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 06, 2019 Filed Jun 7, 2019 22:41 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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
|
OtherCommon Stock | 692,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-19-000602 · doc4_6150.xml · nonDerivative · entry 4 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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 F4 · kind: Represents shares of Common Stock distributed by 14159, L.P. ("14159", and together with Life Sciences and 667, the "Funds") as part of an in-kind pro rata distribution without consideration in accordance with pecuniary interest to Julian C. Baker, Felix J. Baker and other investors in 14159. F4 · price: Represents shares of Common Stock distributed by 14159, L.P. ("14159", and together with Life Sciences and 667, the "Funds") as part of an in-kind pro rata distribution without consideration in accordance with pecuniary interest to Julian C. Baker, Felix J. Baker and other investors in 14159. F6 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) 14159 Capital, L.P. and (ii) 14159, 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 14159, a limited partnership of which the sole general partner is 14159 Capital, L.P., a limited partnership of which the sole general partner is 14159 Capital (GP),LLC, due to 14159 Capital, L.P.'s right to receive an allocation of a portion of the profits from 14159. Due to the fact that 14159 has fully distributed all of the Issuer's securities it no longer has the right to the pecuniary interest in the securities issued pursuant to the Stock Incentive Plan for securities received. F10 · ownership.nature: Baker Bros. Advisors LP (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. F11 · 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. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 22:41 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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
|
OtherCommon Stock | 1,603,238 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-19-000602 · doc4_6150.xml · nonDerivative · entry 3 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 2,826,766 F3 · kind: Represents shares of Common Stock distributed by 667, L.P. ("667") as part of an in-kind pro rata distribution without consideration in accordance with pecuniary interest to Julian C. Baker, Felix J. Baker and other investors in 667. F3 · price: Represents shares of Common Stock distributed by 667, L.P. ("667") as part of an in-kind pro rata distribution without consideration in accordance with pecuniary interest to Julian C. Baker, Felix J. Baker and other investors in 667. F5 · 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 Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F7 · ownership.nature: Includes beneficial ownership of 3,376 shares previously issued pursuant to the Stock Incentive Plan in lieu of director retainer fees, 135,000 shares received previously from exercise of 135,000 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 the fund may be deemed to own a portion. F10 · ownership.nature: Baker Bros. Advisors LP (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. F11 · 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. Read SEC document |
| May 09, 2019 Filed May 10, 2019 20:38 UTC |
Iyengar Vijay KEVP GPS, BD, & Licensing
|
Tax withholdingCommon Stock | 1,434 | $82.02 | $117,616.68 |
DisclosureSEC source: 0001209191-19-028962 · doc4.xml · nonDerivative · entry 1 Iyengar Vijay K · CIK 0001670000 · EVP GPS, BD, & Licensing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,468 F1 · shares: Represents shares withheld to satisfy tax withholding obligations due at settlement of restricted stock units previously reported in Table I as common stock. F2 · balance_after: This includes an aggregate of 8,027 shares of common stock issuable pursuant to previously reported earned performance stock units and restricted stock units that have not vested. Read SEC document |
| April 26, 2019 Filed Apr 29, 2019 21:20 UTC |
FRIEDMAN PAUL ADirector
|
GrantEmployee Stock Option (right to buy) · Derivative | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001209191-19-026442 · doc4.xml · derivative · entry 3 FRIEDMAN PAUL A · CIK 0001236927 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 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 |
| April 26, 2019 Filed Apr 29, 2019 21:20 UTC |
FRIEDMAN PAUL ADirector
|
GrantCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026442 · doc4.xml · nonDerivative · entry 1 FRIEDMAN PAUL A · CIK 0001236927 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,531 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 |
| April 26, 2019 Filed Apr 29, 2019 21:11 UTC |
FOUSE JACQUALYN ADirector
|
GrantEmployee Stock Option (right to buy) · Derivative | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001209191-19-026439 · doc4.xml · derivative · entry 2 FOUSE JACQUALYN A · CIK 0001405288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 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 |
| April 26, 2019 Filed Apr 29, 2019 21:11 UTC |
FOUSE JACQUALYN ADirector
|
GrantCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026439 · doc4.xml · nonDerivative · entry 1 FOUSE JACQUALYN A · CIK 0001405288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,377 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 |
| April 26, 2019 Filed Apr 29, 2019 21:04 UTC |
Clancy Paul JDirector
|
GrantEmployee Stock Option (right to buy) · Derivative | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001209191-19-026434 · doc4.xml · derivative · entry 2 Clancy Paul J · CIK 0001409601 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 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 |
| April 26, 2019 Filed Apr 29, 2019 21:04 UTC |
Clancy Paul JDirector
|
GrantCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026434 · doc4.xml · nonDerivative · entry 1 Clancy Paul J · CIK 0001409601 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,723 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 |
| April 26, 2019 Filed Apr 29, 2019 21:07 UTC |
DIXON WENDY LDirector
|
