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INO

INOVIO PHARMACEUTICALS, INC.

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6589
SEC CIK
0001055726
Parsed reports
298

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Jan 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 13, 2021 Filed May 17, 2021 20:29 UTC
Zoth Lota S.Director
GrantRestricted Stock Unit · Derivative 18,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000047 · wf-form4_162128333390607.xml · derivative · entry 4

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F3 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F5 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F5 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:29 UTC
Zoth Lota S.Director
GrantCommon Stock Options · Derivative 27,000 $0.00 Strike: $6.23 $0.00
Disclosure

SEC source: 0001055726-21-000047 · wf-form4_162128333390607.xml · derivative · entry 3

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

Underlying: Common Stock · 27,000 shares

Expires 2031-05-13

F3 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F4 · derivative.exercise_date: Options to vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:28 UTC
Shepard JayDirector
GrantRestricted Stock Unit · Derivative 18,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000046 · wf-form4_162128327904320.xml · derivative · entry 3

Shepard Jay · CIK 0001587788 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F4 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F4 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:28 UTC
Shepard JayDirector
GrantCommon Stock Options · Derivative 27,000 $0.00 Strike: $6.23 $0.00
Disclosure

SEC source: 0001055726-21-000046 · wf-form4_162128327904320.xml · derivative · entry 2

Shepard Jay · CIK 0001587788 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

Underlying: Common Stock · 27,000 shares

Expires 2031-05-13

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F3 · derivative.exercise_date: Options to vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:27 UTC GrantRestricted Stock Unit · Derivative 18,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000045 · wf-form4_162128322950395.xml · derivative · entry 4

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F3 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F5 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F5 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:27 UTC GrantCommon Stock Options · Derivative 27,000 $0.00 Strike: $6.23 $0.00
Disclosure

SEC source: 0001055726-21-000045 · wf-form4_162128322950395.xml · derivative · entry 3

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

Underlying: Common Stock · 27,000 shares

Expires 2031-05-13

F3 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F4 · derivative.exercise_date: Options to vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:25 UTC GrantRestricted Stock Unit · Derivative 18,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000043 · wf-form4_162128312021723.xml · derivative · entry 3

YARNO WENDY L · CIK 0001181186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F4 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F4 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:25 UTC GrantCommon Stock Options · Derivative 27,000 $0.00 Strike: $6.23 $0.00
Disclosure

SEC source: 0001055726-21-000043 · wf-form4_162128312021723.xml · derivative · entry 2

YARNO WENDY L · CIK 0001181186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

Underlying: Common Stock · 27,000 shares

Expires 2031-05-13

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F3 · derivative.exercise_date: Options to vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:26 UTC GrantRestricted Stock Unit · Derivative 18,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000044 · wf-form4_162128318356430.xml · derivative · entry 4

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F3 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F5 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

F5 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:26 UTC GrantCommon Stock Options · Derivative 27,000 $0.00 Strike: $6.23 $0.00
Disclosure

SEC source: 0001055726-21-000044 · wf-form4_162128318356430.xml · derivative · entry 3

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

Underlying: Common Stock · 27,000 shares

Expires 2031-05-13

F3 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F4 · derivative.exercise_date: Options to vest 100% on May 13, 2022.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:24 UTC GrantRestricted Stock Unit · Derivative 36,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000042 · wf-form4_162128304958505.xml · derivative · entry 2

DANSEY ROGER D · CIK 0001741836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 36,000 restricted stock units is as follows: 12,000 shares will vest on May 13, 2022; 12,000 shares will vest on May 13, 2023; 12,000 shares will vest on May 13, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 36,000 restricted stock units is as follows: 12,000 shares will vest on May 13, 2022; 12,000 shares will vest on May 13, 2023; 12,000 shares will vest on May 13, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 36,000 restricted stock units is as follows: 12,000 shares will vest on May 13, 2022; 12,000 shares will vest on May 13, 2023; 12,000 shares will vest on May 13, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:24 UTC GrantCommon Stock Options · Derivative 54,000 $0.00 Strike: $6.23 $0.00
Disclosure

SEC source: 0001055726-21-000042 · wf-form4_162128304958505.xml · derivative · entry 1

DANSEY ROGER D · CIK 0001741836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,000

Underlying: Common Stock · 54,000 shares

Expires 2031-05-13

F1 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F2 · derivative.exercise_date: The vesting schedule for the 54,000 options is as follows: 13,500 shares vested on May 13, 2021; 13,500 shares will vest on May 13, 2022; 13,500 shares will vest on May 13, 2023; 13,500 shares will vest on May 13, 2024.

