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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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0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 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
March 08, 2021 Filed Mar 10, 2021 00:03 UTC SaleCommon Stock 3,500 $9.18 $32,134.90
Disclosure

SEC source: 0001055726-21-000020 · wf-form4_161533459312789.xml · nonDerivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,385

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 00:04 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 19,900 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000021 · wf-form4_161533465915024.xml · derivative · entry 6

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,900

Underlying: Common Stock · 19,900 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 59,700 restricted stock units is as follows: 19,900 shares vested on March 8, 2020; 19,900 shares vested on March 8, 2021; 19,900 shares will vest on March 10, 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 59,700 restricted stock units is as follows: 19,900 shares vested on March 8, 2020; 19,900 shares vested on March 8, 2021; 19,900 shares will vest on March 10, 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 59,700 restricted stock units is as follows: 19,900 shares vested on March 8, 2020; 19,900 shares vested on March 8, 2021; 19,900 shares will vest on March 10, 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 59,700 restricted stock units is as follows: 19,900 shares vested on March 8, 2020; 19,900 shares vested on March 8, 2021; 19,900 shares will vest on March 10, 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 00:04 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 6,882 $8.91 $61,318.62
Disclosure

SEC source: 0001055726-21-000021 · wf-form4_161533465915024.xml · nonDerivative · entry 4

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,452

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.

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March 08, 2021 Filed Mar 10, 2021 00:04 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 19,900 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000021 · wf-form4_161533465915024.xml · nonDerivative · entry 3

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,334

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 59,700 restricted stock units is as follows: 19,900 shares vested on March 8, 2020; 19,900 shares vested on March 8, 2021; 19,900 shares will vest on March 10, 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 00:02 UTC Exercise / conversionRestricted Stock Unit · Derivative 21,467 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000019 · wf-form4_161533452463255.xml · derivative · entry 7

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,466

Underlying: Common Stock · 21,467 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 64,400 restricted stock units is as follows: 21,467 shares vested on March 8, 2020; 21,467 shares vested on March 8, 2021; 21,466 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 64,400 restricted stock units is as follows: 21,467 shares vested on March 8, 2020; 21,467 shares vested on March 8, 2021; 21,466 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 64,400 restricted stock units is as follows: 21,467 shares vested on March 8, 2020; 21,467 shares vested on March 8, 2021; 21,466 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 64,400 restricted stock units is as follows: 21,467 shares vested on March 8, 2020; 21,467 shares vested on March 8, 2021; 21,466 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 00:02 UTC Tax withholdingCommon Stock 11,288 $8.91 $100,576.08
Disclosure

SEC source: 0001055726-21-000019 · wf-form4_161533452463255.xml · nonDerivative · entry 4

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,461

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 00:02 UTC Exercise / conversionCommon Stock 21,467 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000019 · wf-form4_161533452463255.xml · nonDerivative · entry 3

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,749

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 64,400 restricted stock units is as follows: 21,467 shares vested on March 8, 2020; 21,467 shares vested on March 8, 2021; 21,466 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 05, 2021 Filed Mar 10, 2021 00:05 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 120,100 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000022 · wf-form4_161533472915714.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,100 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 360,300 restricted stock units is as follows: 120,100 shares vested on March 5, 2019; 120,100 shares vested on March 5, 2020; 120,100 shares vested on March 5, 2021. Vested units of restricted stock 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 360,300 restricted stock units is as follows: 120,100 shares vested on March 5, 2019; 120,100 shares vested on March 5, 2020; 120,100 shares vested on March 5, 2021. Vested units of restricted stock 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 360,300 restricted stock units is as follows: 120,100 shares vested on March 5, 2019; 120,100 shares vested on March 5, 2020; 120,100 shares vested on March 5, 2021. Vested units of restricted stock 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 360,300 restricted stock units is as follows: 120,100 shares vested on March 5, 2019; 120,100 shares vested on March 5, 2020; 120,100 shares vested on March 5, 2021. Vested units of restricted stock can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 00:05 UTC
Kim Jong JosephDirector · Chief Executive Officer
Tax withholdingCommon Stock 64,230 $9.19 $590,273.70
Disclosure