GrantEmployee Stock Option (right to buy) · Derivative | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001209191-19-026436 · doc4.xml · derivative · entry 2 DIXON WENDY L · CIK 0001202283 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 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 |
| April 26, 2019 Filed Apr 29, 2019 21:07 UTC |
DIXON WENDY LDirector
|
GrantCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026436 · doc4.xml · nonDerivative · entry 1 DIXON WENDY L · CIK 0001202283 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,907 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 |
| April 26, 2019 Filed Apr 29, 2019 20:57 UTC |
BROOKE PAUL ADirector
|
GrantEmployee Stock Option (right to buy) · Derivative | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001209191-19-026432 · doc4.xml · derivative · entry 3 BROOKE PAUL A · CIK 0001175940 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 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 |
| April 26, 2019 Filed Apr 29, 2019 20:57 UTC |
BROOKE PAUL ADirector
|
GrantCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026432 · doc4.xml · nonDerivative · entry 1 BROOKE PAUL A · CIK 0001175940 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,725 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 |
| April 26, 2019 Filed Apr 29, 2019 20:47 UTC |
BIENAIME JEAN JACQUESDirector
|
GrantEmployee Stock Option (right to buy) · Derivative | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001209191-19-026425 · doc4.xml · derivative · entry 2 BIENAIME JEAN JACQUES · CIK 0001221590 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 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 |
| April 26, 2019 Filed Apr 29, 2019 20:47 UTC |
BIENAIME JEAN JACQUESDirector
|
GrantCommon Stock | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026425 · doc4.xml · nonDerivative · entry 1 BIENAIME JEAN JACQUES · CIK 0001221590 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,584 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 |
| April 26, 2019 Filed Apr 30, 2019 22:01 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001638599-19-000433 · doc4_6073.xml · derivative · entry 9 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 F13 · derivative.exercise_date: Non-qualified stock options ("Stock Options") convertible solely into Common Shares granted to Julian C. Baker on April 26, 2019, pursuant to the Incentive Plan. The Stock Options with a strike price of $75.03 vest on the earlier of April 26, 2020, the date of the next annual shareholder meeting of the Issuer or upon a change of control as defined in the Incentive Plan. 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: Julian C. Baker serves on the Board as a representative of the Funds. Pursuant to the policies of 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 are entitled to receive all the pecuniary interest in the securities issued. The Funds each own an indirect proportionate pecuniary interest in the Stock Options. Solely as a result of Felix J. Baker's and Julian C. 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 Stock Options (i.e. no direct pecuniary interest). F17 · ownership.nature: As a result of their ownership interest in 14159 Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 12,472 Stock Options beneficially owned by 14159, a limited partnership of which the sole general partner is 14159 Capital, L.P., a limited partnership of which the sole general partner is Baker 14159 Capital (GP), LLC, due to 14159 Capital, L.P.'s right to receive an allocation of a portion of the profits from 14159. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 22:01 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001638599-19-000433 · doc4_6073.xml · derivative · entry 8 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 F13 · derivative.exercise_date: Non-qualified stock options ("Stock Options") convertible solely into Common Shares granted to Julian C. Baker on April 26, 2019, pursuant to the Incentive Plan. The Stock Options with a strike price of $75.03 vest on the earlier of April 26, 2020, the date of the next annual shareholder meeting of the Issuer or upon a change of control as defined in the Incentive Plan. 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: Julian C. Baker serves on the Board as a representative of the Funds. Pursuant to the policies of 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 are entitled to receive all the pecuniary interest in the securities issued. The Funds each own an indirect proportionate pecuniary interest in the Stock Options. Solely as a result of Felix J. Baker's and Julian C. 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 Stock Options (i.e. no direct pecuniary interest). F16 · ownership.nature: As a result of their ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 12,472 Stock Options beneficially owned 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 Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 22:01 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 12,472 | $0.00 Strike: $75.03 | $0.00 |
DisclosureSEC source: 0001638599-19-000433 · doc4_6073.xml · derivative · entry 7 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 12,472 Underlying: Common Stock · 12,472 shares Expires 2029-04-25 F13 · derivative.exercise_date: Non-qualified stock options ("Stock Options") convertible solely into Common Shares granted to Julian C. Baker on April 26, 2019, pursuant to the Incentive Plan. The Stock Options with a strike price of $75.03 vest on the earlier of April 26, 2020, the date of the next annual shareholder meeting of the Issuer or upon a change of control as defined in the Incentive Plan. 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: Julian C. Baker serves on the Board as a representative of the Funds. Pursuant to the policies of 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 are entitled to receive all the pecuniary interest in the securities issued. The Funds each own an indirect proportionate pecuniary interest in the Stock Options. Solely as a result of Felix J. Baker's and Julian C. 