Read SEC document
April 21, 2021 Filed Apr 21, 2021 22:00 UTC SaleCommon Stock 10,000 $8.52 $85,200.00
Disclosure

SEC source: 0001055726-21-000037 · wf-form4_161904242442411.xml · nonDerivative · entry 1

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,788

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: These transactions were executed in multiple trades at prices ranging from $8.49 to $8.56, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

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April 21, 2021 Filed Apr 21, 2021 21:03 UTC Exercise / conversionCommon Stock Options · Derivative 22,500 $0.00 Strike: $2.40 $0.00
Disclosure

SEC source: 0001055726-21-000036 · wf-form4_161903896320284.xml · derivative · entry 4

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,500 shares

Expires 2022-02-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

F4 · shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

F4 · derivative.underlying_shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

Read SEC document
April 21, 2021 Filed Apr 21, 2021 21:03 UTC SaleCommon Stock 4,083 $8.54 $34,868.82
Disclosure

SEC source: 0001055726-21-000036 · wf-form4_161903896320284.xml · nonDerivative · entry 3

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 851,136

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Reporting person intends to use the proceeds of this sale to pay taxes resulting from the recent vesting of Restricted Stock Units granted by the issuer.

Read SEC document
April 21, 2021 Filed Apr 21, 2021 21:03 UTC SaleCommon Stock 22,500 $8.57 $192,825.00
Disclosure

SEC source: 0001055726-21-000036 · wf-form4_161903896320284.xml · nonDerivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 855,219

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: These transactions were executed in multiple trades at prices ranging from $8.49 to $8.66, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
April 21, 2021 Filed Apr 21, 2021 21:03 UTC Exercise / conversionCommon Stock 22,500 $2.40 $54,000.00
Disclosure

SEC source: 0001055726-21-000036 · wf-form4_161903896320284.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 877,719

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 16, 2021 Filed Apr 16, 2021 21:12 UTC Exercise / conversionCommon Stock Options · Derivative 2,000 $0.00 Strike: $3.56 $0.00
Disclosure

SEC source: 0001055726-21-000035 · wf-form4_161860751450487.xml · derivative · entry 3

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2021-05-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

F2 · shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

F2 · derivative.underlying_shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

Read SEC document
April 16, 2021 Filed Apr 16, 2021 21:12 UTC SaleCommon Stock 2,000 $8.75 $17,500.00
Disclosure

SEC source: 0001055726-21-000035 · wf-form4_161860751450487.xml · nonDerivative · entry 2

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,650

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
April 16, 2021 Filed Apr 16, 2021 21:12 UTC Exercise / conversionCommon Stock 2,000 $3.56 $7,120.00
Disclosure

SEC source: 0001055726-21-000035 · wf-form4_161860751450487.xml · nonDerivative · entry 1

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,650

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 26, 2021 Filed Mar 26, 2021 20:10 UTC
Shea Jacqueline ElizabethChief Operating Officer
SaleCommon Stock 4,710 $8.97 $42,248.70
Disclosure

SEC source: 0001055726-21-000034 · wf-form4_161678939086989.xml · nonDerivative · entry 3

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,127

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
March 25, 2021 Filed Mar 26, 2021 20:10 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 16,667 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000034 · wf-form4_161678939086989.xml · derivative · entry 4

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,666

Underlying: Common Stock · 16,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 50,000 restricted stock units is as follows: 16,667 shares vested on March 25, 2020; 16,667 shares vested on March 25, 2021; 16,666 shares will vest on March 25, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 50,000 restricted stock units is as follows: 16,667 shares vested on March 25, 2020; 16,667 shares vested on March 25, 2021; 16,666 shares will vest on March 25, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 50,000 restricted stock units is as follows: 16,667 shares vested on March 25, 2020; 16,667 shares vested on March 25, 2021; 16,666 shares will vest on March 25, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 50,000 restricted stock units is as follows: 16,667 shares vested on March 25, 2020; 16,667 shares vested on March 25, 2021; 16,666 shares will vest on March 25, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 25, 2021 Filed Mar 26, 2021 20:10 UTC
Shea Jacqueline ElizabethChief Operating Officer
Tax withholdingCommon Stock 7,247 $9.06 $65,657.82
Disclosure

SEC source: 0001055726-21-000034 · wf-form4_161678939086989.xml · nonDerivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,837

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (1) herein.

