.00 Strike: $65.42 | $0.00 |
DisclosureSEC source: 0001209191-20-027959 · doc4.xml · derivative · entry 3 Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,486 Underlying: Common Stock · 961 shares Expires 2028-12-10 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. F3 · derivative.exercise_date: Beginning December 10, 2018, options become exercisable in 37 installments, with the first 25.00% vesting on December 10, 2019 and the remainder vesting monthly over three years. Read SEC document |
| May 06, 2020 Filed May 8, 2020 20:53 UTC |
Dhanak DashyantEVP & Chief Scientific Officer
|
SaleCommon Stock | 961 | $96.84 | $93,063.24 |
DisclosureSEC source: 0001209191-20-027959 · doc4.xml · nonDerivative · entry 2 Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,987 F2 · balance_after: This includes an aggregate of 18,801 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested. Read SEC document |
| May 06, 2020 Filed May 8, 2020 20:53 UTC |
Dhanak DashyantEVP & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 961 | $65.42 | $62,868.62 |
DisclosureSEC source: 0001209191-20-027959 · doc4.xml · nonDerivative · entry 1 Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,948 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 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 20:45 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
Exercise / conversionNon-Qualified Stock Options (right to buy) · Derivative | 20,000 | Not disclosed Strike: $13.34 | Not disclosed |
DisclosureSEC source: 0001638599-20-000404 · doc4_6649.xml · derivative · entry 7 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2020-05-17 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. F11 · price: These non-qualified stock options are not priced. F8 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. The policy of the Funds and the Adviser, does not permit full-time employees of the Adviser or managing members of the Adviser GP to receive compensation for serving as a director of the Issuer. F9 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. The Adviser GP is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F10 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F12 · ownership.nature: The disclosure of the exercise of Stock Options for Common Stock reported on this form is a single exercise of 20,000 shares. The 20,000 shares are reported for each of the Funds as each has an indirect pecuniary interest. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 20:45 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
Exercise / conversionNon-Qualified Stock Options (right to buy) · Derivative | 20,000 | Not disclosed Strike: $13.34 | Not disclosed |
DisclosureSEC source: 0001638599-20-000404 · doc4_6649.xml · derivative · entry 6 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2020-05-17 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. F11 · price: These non-qualified stock options are not priced. F7 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP),LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. The policy of the Funds (defined below) and the Adviser, does not permit full-time employees of the Adviser or managing members of Baker Bros. Advisors (GP) LLC (the "Adviser GP") to receive compensation for serving as a director of the Issuer. F9 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. The Adviser GP is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F10 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F12 · ownership.nature: The disclosure of the exercise of Stock Options for Common Stock reported on this form is a single exercise of 20,000 shares. The 20,000 shares are reported for each of the Funds as each has an indirect pecuniary interest. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 20:45 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
Exercise / conversionCommon Stock | 20,000 | $13.34 | $266,800.00 |
DisclosureSEC source: 0001638599-20-000404 · doc4_6649.xml · nonDerivative · entry 5 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 29,311,915 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. F4 · ownership.nature: Common Stock received upon exercise of 20,000 options exercisable into Common Stock on a 1-for-1 basis ("Stock Options") that were issued to Julian C. Baker in his capacity as a director of the Issuer. Julian C. Baker, pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), does not have any right to the pecuniary interest in the Stock Options issued for his service on the board of directors of the Issuer (the "Board") or the Common Stock received upon exercise of such Stock Options. Each of 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") owns an indirect proportionate pecuniary interest in the Common Stock received upon exercise of the Stock Options issued in connection with Julian C. Baker's service on the Board less the exercise cost of those options. F5 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the shares issued upon exercise of the Stock Options (i.e. no direct pecuniary interest). F6 · ownership.nature: Includes beneficial ownership of 4,758 shares previously issued pursuant to the Stock Incentive Plan in lieu of director retainer fees, 155,000 shares, 135,000 of which were received previously, from exercise of 155,000 Stock Options of the Issuer and 1,520 restricted stock units payable solely in Common Stock that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which each of the Funds may be deemed to own a portion. F8 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. The policy of the Funds and the Adviser, does not permit full-time employees of the Adviser or managing members of the Adviser GP to receive compensation for serving as a director of the Issuer. F9 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. The Adviser GP is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F10 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F12 · ownership.nature: The disclosure of the exercise of Stock Options for Common Stock reported on this form is a single exercise of 20,000 shares. The 20,000 shares are reported for each of the Funds as each has an indirect pecuniary interest. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 20:45 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
Exercise / conversionCommon Stock | 20,000 | $13.34 | $266,800.00 |