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 Stock Options (i.e. no direct pecuniary interest). F15 · ownership.nature: As a result of their ownership interest in Baker Biotech Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 12,472 Stock Options beneficially owned 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 Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 22:01 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-19-000433 · doc4_6073.xml · nonDerivative · entry 6 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 812,602 F4 · ownership.nature: Restricted Stock Units (the "Restricted Stock Units") payable solely in Common Shares granted to Julian C. Baker on April 26, 2019, pursuant to the Amended and Restated 2010 Stock Incentive Plan ("Incentive Plan"). The Restricted Stock Units fully vest on the earlier of April 26, 2020, 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 the pecuniary interest in the securities issued. 667, L.P. ("667"), Baker Brothers Life Sciences, L.P. ("Life Sciences") and 14159, L.P. ("14159")(collectively the "Funds") each owns an indirect proportionate pecuniary interest in the Restricted Stock Units. 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 Restricted Stock Units. F8 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in 14159 Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 812,602 shares of common stock of the Issuer beneficially owned by 14159, a limited partnership of which the sole general partner is 14159 Capital, L.P., a limited partnership of which the sole general partner is 14159 Capital (GP), LLC, due to 14159 Capital, L.P.'s right to receive an allocation of a portion of the profits from 14159. F10 · ownership.nature: The disclosure of the grant of Restricted Stock Units and Stock Options (as defined below) reported on this form is a single grant of 1,520 Restricted Stock Units and 12,472 Stock Options. The 1,520 Restricted Stock Units and 12,472 Stock Options (as defined below) are reported for each of the Funds as each has an indirect pecuniary interest. 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. F18 · ownership.nature: Includes beneficial ownership of 3,376 shares issued pursuant to the Stock Incentive Plan in lieu of director retainer fees and 115,000 shares received previously from exercise of 115,000 stock options of the Issuer that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the fund may be deemed to own a portion. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 22:01 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-19-000433 · doc4_6073.xml · nonDerivative · entry 5 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 29,290,533 F4 · ownership.nature: Restricted Stock Units (the "Restricted Stock Units") payable solely in Common Shares granted to Julian C. Baker on April 26, 2019, pursuant to the Amended and Restated 2010 Stock Incentive Plan ("Incentive Plan"). The Restricted Stock Units fully vest on the earlier of April 26, 2020, 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 the pecuniary interest in the securities issued. 667, L.P. ("667"), Baker Brothers Life Sciences, L.P. ("Life Sciences") and 14159, L.P. ("14159")(collectively the "Funds") each owns an indirect proportionate pecuniary interest in the Restricted Stock Units. 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 Restricted Stock Units. F7 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 29,290,533 shares of common stock of the Issuer beneficially owned 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 Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. F9 · ownership.nature: Includes beneficial ownership of 3,376 shares issued pursuant to the Stock Incentive Plan in lieu of director retainer fees and 135,000 shares received previously from exercise of 135,000 stock options of the Issuer that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the fund may be deemed to own a portion. F10 · ownership.nature: The disclosure of the grant of Restricted Stock Units and Stock Options (as defined below) reported on this form is a single grant of 1,520 Restricted Stock Units and 12,472 Stock Options. The 1,520 Restricted Stock Units and 12,472 Stock Options (as defined below) are reported for each of the Funds as each has an indirect pecuniary interest. 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. Read SEC document |
| April 26, 2019 Filed Apr 30, 2019 22:01 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 1,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-19-000433 · doc4_6073.xml · nonDerivative · entry 4 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 4,430,004 F4 · ownership.nature: Restricted Stock Units (the "Restricted Stock Units") payable solely in Common Shares granted to Julian C. Baker on April 26, 2019, pursuant to the Amended and Restated 2010 Stock Incentive Plan ("Incentive Plan"). The Restricted Stock Units fully vest on the earlier of April 26, 2020, 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 the pecuniary interest in the securities issued. 667, L.P. ("667"), Baker Brothers Life Sciences, L.P. ("Life Sciences") and 14159, L.P. ("14159")(collectively the "Funds") each owns an indirect proportionate pecuniary interest in the Restricted Stock Units. 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 Restricted Stock Units. F6 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in Baker Biotech Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 4,430,004 shares of common stock of the Issuer beneficially owned 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 Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F9 · ownership.nature: Includes beneficial ownership of 3,376 shares issued pursuant to the Stock Incentive Plan in lieu of director retainer fees and 135,000 shares received previously from exercise of 135,000 stock options of the Issuer that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the fund may be deemed to own a portion. F10 · ownership.nature: The disclosure of the grant of Restricted Stock Units and Stock Options (as defined below) reported on this form is a single grant of 1,520 Restricted Stock Units and 12,472 Stock Options. The 1,520 Restricted Stock Units and 12,472 Stock Options (as defined below) are reported for each of the Funds as each has an indirect pecuniary interest. 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. Read SEC document |
| April 09, 2019 Filed Apr 11, 2019 21:03 UTC |
Pasquale Maria EEVP & General Counsel