Read SEC document
March 25, 2021 Filed Mar 26, 2021 20:10 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock 16,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000034 · wf-form4_161678939086989.xml · nonDerivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,084

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 50,000 restricted stock units is as follows: 16,667 shares vested on March 25, 2020; 16,667 shares vested on March 25, 2021; 16,666 shares will vest on March 25, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 21, 2021 Filed Mar 23, 2021 20:43 UTC Exercise / conversionRestricted Stock Unit · Derivative 4,274 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000030 · wf-form4_161653218079462.xml · derivative · entry 2

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,273

Underlying: Common Stock · 4,274 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,821 restricted stock units is as follows: 4,274 shares vested on March 21, 2020; 4,274 shares vested on March 21, 2021; 4,273 shares will vest on March 21, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,821 restricted stock units is as follows: 4,274 shares vested on March 21, 2020; 4,274 shares vested on March 21, 2021; 4,273 shares will vest on March 21, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,821 restricted stock units is as follows: 4,274 shares vested on March 21, 2020; 4,274 shares vested on March 21, 2021; 4,273 shares will vest on March 21, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 21, 2021 Filed Mar 23, 2021 20:43 UTC Exercise / conversionCommon Stock 4,274 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000030 · wf-form4_161653218079462.xml · nonDerivative · entry 1

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,561

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,821 restricted stock units is as follows: 4,274 shares vested on March 21, 2020; 4,274 shares vested on March 21, 2021; 4,273 shares will vest on March 21, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 16, 2021 Filed Mar 16, 2021 20:55 UTC Exercise / conversionCommon Stock Options · Derivative 2,000 $0.00 Strike: $3.56 $0.00
Disclosure

SEC source: 0001055726-21-000028 · wf-form4_161592807371336.xml · derivative · entry 3

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2021-05-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

F2 · shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

F2 · derivative.underlying_shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

Read SEC document
March 16, 2021 Filed Mar 16, 2021 20:55 UTC SaleCommon Stock 2,000 $10.41 $20,820.00
Disclosure

SEC source: 0001055726-21-000028 · wf-form4_161592807371336.xml · nonDerivative · entry 2

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,650

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
March 16, 2021 Filed Mar 16, 2021 20:55 UTC Exercise / conversionCommon Stock 2,000 $3.56 $7,120.00
Disclosure

SEC source: 0001055726-21-000028 · wf-form4_161592807371336.xml · nonDerivative · entry 1

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,650

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 12, 2021 Filed Mar 12, 2021 23:32 UTC
Shea Jacqueline ElizabethChief Operating Officer
SaleCommon Stock 16,881 $10.06 $169,822.86
Disclosure

SEC source: 0001055726-21-000023 · wf-form4_161559192268345.xml · nonDerivative · entry 3

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,417

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Reporting person intends to use the proceeds of this sale to pay taxes resulting from the recent vesting of Restricted Stock Units granted by the issuer.

F4 · price: These transactions were executed in multiple trades at prices ranging from $9.96 to $10.18, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:36 UTC Exercise / conversionRestricted Stock Unit · Derivative 59,737 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000027 · wf-form4_161559215079850.xml · derivative · entry 4

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,474

Underlying: Common Stock · 59,737 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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March 11, 2021 Filed Mar 12, 2021 23:36 UTC Tax withholdingCommon Stock 31,410 $10.57 $332,003.70
Disclosure

SEC source: 0001055726-21-000027 · wf-form4_161559215079850.xml · nonDerivative · entry 2

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,788

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (1) herein.

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March 11, 2021 Filed Mar 12, 2021 23:36 UTC Exercise / conversionCommon Stock 59,737 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000027 · wf-form4_161559215079850.xml · nonDerivative · entry 1

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,198

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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March 11, 2021 Filed Mar 12, 2021 23:35 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 59,737 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000026 · wf-form4_161559209855704.xml · derivative · entry 3

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,474

Underlying: Common Stock · 59,737 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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March 11, 2021 Filed Mar 12, 2021 23:35 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 25,967 $10.57 $274,471.19
Disclosure

SEC source: 0001055726-21-000026 · wf-form4_161559209855704.xml · nonDerivative · entry 2

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,222

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (1) herein.