SEC source: 0001055726-21-000022 · wf-form4_161533472915714.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,134,183

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 05, 2021 Filed Mar 10, 2021 00:05 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 120,100 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000022 · wf-form4_161533472915714.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,198,413

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 360,300 restricted stock units is as follows: 120,100 shares vested on March 5, 2019; 120,100 shares vested on March 5, 2020; 120,100 shares vested on March 5, 2021. Vested units of restricted stock can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 00:03 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,666 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000020 · wf-form4_161533459312789.xml · derivative · entry 5

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,666 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 5, 2019; 11,667 shares vested on March 5, 2020; 11,666 shares vested on March 5, 2021. 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 5, 2019; 11,667 shares vested on March 5, 2020; 11,666 shares vested on March 5, 2021. 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 5, 2019; 11,667 shares vested on March 5, 2020; 11,666 shares vested on March 5, 2021. 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 5, 2019; 11,667 shares vested on March 5, 2020; 11,666 shares vested on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 00:03 UTC Exercise / conversionCommon Stock 11,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000020 · wf-form4_161533459312789.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 838,885

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 5, 2019; 11,667 shares vested on March 5, 2020; 11,666 shares vested on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 00:04 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 27,566 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000021 · wf-form4_161533465915024.xml · derivative · entry 5

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,566 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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. 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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. 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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. 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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 00:04 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 9,632 $9.19 $88,518.08
Disclosure

SEC source: 0001055726-21-000021 · wf-form4_161533465915024.xml · nonDerivative · entry 2

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,434

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 05, 2021 Filed Mar 10, 2021 00:04 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 27,566 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000021 · wf-form4_161533465915024.xml · nonDerivative · entry 1

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,066

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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 00:02 UTC Exercise / conversionRestricted Stock Unit · Derivative 27,566 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000019 · wf-form4_161533452463255.xml · derivative · entry 6

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,566 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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. 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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. 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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. 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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 00:02 UTC Tax withholdingCommon Stock 14,574 $9.19 $133,935.06
Disclosure

SEC source: 0001055726-21-000019 · wf-form4_161533452463255.xml · nonDerivative · entry 2

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,282

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 05, 2021 Filed Mar 10, 2021 00:02 UTC Exercise / conversionCommon Stock 27,566 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-21-000019 · wf-form4_161533452463255.xml · nonDerivative · entry 1

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,856

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 82,700 restricted stock units is as follows: 27,567 shares vested on March 5, 2019; 27,567 shares vested on March 5, 2020; 27,566 shares vested on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:10 UTC GrantRestricted Stock Unit · Derivative 35,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000015 · wf-form4_161438459117474.xml · derivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires not disclosed

F2 · 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 will vest on February 26, 2022; 11,667 shares will vest on February 26, 2023; 11,666 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · 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 will vest on February 26, 2022; 11,667 shares will vest on February 26, 2023; 11,666 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · 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 will vest on February 26, 2022; 11,667 shares will vest on February 26, 2023; 11,666 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:10 UTC GrantCommon Stock Option · Derivative 60,000 $0.00 Strike: $11.10 $0.00
Disclosure

SEC source: 0001055726-21-000015 · wf-form4_161438459117474.xml · derivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-02-26

F1 · derivative.exercise_date: The vesting schedule for the 60,000 options is as follows: 15,000 shares vested on February 26, 2021; 15,000 shares will vest on February 26, 2022; 15,000 shares will vest on February 26, 2023; 15,000 shares will vest on February 26, 2024.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:09 UTC GrantRestricted Stock Unit · Derivative 67,633 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000014 · wf-form4_161438452513748.xml · derivative · entry 2