|
Tax withholdingCommon Stock | 517 | $82.73 | $42,771.41 |
DisclosureSEC source: 0001209191-19-024383 · doc4.xml · nonDerivative · entry 1 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,013 F1 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units previously reported in Table I as common stock. F2 · balance_after: Includes an aggregate of 9,835 shares of common stock issuable pursuant to previously reported earned performance stock units and restricted stock units that have not vested. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 20:51 UTC |
SWAIN PAULA JEVP, Human Resources
|
Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 8,218 | $0.00 Strike: $18.32 | $0.00 |
DisclosureSEC source: 0001209191-19-022610 · doc4.xml · derivative · entry 6 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,218 shares Expires 2020-02-08 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. F5 · derivative.exercise_date: Beginning February 9, 2013, 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 01, 2019 Filed Apr 2, 2019 20:51 UTC |
SWAIN PAULA JEVP, Human Resources
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 1,782 | $0.00 Strike: $18.32 | $0.00 |
DisclosureSEC source: 0001209191-19-022610 · doc4.xml · derivative · entry 5 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,782 shares Expires 2020-02-08 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. F5 · derivative.exercise_date: Beginning February 9, 2013, 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 01, 2019 Filed Apr 2, 2019 20:51 UTC |
SWAIN PAULA JEVP, Human Resources
|
SaleCommons Stock | 8,218 | $87.01 | $715,048.18 |
DisclosureSEC source: 0001209191-19-022610 · doc4.xml · nonDerivative · entry 4 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,513 F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. F2 · price: Reporting person undertakes to provide upon request by Securites and Exchange Commission, the issuer or a securityholder of the issuer detailed information regarding the price and number of shares sold within range indicated. F3 · price: Represents weighted average sale price. Actual sale prices ranged from $86.43 - $87.88. F4 · balance_after: This includes an aggregate of 10,805 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 01, 2019 Filed Apr 2, 2019 20:51 UTC |
SWAIN PAULA JEVP, Human Resources
|
Exercise / conversionCommons Stock | 8,218 | $18.32 | $150,553.76 |
DisclosureSEC source: 0001209191-19-022610 · doc4.xml · nonDerivative · entry 3 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,731 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 01, 2019 Filed Apr 2, 2019 20:51 UTC |
SWAIN PAULA JEVP, Human Resources
|
SaleCommon Stock | 1,782 | $87.01 | $155,051.82 |
DisclosureSEC source: 0001209191-19-022610 · doc4.xml · nonDerivative · entry 2 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,513 F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. F2 · price: Reporting person undertakes to provide upon request by Securites and Exchange Commission, the issuer or a securityholder of the issuer detailed information regarding the price and number of shares sold within range indicated. F3 · price: Represents weighted average sale price. Actual sale prices ranged from $86.43 - $87.88. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 20:51 UTC |
SWAIN PAULA JEVP, Human Resources
|
Exercise / conversionCommon Stock | 1,782 | $18.32 | $32,646.24 |
DisclosureSEC source: 0001209191-19-022610 · doc4.xml · nonDerivative · entry 1 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,295 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 21:21 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 220 | $86.01 | $18,922.20 |
DisclosureSEC source: 0001638599-19-000402 · doc4_6035.xml · nonDerivative · entry 6 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 811,082 F4 · ownership.nature: 220 shares of common stock (the "Common Stock") issued to Julian C. Baker pursuant to the Issuer's Amended and Restated 2010 Stock Incentive Plan (the "Stock Incentive Plan") in lieu of director retainer fees of $19,000. The shares of Common Stock are fully vested. Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). F5 · ownership.nature: Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have any right to the pecuniary interest in the Issuer's securities issued in lieu of director retainer fees and the Funds (as defined below) are entitled to an indirect proportionate pecuniary interest in the securities. 667, L.P. ("667"), Baker Brothers Life Sciences, L.P. ("Life Sciences") and 14159, L.P. ("14159", and together with 667, and Life Sciences, the "Funds") each owns an indirect proportionate pecuniary interest in the shares of Common Stock. Solely as a result of their 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 shares of Common Stock issued in lieu of director retainer fees (ie. no direct pecuniary interest). F8 · ownership.nature: As a result of Felix J. Baker's and Julian C. Baker's ownership interest in 14159 Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 811,082 shares of common stock of the Issuer beneficially owned by 14159, a limited partnership of which the sole general partner is 14159 Capital, L.P., a limited partnership of which the sole general partner is 14159 Capital (GP), LLC, due to 14159 Capital, L.P.'s right to receive an allocation of a portion of the profits from 14159. Includes beneficial ownership of 3,376 shares issued pursuant to the Stock Incentive Plan in lieu of director retainer fees and 115,000 shares received previously from exercise of 115,000 stock options of the Issuer that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the fund may be deemed to own a portion. 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. 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. 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. F11 · ownership.nature: The 220 shares are reported for each of the Funds as each has an indirect pecuniary interest. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 21:21 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 220 | $86.01 | $18,922.20 |