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March 11, 2021 Filed Mar 12, 2021 23:35 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 59,737 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000026 · wf-form4_161559209855704.xml · nonDerivative · entry 1

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,189

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:34 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,667 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000025 · wf-form4_161559204229772.xml · derivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,333

Underlying: Common Stock · 11,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 11, 2021; 11,667 shares will vest on March 11, 2022; 11,666 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 11, 2021; 11,667 shares will vest on March 11, 2022; 11,666 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 11, 2021; 11,667 shares will vest on March 11, 2022; 11,666 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 11, 2021; 11,667 shares will vest on March 11, 2022; 11,666 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:34 UTC Exercise / conversionCommon Stock 11,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000025 · wf-form4_161559204229772.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 855,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 11, 2021; 11,667 shares will vest on March 11, 2022; 11,666 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:32 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 59,737 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000023 · wf-form4_161559192268345.xml · derivative · entry 4

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,474

Underlying: Common Stock · 59,737 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:32 UTC
Shea Jacqueline ElizabethChief Operating Officer
Tax withholdingCommon Stock 25,974 $10.57 $274,545.18
Disclosure

SEC source: 0001055726-21-000023 · wf-form4_161559192268345.xml · nonDerivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,298

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (1) herein.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:32 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock 59,737 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000023 · wf-form4_161559192268345.xml · nonDerivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,272

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares will vest on March 11, 2022; 59,737 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:33 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 139,387 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000024 · wf-form4_161559198968115.xml · derivative · entry 8

Kim Jong Joseph · CIK 0001464549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,773

Underlying: Common Stock · 139,387 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 418,160 restricted stock units is as follows: 139,387 shares vested on March 11, 2021; 139,387 shares will vest on March 11, 2022; 139,386 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 418,160 restricted stock units is as follows: 139,387 shares vested on March 11, 2021; 139,387 shares will vest on March 11, 2022; 139,386 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 418,160 restricted stock units is as follows: 139,387 shares vested on March 11, 2021; 139,387 shares will vest on March 11, 2022; 139,386 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 418,160 restricted stock units is as follows: 139,387 shares vested on March 11, 2021; 139,387 shares will vest on March 11, 2022; 139,386 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:33 UTC
Kim Jong JosephDirector · Chief Executive Officer
Tax withholdingCommon Stock 74,545 $10.57 $787,940.65
Disclosure

SEC source: 0001055726-21-000024 · wf-form4_161559198968115.xml · nonDerivative · entry 2

Kim Jong Joseph · CIK 0001464549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,228,658

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (1) herein.

Read SEC document
March 11, 2021 Filed Mar 12, 2021 23:33 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 139,387 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000024 · wf-form4_161559198968115.xml · nonDerivative · entry 1

Kim Jong Joseph · CIK 0001464549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,303,203

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 418,160 restricted stock units is as follows: 139,387 shares vested on March 11, 2021; 139,387 shares will vest on March 11, 2022; 139,386 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 09, 2021 Filed Mar 10, 2021 00:03 UTC SaleCommon Stock 3,500 $9.60 $33,601.05
Disclosure

SEC source: 0001055726-21-000020 · wf-form4_161533459312789.xml · nonDerivative · entry 4

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 843,552

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. The reporting person intends to use the proceeds of this sale to pay taxes resulting from the recent vesting of restricted stock units granted by the issuer.

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March 08, 2021 Filed Mar 10, 2021 00:05 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 63,700 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000022 · wf-form4_161533472915714.xml · derivative · entry 11

Kim Jong Joseph · CIK 0001464549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,700

Underlying: Common Stock · 63,700 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares will vest on March 8, 2022.Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F3 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares will vest on March 8, 2022.Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares will vest on March 8, 2022.Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares will vest on March 8, 2022.Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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March 08, 2021 Filed Mar 10, 2021 00:05 UTC
Kim Jong JosephDirector · Chief Executive Officer
Tax withholdingCommon Stock 34,067 $8.91 $303,536.97
Disclosure

SEC source: 0001055726-21-000022 · wf-form4_161533472915714.xml · nonDerivative · entry 4

Kim Jong Joseph · CIK 0001464549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,163,816

F4 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (3) herein.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 00:05 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 63,700 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000022 · wf-form4_161533472915714.xml · nonDerivative · entry 3

Kim Jong Joseph · CIK 0001464549 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,197,883

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares will vest on March 8, 2022.Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 00:03 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,667 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000020 · wf-form4_161533459312789.xml · derivative · entry 6

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,666

Underlying: Common Stock · 11,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares will vest on March 8, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F3 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares will vest on March 8, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares will vest on March 8, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares will vest on March 8, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 00:03 UTC Exercise / conversionCommon Stock 11,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000020 · wf-form4_161533459312789.xml · nonDerivative · entry 3

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 847,052

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on March 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares will vest on March 8, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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.