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,633

Underlying: Common Stock · 67,633 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:09 UTC GrantCommon Stock Option · Derivative 104,833 $0.00 Strike: $11.10 $0.00
Disclosure

SEC source: 0001055726-21-000014 · wf-form4_161438452513748.xml · derivative · entry 1

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,833

Underlying: Common Stock · 104,833 shares

Expires 2031-02-26

F1 · derivative.exercise_date: The vesting schedule for the 104,833 options is as follows: 26,208 shares vested on February 26, 2021; 26,208 shares will vest on February 26, 2022; 26,208 shares will vest on February 26, 2023; 26,209 shares will vest on February 26, 2024.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:08 UTC
Kim Jong JosephDirector · Chief Executive Officer
GrantRestricted Stock Unit · Derivative 206,300 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000013 · wf-form4_161438445356817.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,300

Underlying: Common Stock · 206,300 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 206,300 restricted stock units is as follows: 68,767 shares will vest on February 26, 2022; 68,767 shares will vest on February 26, 2023; 68,766 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 206,300 restricted stock units is as follows: 68,767 shares will vest on February 26, 2022; 68,767 shares will vest on February 26, 2023; 68,766 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 206,300 restricted stock units is as follows: 68,767 shares will vest on February 26, 2022; 68,767 shares will vest on February 26, 2023; 68,766 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:08 UTC
Kim Jong JosephDirector · Chief Executive Officer
GrantCommon Stock Option · Derivative 319,800 $0.00 Strike: $11.10 $0.00
Disclosure

SEC source: 0001055726-21-000013 · wf-form4_161438445356817.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,800

Underlying: Common Stock · 319,800 shares

Expires 2031-02-26

F1 · derivative.exercise_date: The vesting schedule for the 319,800 options is as follows: 79,950 shares vested on February 26, 2021; 79,950 shares will vest on February 26, 2022; 79,950 shares will vest on February 26, 2023; 79,950 shares will vest on February 26, 2024.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:05 UTC
Shea Jacqueline ElizabethChief Operating Officer
GrantRestricted Stock Unit · Derivative 67,633 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000011 · wf-form4_161438428463289.xml · derivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,633

Underlying: Common Stock · 67,633 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:05 UTC
Shea Jacqueline ElizabethChief Operating Officer
GrantCommon Stock Option · Derivative 104,833 $0.00 Strike: $11.10 $0.00
Disclosure

SEC source: 0001055726-21-000011 · wf-form4_161438428463289.xml · derivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,833

Underlying: Common Stock · 104,833 shares

Expires 2031-02-26

F1 · derivative.exercise_date: The vesting schedule for the 104,833 options is as follows: 26,208 shares vested on February 26, 2021; 26,208 shares will vest on February 26, 2022; 26,208 shares will vest on February 26, 2023; 26,209 shares will vest on February 26, 2024.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:06 UTC
Humeau LaurentChief Scientific Officer
GrantRestricted Stock Unit · Derivative 67,633 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000012 · wf-form4_161438435223003.xml · derivative · entry 2

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,633

Underlying: Common Stock · 67,633 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 67,633 restricted stock units is as follows: 22,544 shares will vest on February 26, 2022; 22,544 shares will vest on February 26, 2023; 22,545 shares will vest on February 26, 2024. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
February 26, 2021 Filed Feb 27, 2021 00:06 UTC
Humeau LaurentChief Scientific Officer
GrantCommon Stock Option · Derivative 104,833 $0.00 Strike: $11.10 $0.00
Disclosure

SEC source: 0001055726-21-000012 · wf-form4_161438435223003.xml · derivative · entry 1

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,833

Underlying: Common Stock · 104,833 shares

Expires 2031-02-26

F1 · derivative.exercise_date: The vesting schedule for the 104,833 options is as follows: 26,208 shares vested on February 26, 2021; 26,208 shares will vest on February 26, 2022; 26,208 shares will vest on February 26, 2023; 26,209 shares will vest on February 26, 2024.