DisclosureSEC source: 0001638599-19-000402 · doc4_6035.xml · nonDerivative · entry 5 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 29,289,013 F4 · ownership.nature: 220 shares of common stock (the "Common Stock") issued to Julian C. Baker pursuant to the Issuer's Amended and Restated 2010 Stock Incentive Plan (the "Stock Incentive Plan") in lieu of director retainer fees of $19,000. The shares of Common Stock are fully vested. Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). F5 · ownership.nature: Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have any right to the pecuniary interest in the Issuer's securities issued in lieu of director retainer fees and the Funds (as defined below) are entitled to an indirect proportionate pecuniary interest in the securities. 667, L.P. ("667"), Baker Brothers Life Sciences, L.P. ("Life Sciences") and 14159, L.P. ("14159", and together with 667, and Life Sciences, the "Funds") each owns an indirect proportionate pecuniary interest in the shares of Common Stock. Solely as a result of their 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 shares of Common Stock issued in lieu of director retainer fees (ie. no direct pecuniary interest). F7 · ownership.nature: As a result of Felix J. Baker's and Julian C. Baker's ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 29,289,013 shares of common stock of the Issuer beneficially owned 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 Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. Includes beneficial ownership of 3,376 shares issued pursuant to the Stock Incentive Plan in lieu of director retainer fees and 135,000 shares received previously from exercise of 135,000 stock options of the Issuer that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the fund may be deemed to own a portion. 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. 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. 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. F11 · ownership.nature: The 220 shares are reported for each of the Funds as each has an indirect pecuniary interest. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 21:21 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
14159, L.P.Director · 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 | 220 | $86.01 | $18,922.20 |
DisclosureSEC source: 0001638599-19-000402 · doc4_6035.xml · nonDerivative · entry 4 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 14159, L.P. · CIK 0001551138 · 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: 4,428,484 F4 · ownership.nature: 220 shares of common stock (the "Common Stock") issued to Julian C. Baker pursuant to the Issuer's Amended and Restated 2010 Stock Incentive Plan (the "Stock Incentive Plan") in lieu of director retainer fees of $19,000. The shares of Common Stock are fully vested. Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). F5 · ownership.nature: Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have any right to the pecuniary interest in the Issuer's securities issued in lieu of director retainer fees and the Funds (as defined below) are entitled to an indirect proportionate pecuniary interest in the securities. 667, L.P. ("667"), Baker Brothers Life Sciences, L.P. ("Life Sciences") and 14159, L.P. ("14159", and together with 667, and Life Sciences, the "Funds") each owns an indirect proportionate pecuniary interest in the shares of Common Stock. Solely as a result of their 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 shares of Common Stock issued in lieu of director retainer fees (ie. no direct pecuniary interest). F6 · ownership.nature: As a result of Felix J. Baker's and Julian C. Baker's ownership interest in Baker Biotech Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 4,428,484 shares of common stock of the Issuer beneficially owned 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 Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. Includes beneficial ownership of 3,376 shares issued pursuant to the Stock Incentive Plan in lieu of director retainer fees and 135,000 shares received previously from exercise of 135,000 stock options of the Issuer that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the fund may be deemed to own a portion. 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. 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. 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. F11 · ownership.nature: The 220 shares are reported for each of the Funds as each has an indirect pecuniary interest. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 21:08 UTC |
Clancy Paul JDirector
|
GrantCommon Stock | 203 | $86.01 | $17,460.03 |
DisclosureSEC source: 0001209191-19-022646 · doc4.xml · nonDerivative · entry 1 Clancy Paul J · CIK 0001409601 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203 F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:44 UTC |
DIXON WENDY LDirector
|
GrantCommon Stock | 188 | $86.01 | $16,169.88 |
DisclosureSEC source: 0001209191-19-022585 · doc4.xml · nonDerivative · entry 1 DIXON WENDY L · CIK 0001202283 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,387 F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:47 UTC |
FOUSE JACQUALYN ADirector
|
GrantCommon Stock | 145 | $86.01 | $12,471.45 |
DisclosureSEC source: 0001209191-19-022599 · doc4.xml · nonDerivative · entry 1 FOUSE JACQUALYN A · CIK 0001405288 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 857 F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:31 UTC |
BROOKE PAUL ADirector
|
GrantCommon Stock | 276 | $86.01 | $23,738.76 |
DisclosureSEC source: 0001209191-19-022505 · doc4.xml · nonDerivative · entry 1 BROOKE PAUL A · CIK 0001175940 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,205 F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:28 UTC |
BIENAIME JEAN JACQUESDirector
|
GrantCommon Stock | 168 | $86.01 | $14,449.68 |
DisclosureSEC source: 0001209191-19-022490 · doc4.xml · nonDerivative · entry 1 BIENAIME JEAN JACQUES · CIK 0001221590 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,064 F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 21:45 UTC |
SWAIN PAULA JEVP, Human Resources
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $18.32 | $0.00 |