DisclosureSEC source: 0001638599-20-000404 · doc4_6649.xml · nonDerivative · entry 4 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,848,148 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. F4 · ownership.nature: Common Stock received upon exercise of 20,000 options exercisable into Common Stock on a 1-for-1 basis ("Stock Options") that were issued to Julian C. Baker in his capacity as a director of the Issuer. Julian C. Baker, pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), does not have any right to the pecuniary interest in the Stock Options issued for his service on the board of directors of the Issuer (the "Board") or the Common Stock received upon exercise of such Stock Options. Each of 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") owns an indirect proportionate pecuniary interest in the Common Stock received upon exercise of the Stock Options issued in connection with Julian C. Baker's service on the Board less the exercise cost of those options. F5 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the shares issued upon exercise of the Stock Options (i.e. no direct pecuniary interest). F6 · ownership.nature: Includes beneficial ownership of 4,758 shares previously issued pursuant to the Stock Incentive Plan in lieu of director retainer fees, 155,000 shares, 135,000 of which were received previously, from exercise of 155,000 Stock Options of the Issuer and 1,520 restricted stock units payable solely in Common Stock that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which each of the Funds may be deemed to own a portion. F7 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP),LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. The policy of the Funds (defined below) and the Adviser, does not permit full-time employees of the Adviser or managing members of Baker Bros. Advisors (GP) LLC (the "Adviser GP") to receive compensation for serving as a director of the Issuer. F9 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. The Adviser GP is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F10 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F12 · ownership.nature: The disclosure of the exercise of Stock Options for Common Stock reported on this form is a single exercise of 20,000 shares. The 20,000 shares are reported for each of the Funds as each has an indirect pecuniary interest. Read SEC document |
| April 17, 2020 Filed Apr 20, 2020 21:08 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionNon Qualified Stock Option (right to buy) · Derivative | 9,488 | $0.00 Strike: $72.27 | $0.00 |
DisclosureSEC source: 0001209191-20-025112 · doc4.xml · derivative · entry 6 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,284 Underlying: Common Stock · 9,488 shares Expires 2029-01-03 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. F6 · derivative.exercise_date: Beginning January 4, 2019, options become exercisable in 37 installments, with the first 25.00% vesting on July 2, 2019 and the remainder vesting monthly over three years. Read SEC document |
| April 17, 2020 Filed Apr 20, 2020 21:08 UTC |
Pasquale Maria EEVP & General Counsel
|
SaleCommon Stock | 9,488 | $100.00 | $948,800.00 |
DisclosureSEC source: 0001209191-20-025112 · doc4.xml · nonDerivative · entry 4 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,899 F3 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. F4 · balance_after: This includes an aggregate of 20,648 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested. Read SEC document |
| April 17, 2020 Filed Apr 20, 2020 21:08 UTC |
Pasquale Maria EEVP & General Counsel
|
Exercise / conversionCommon Stock | 9,488 | $72.27 | $685,697.76 |
DisclosureSEC source: 0001209191-20-025112 · doc4.xml · nonDerivative · entry 3 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,837 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 20:28 UTC |
Flannelly Barry PEVP & General Manager US
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 6,583 | $0.00 Strike: $73.21 | $0.00 |
DisclosureSEC source: 0001209191-20-025253 · doc4.xml · derivative · entry 3 Flannelly Barry P · CIK 0001615842 · EVP & General Manager US 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,181 Underlying: Common Stock · 6,583 shares Expires 2022-01-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Beginning January 8, 2015, options become exercisable in 25 installments, with the first 33.33% vesting after one year and the remainder vesting monthly over two years Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 20:28 UTC |
Flannelly Barry PEVP & General Manager US
|
SaleCommon Stock | 6,583 | $100.00 | $658,300.00 |
DisclosureSEC source: 0001209191-20-025253 · doc4.xml · nonDerivative · entry 2 Flannelly Barry P · CIK 0001615842 · EVP & General Manager US 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,342 F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. F2 · balance_after: Includes an aggregate of 32,314 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested. Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 20:28 UTC |
Flannelly Barry PEVP & General Manager US
|
Exercise / conversionCommon Stock | 6,583 | $73.21 | $481,941.43 |
DisclosureSEC source: 0001209191-20-025253 · doc4.xml · nonDerivative · entry 1 Flannelly Barry P · CIK 0001615842 · EVP & General Manager US 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,925 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 20:35 UTC |
Trower PaulPrincipal Accounting Officer
|
Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 1,143 | $0.00 Strike: $64.55 | $0.00 |
DisclosureSEC source: 0001209191-20-025268 · doc4.xml · derivative · entry 3 Trower Paul · CIK 0001642041 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,143 shares Expires 2021-01-20 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. F3 · derivative.exercise_date: Beginning January 21, 2014, options become exercisable in 25 installments, with the first 33.33% vesting after one year and the remainder vesting monthly over two years Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 20:35 UTC |
Trower PaulPrincipal Accounting Officer
|
SaleCommon Stock | 1,143 | $100.00 | $114,300.00 |
DisclosureSEC source: 0001209191-20-025268 · doc4.xml · nonDerivative · entry 2 Trower Paul · CIK 0001642041 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,324 F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. F2 · balance_after: This includes an aggregate of 11,011 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. 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.