Read SEC document
February 16, 2021 Filed Feb 19, 2021 00:04 UTC Exercise / conversionCommon Stock Options · Derivative 2,000 $0.00 Strike: $3.56 $0.00
Disclosure

SEC source: 0001055726-21-000009 · wf-form4_161369307299569.xml · derivative · entry 3

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

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
February 16, 2021 Filed Feb 19, 2021 00:04 UTC SaleCommon Stock 2,000 $14.68 $29,360.00
Disclosure

SEC source: 0001055726-21-000009 · wf-form4_161369307299569.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
February 16, 2021 Filed Feb 19, 2021 00:04 UTC Exercise / conversionCommon Stock 2,000 $3.56 $7,120.00
Disclosure

SEC source: 0001055726-21-000009 · wf-form4_161369307299569.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
February 03, 2021 Filed Feb 4, 2021 00:14 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock Option · Derivative 62,500 $0.00 Strike: $4.56 $0.00
Disclosure

SEC source: 0001055726-21-000008 · wf-form4_161239761257738.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 62,500 shares

Expires 2021-03-11

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

F3 · shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

F3 · derivative.underlying_shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

Read SEC document
February 03, 2021 Filed Feb 4, 2021 00:14 UTC
Kim Jong JosephDirector · Chief Executive Officer
SaleCommon Stock 62,500 $14.24 $890,000.00
Disclosure

SEC source: 0001055726-21-000008 · wf-form4_161239761257738.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,078,313

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 $13.81 to $14.64, 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
February 03, 2021 Filed Feb 4, 2021 00:14 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 62,500 $4.56 $285,000.00
Disclosure

SEC source: 0001055726-21-000008 · wf-form4_161239761257738.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,140,813

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 01, 2021 Filed Feb 4, 2021 00:14 UTC
Kim Jong JosephDirector · Chief Executive Officer
SaleCommon Stock 100,000 $15.00 $1,500,000.00
Disclosure

SEC source: 0001055726-21-000008 · wf-form4_161239761257738.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,078,313

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
February 01, 2021 Filed Feb 4, 2021 00:12 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock Option · Derivative 22,376 $0.00 Strike: $3.62 $0.00
Disclosure

SEC source: 0001055726-21-000007 · wf-form4_161239754472771.xml · derivative · entry 4

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 22,376 shares

Expires 2029-03-25

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 01, 2021 Filed Feb 4, 2021 00:12 UTC
Shea Jacqueline ElizabethChief Operating Officer
SaleCommon Stock 5,960 $15.00 $89,400.00
Disclosure

SEC source: 0001055726-21-000007 · wf-form4_161239754472771.xml · nonDerivative · entry 3

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,535

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

F3 · price: These transactions were executed in multiple trades at prices ranging from $15.00 to $15.07, 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
February 01, 2021 Filed Feb 4, 2021 00:12 UTC
Shea Jacqueline ElizabethChief Operating Officer
SaleCommon Stock 22,376 $15.06 $336,982.56
Disclosure

SEC source: 0001055726-21-000007 · wf-form4_161239754472771.xml · nonDerivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,495

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 $15.00 to $15.32, 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
February 01, 2021 Filed Feb 4, 2021 00:12 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock 22,376 $3.62 $81,001.12
Disclosure

SEC source: 0001055726-21-000007 · wf-form4_161239754472771.xml · nonDerivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,871

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
January 28, 2021 Filed Jan 30, 2021 00:03 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock Option · Derivative 55,248 $0.00 Strike: $3.62 $0.00
Disclosure

SEC source: 0001055726-21-000005 · wf-form4_161196497789987.xml · derivative · entry 7

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,376

Underlying: Common Stock · 55,248 shares

Expires 2029-03-25

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
January 28, 2021 Filed Jan 30, 2021 00:03 UTC
Shea Jacqueline ElizabethChief Operating Officer
SaleCommon Stock 16,713 $12.04 $201,224.52
Disclosure