DisclosureSEC source: 0001209191-19-016612 · doc4.xml · derivative · entry 3 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,782 Underlying: Common Stock · 10,000 shares Expires 2020-02-08 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. F5 · derivative.exercise_date: Beginning February 9, 2013, 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 |
| March 01, 2019 Filed Mar 5, 2019 21:45 UTC |
SWAIN PAULA JEVP, Human Resources
|
SaleCommon Stock | 10,000 | $86.68 | $866,800.00 |
DisclosureSEC source: 0001209191-19-016612 · doc4.xml · nonDerivative · entry 2 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,513 F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person. F2 · price: Reporting person undertakes to provide upon request by Securites and Exchange Commission, the issuer or a securityholder of the issuer detailed information regarding the price and number of shares sold within range indicated. F3 · price: Represents weighted average sale price. Actual sale prices ranged from $85.91 - $86.94. F4 · balance_after: This includes an aggregate of 10,805 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 21:45 UTC |
SWAIN PAULA JEVP, Human Resources
|
Exercise / conversionCommon Stock | 10,000 | $18.32 | $183,200.00 |
DisclosureSEC source: 0001209191-19-016612 · doc4.xml · nonDerivative · entry 1 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,513 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 |
| February 26, 2019 Filed Feb 27, 2019 22:19 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
14159, L.P.Director · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
|
Exercise / conversionNon-Qualified Stock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $2.80 | $0.00 |
DisclosureSEC source: 0001638599-19-000292 · doc4_5975.xml · derivative · entry 8 BAKER BROS. ADVISORS LP · CIK 0001263508 · 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 14159, L.P. · CIK 0001551138 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 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 2019-05-18 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. F8 · price: These non-qualified stock options are not priced. F5 · ownership.nature: As a result of their ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 20,000 shares of Common Stock of the Issuer received upon the exercise of stock options of the Issuer held by Baker Brothers Life Sciences, L.P. ("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 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 (defined below) 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 directors of the Issuer. F9 · ownership.nature: The disclosure of the exercise of directors options for shares of common stock reported on this form is a single exercise of 20,000 shares. The 20,000 shares is reported for each of 667 and Life Sciences as each has an indirect pecuniary interest. F13 · 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. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 22:19 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
14159, L.P.Director · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
|
Exercise / conversionNon-Qualified Stock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $2.80 | $0.00 |
DisclosureSEC source: 0001638599-19-000292 · doc4_5975.xml · derivative · entry 7 BAKER BROS. ADVISORS LP · CIK 0001263508 · 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 14159, L.P. · CIK 0001551138 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 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 2019-05-18 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. F8 · price: These non-qualified stock options are not priced. F4 · ownership.nature: As a result of their ownership interest in Baker Biotech Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 20,000 shares of common stock of the Issuer received upon the exercise of stock options of the Issuer held by 667, L.P. ("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 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 Baker Bros. Advisors LP (the "Adviser"), does not permit full-time employees or managing members of Baker Bros. Advisors (GP) LLC (the "Adviser GP") to receive compensation for serving as directors of the Issuer. F9 · ownership.nature: The disclosure of the exercise of directors options for shares of common stock reported on this form is a single exercise of 20,000 shares. The 20,000 shares is reported for each of 667 and Life Sciences as each has an indirect pecuniary interest. F13 · 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. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 22:19 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
14159, L.P.Director · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
|
Exercise / conversionCommon Stock | 20,000 | $2.80 | $56,000.00 |
DisclosureSEC source: 0001638599-19-000292 · doc4_5975.xml · nonDerivative · entry 6 BAKER BROS. ADVISORS LP · CIK 0001263508 · 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 14159, L.P. · CIK 0001551138 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 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: 29,288,793 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. F5 · ownership.nature: As a result of their ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 20,000 shares of Common Stock of the Issuer received upon the exercise of stock options of the Issuer held by Baker Brothers Life Sciences, L.P. ("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 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 (defined below) 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 directors of the Issuer. F6 · ownership.nature: The shares of common stock were received upon exercise of 20,000 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 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 shares of common stock received upon exercise of such stock options. Each of 667 and Life Sciences owns an indirect proportionate pecuniary interest in the shares of 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. Solely as a result of their 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 shares issued upon exercise of the stock options (i.e. no direct pecuniary interest). F9 · ownership.nature: The disclosure of the exercise of directors options for shares of common stock reported on this form is a single exercise of 20,000 shares. The 20,000 shares is reported for each of 667 and Life Sciences as each has an indirect pecuniary interest. F11 · ownership.nature: After giving effect to the transactions reported herein, and as a result of their ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Julian C. Baker and Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of 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 Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. F12 · ownership.nature: Includes beneficial ownership of 3,156 shares issued pursuant to the Stock Incentive Plan in lieu of director retainer fees and 135,000 shares, 115,000 of which were received previously, from exercise of 135,000 stock options of the Issuer that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the fund may be deemed to own a portion. F13 · 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. F14 · 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. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 22:19 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
14159, L.P.Director · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
|
Exercise / conversionCommon Stock | 20,000 | $2.80 | $56,000.00 |
DisclosureSEC source: 0001638599-19-000292 · doc4_5975.xml · nonDerivative · entry 5 BAKER BROS. ADVISORS LP · CIK 0001263508 · 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 14159, L.P. · CIK 0001551138 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 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: 4,428,264 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: As a result of their ownership interest in Baker Biotech Capital (GP), LLC, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in 20,000 shares of common stock of the Issuer received upon the exercise of stock options of the Issuer held by 667, L.P. ("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 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 Baker Bros. Advisors LP (the "Adviser"), does not permit full-time employees or managing members of Baker Bros. Advisors (GP) LLC (the "Adviser GP") to receive compensation for serving as directors of the Issuer. F6 · ownership.nature: The shares of common stock were received upon exercise of 20,000 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 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 shares of common stock received upon exercise of such stock options. Each of 667 and Life Sciences owns an indirect proportionate pecuniary interest in the shares of 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. Solely as a result of their 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 shares issued upon exercise of the stock options (i.e. no direct pecuniary interest). F9 · ownership.nature: The disclosure of the exercise of directors options for shares of common stock reported on this form is a single exercise of 20,000 shares. The 20,000 shares is reported for each of 667 and Life Sciences as each has an indirect pecuniary interest. F10 · ownership.nature: After giving effect to the transactions reported herein, and as a result of their ownership interest in Baker Biotech Capital (GP), LLC, Julian C. Baker and Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of 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 Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F12 · ownership.nature: Includes beneficial ownership of 3,156 shares issued pursuant to the Stock Incentive Plan in lieu of director retainer fees and 135,000 shares, 115,000 of which were received previously, from exercise of 135,000 stock options of the Issuer that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the fund may be deemed to own a portion. F13 · 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. F14 · 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. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 00:11 UTC |
Hoppenot HerveDirector · Chairman / CEO · President
|
GrantCommon Stock | 20,971 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011330 · doc4.xml · nonDerivative · entry 1 Hoppenot Herve · CIK 0001596492 · Director · Chairman / CEO · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,503 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on February 14, 2019. The performance shares vest 25% annually over four years from the grant date of July 2, 2018, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Each performance share initially represented the right to receive one or more shares of common stock based on, and subject to, the achievement of revenue-based performance criteria determined by the Issuer's Compensation Committee in February 2018 as set forth in the Performance Share Award Agreement. The number of shares of common stock that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of performance shares awarded, and the performance criteria was achieved at the 83% level. F2 · balance_after: Includes an aggregate of 87,728 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units that have not vested as of February 14, 2019. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 22:34 UTC |
Stein Steven HEVP & Chief Medical Officer
|
GrantCommon Stock | 5,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011238 · doc4.xml · nonDerivative · entry 1 Stein Steven H · CIK 0001673776 · EVP & Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,162 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on February 14, 2019. The performance shares vest 25% annually over four years from the grant date of July 2, 2018, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Each performance share initially represented the right to receive one or more shares of common stock based on, and subject to, the achievement of revenue-based performance criteria determined by the Issuer's Compensation Committee in February 2018 as set forth in the Performance Share Award Agreement. The number of shares of common stock that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of performance shares awarded, and the performance criteria was achieved at the 83% level. F2 · balance_after: Includes an aggregate of 5,416 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units that have not vested as of February 14, 2019. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 23:52 UTC |
Wenqing YaoEVP, Head of Discovery Chem