SEC source: 0001055726-21-000005 · wf-form4_161196497789987.xml · nonDerivative · entry 5

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,495

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

F4 · price: These transactions were executed in multiple trades at prices ranging from $12.00 to $12.10, 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
January 28, 2021 Filed Jan 30, 2021 00:03 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock 55,248 $3.62 $199,997.76
Disclosure

SEC source: 0001055726-21-000005 · wf-form4_161196497789987.xml · nonDerivative · entry 4

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,208

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
January 27, 2021 Filed Jan 30, 2021 00:03 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock Option · Derivative 22,376 $0.00 Strike: $3.62 $0.00
Disclosure

SEC source: 0001055726-21-000005 · wf-form4_161196497789987.xml · derivative · entry 6

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,624

Underlying: Common Stock · 22,376 shares

Expires 2029-03-25

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
January 27, 2021 Filed Jan 30, 2021 00:03 UTC
Shea Jacqueline ElizabethChief Operating Officer
SaleCommon Stock 5,960 $12.04 $71,758.40
Disclosure

SEC source: 0001055726-21-000005 · wf-form4_161196497789987.xml · nonDerivative · entry 3

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,960

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

F3 · price: These transactions were executed in multiple trades at prices ranging from $12.00 to $12.07, 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
January 27, 2021 Filed Jan 30, 2021 00:03 UTC
Shea Jacqueline ElizabethChief Operating Officer
SaleCommon Stock 22,376 $12.01 $268,735.76
Disclosure

SEC source: 0001055726-21-000005 · wf-form4_161196497789987.xml · nonDerivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,920

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 $12.00 to $12.09, 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
January 27, 2021 Filed Jan 30, 2021 00:03 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock 22,376 $3.62 $81,001.12
Disclosure

SEC source: 0001055726-21-000005 · wf-form4_161196497789987.xml · nonDerivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,296

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
January 15, 2021 Filed Jan 16, 2021 00:25 UTC Exercise / conversionCommon Stock Option · Derivative 30,000 $0.00 Strike: $4.56 $0.00
Disclosure

SEC source: 0001055726-21-000004 · wf-form4_161075672601972.xml · derivative · entry 4

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2021-03-11

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

F3 · shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

F3 · derivative.underlying_shares: Gives effect to a 1-for-4 reverse stock split effected by the Issuer on June 5, 2014.

Read SEC document
January 15, 2021 Filed Jan 16, 2021 00:25 UTC SaleCommon Stock 30,000 $10.02 $300,558.00
Disclosure

SEC source: 0001055726-21-000004 · wf-form4_161075672601972.xml · nonDerivative · entry 2

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,290

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 $10.00 to $10.07, 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
January 15, 2021 Filed Jan 16, 2021 00:25 UTC Exercise / conversionCommon Stock 30,000 $4.56 $136,800.00
Disclosure

SEC source: 0001055726-21-000004 · wf-form4_161075672601972.xml · nonDerivative · entry 1

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,290

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
January 15, 2021 Filed Jan 16, 2021 00:24 UTC
Shepard JayDirector
Exercise / conversionRestricted Stock Unit · Derivative 4,274 $0.00 $0.00
Disclosure

SEC source: 0001055726-21-000003 · wf-form4_161075662594602.xml · derivative · entry 2

Shepard Jay · CIK 0001587788 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,547

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 January 15, 2021; 4,274 shares will vest on January 15, 2022; 4,273 shares will vest on January 15, 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 12,821 restricted stock units is as follows: 4,274 shares vested on January 15, 2021; 4,274 shares will vest on January 15, 2022; 4,273 shares will vest on January 15, 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 12,821 restricted stock units is as follows: 4,274 shares vested on January 15, 2021; 4,274 shares will vest on January 15, 2022; 4,273 shares will vest on January 15, 2023. 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.