|
GrantCommon Stock | 5,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011309 · doc4.xml · nonDerivative · entry 1 Wenqing Yao · CIK 0001624033 · EVP, Head of Discovery Chem 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,798 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on February 14, 2019. The performance shares vest 25% annually over four years from the grant date of July 2, 2018, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Each performance share initially represented the right to receive one or more shares of common stock based on, and subject to, the achievement of revenue-based performance criteria determined by the Issuer's Compensation Committee in February 2018 as set forth in the Performance Share Award Agreement. The number of shares of common stock that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of performance shares awarded, and the performance criteria was achieved at the 83% level. F2 · balance_after: Includes an aggregate of 5,416 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units that have not vested as of February 14, 2019. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 23:17 UTC |
SWAIN PAULA JEVP, Human Resources
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GrantCommon Stock | 5,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011289 · doc4.xml · nonDerivative · entry 1 SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,513 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on February 14, 2019. The performance shares vest 25% annually over four years from the grant date of July 2, 2018, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Each performance share initially represented the right to receive one or more shares of common stock based on, and subject to, the achievement of revenue-based performance criteria determined by the Issuer's Compensation Committee in February 2018 as set forth in the Performance Share Award Agreement. The number of shares of common stock that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of performance shares awarded, and the performance criteria was achieved at the 83% level. F2 · balance_after: Includes an aggregate of 5,416 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units that have not vested as of February 14, 2019. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 22:21 UTC |
Iyengar Vijay KEVP GPS, BD, & Licensing
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GrantCommon Stock | 5,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011213 · doc4.xml · nonDerivative · entry 1 Iyengar Vijay K · CIK 0001670000 · EVP GPS, BD, & Licensing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,492 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on February 14, 2019. The performance shares vest 25% annually over four years from the grant date of July 2, 2018, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Each performance share initially represented the right to receive one or more shares of common stock based on, and subject to, the achievement of revenue-based performance criteria determined by the Issuer's Compensation Committee in February 2018 as set forth in the Performance Share Award Agreement. The number of shares of common stock that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of performance shares awarded, and the performance criteria was achieved at the 83% level. F2 · balance_after: Includes an aggregate of 7,270 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units that have not vested as of February 14, 2019. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 22:30 UTC |
Pasquale Maria EEVP & General Counsel
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GrantCommon Stock | 5,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011230 · doc4.xml · nonDerivative · entry 1 Pasquale Maria E · CIK 0001736295 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,530 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on February 14, 2019. The performance shares vest 25% annually over four years from the grant date of July 2, 2018, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Each performance share initially represented the right to receive one or more shares of common stock based on, and subject to, the achievement of revenue-based performance criteria determined by the Issuer's Compensation Committee in February 2018 as set forth in the Performance Share Award Agreement. The number of shares of common stock that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of performance shares awarded, and the performance criteria was achieved at the 83% level. F2 · balance_after: Includes an aggregate of 5,928 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units that have not vested as of February 14, 2019. Read SEC document |
| February 14, 2019 Filed Feb 19, 2019 22:10 UTC |
Flannelly Barry PEVP & General Manager US
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GrantCommon Stock | 5,389 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011191 · doc4.xml · nonDerivative · entry 1 Flannelly Barry P · CIK 0001615842 · EVP & General Manager US 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,333 F1 · shares: Represents shares of common stock underlying performance shares earned upon the achievement of performance criteria determined to be satisfied on February 14, 2019. The performance shares vest 25% annually over four years from the grant date of July 2, 2018, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Each performance share initially represented the right to receive one or more shares of common stock based on, and subject to, the achievement of revenue-based performance criteria determined by the Issuer's Compensation Committee in February 2018 as set forth in the Performance Share Award Agreement. The number of shares of common stock that the Reporting Person was entitled to receive ranged from 0% to 150% of the number of performance shares awarded, and the performance criteria was achieved at the 83% level. F2 · balance_after: Includes an aggregate of 5,416 shares of common stock issuable pursuant to the performance shares reported above and previously reported restricted stock units that have not vested as of February 14, 2019. 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.