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INO

INOVIO PHARMACEUTICALS, INC.

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6589
SEC CIK
0001055726
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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
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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 08, 2020 Filed May 8, 2020 22:19 UTC Exercise / conversionRestricted Stock Unit · Derivative 8,013 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000026 · wf-form4_158897636187851.xml · derivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,013 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. These restricted stock units vested 100% on May 8, 2020.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 8, 2020.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 8, 2020.

Read SEC document
May 08, 2020 Filed May 8, 2020 22:19 UTC Exercise / conversionCommon Stock 8,013 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000026 · wf-form4_158897636187851.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 829,623

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. These restricted stock units vested 100% on May 8, 2020.

Read SEC document
May 08, 2020 Filed May 8, 2020 22:17 UTC Exercise / conversionRestricted Stock Unit · Derivative 8,013 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000024 · wf-form4_158897623001264.xml · derivative · entry 2

Cabrera Angel · CIK 0001506715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,013 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. These restricted stock units vested 100% on May 8, 2020.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 8, 2020.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 8, 2020.

Read SEC document
May 08, 2020 Filed May 8, 2020 22:17 UTC Exercise / conversionCommon Stock 8,013 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000024 · wf-form4_158897623001264.xml · nonDerivative · entry 1

Cabrera Angel · CIK 0001506715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,602

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. These restricted stock units vested 100% on May 8, 2020.

Read SEC document
March 25, 2020 Filed Mar 26, 2020 20:10 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 16,667 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000019 · wf-form4_158525343157103.xml · derivative · entry 3

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,333

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 will vest 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 will vest 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 will vest 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 will vest 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, 2020 Filed Mar 26, 2020 20:10 UTC
Shea Jacqueline ElizabethChief Operating Officer
Tax withholdingCommon Stock 4,747 $6.68 $31,709.96
Disclosure

SEC source: 0001055726-20-000019 · wf-form4_158525343157103.xml · nonDerivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,920

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, 2020 Filed Mar 26, 2020 20:10 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock 16,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000019 · wf-form4_158525343157103.xml · nonDerivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

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 will vest 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, 2020 Filed Mar 23, 2020 20:54 UTC Exercise / conversionRestricted Stock Unit · Derivative 4,274 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000018 · wf-form4_158499686758704.xml · derivative · entry 2

Miller Ann Calby · CIK 0001771423 · 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 March 21, 2020; 4,274 shares will vest 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 · 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 will vest 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 will vest 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 will vest 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, 2020 Filed Mar 23, 2020 20:54 UTC Exercise / conversionCommon Stock 4,274 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000018 · wf-form4_158499686758704.xml · nonDerivative · entry 1

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,274

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 will vest 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 12, 2020 Filed Mar 12, 2020 20:40 UTC SaleCommon Stock 3,500 $11.14 $38,990.00
Disclosure

SEC source: 0001055726-20-000013 · wf-form4_158404559933910.xml · nonDerivative · entry 3

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 821,610

F2 · 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.

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March 11, 2020 Filed Mar 12, 2020 20:46 UTC
Kim Jong JosephDirector · Chief Executive Officer
GrantRestricted Stock Unit · Derivative 418,160 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000017 · wf-form4_158404596759720.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 418,160

Underlying: Common Stock · 418,160 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 418,160 restricted stock units is as follows: 139,387 shares will vest 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.

F3 · 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 will vest 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.

F3 · 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 will vest 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, 2020 Filed Mar 12, 2020 20:44 UTC
Shea Jacqueline ElizabethChief Operating Officer
GrantRestricted Stock Unit · Derivative 179,211 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000016 · wf-form4_158404586490604.xml · derivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,211

Underlying: Common Stock · 179,211 shares

Expires not disclosed

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 will vest 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 will vest 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 will vest 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, 2020 Filed Mar 12, 2020 20:41 UTC GrantRestricted Stock Unit · Derivative 179,211 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000014 · wf-form4_158404568493227.xml · derivative · entry 5

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,211

Underlying: Common Stock · 179,211 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 179,211 restricted stock units is as follows: 59,737 shares will vest 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.

F3 · 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 will vest 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.

F3 · 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 will vest 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, 2020 Filed Mar 12, 2020 20:43 UTC
Humeau LaurentChief Scientific Officer
GrantRestricted Stock Unit · Derivative 179,211 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000015 · wf-form4_158404578720195.xml · derivative · entry 4

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,211

Underlying: Common Stock · 179,211 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 179,211 restricted stock units is as follows: 59,737 shares will vest 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.

F3 · 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 will vest 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.

F3 · 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 will vest 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, 2020 Filed Mar 12, 2020 20:40 UTC GrantCommon Stock Option · Derivative 60,000 $0.00 Strike: $8.37 $0.00
Disclosure

SEC source: 0001055726-20-000013 · wf-form4_158404559933910.xml · derivative · entry 6

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 2030-03-11

F4 · derivative.exercise_date: The vesting schedule for the 60,000 options is as follows: 15,000 shares vested on March 11, 2020; 15,000 shares will vest on March 11, 2021; 15,000 shares will vest on March 11, 2022; 15,000 shares will vest on March 11, 2023.

Read SEC document
March 11, 2020 Filed Mar 12, 2020 20:40 UTC GrantRestricted Stock Unit · Derivative 35,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000013 · wf-form4_158404559933910.xml · derivative · entry 5

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

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 will vest 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.

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 will vest 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.

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 will vest 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 10, 2020 Filed Mar 12, 2020 20:46 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 105,700 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000017 · wf-form4_158404596759720.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,700 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.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 317,100 restricted stock units is as follows: 105,700 shares vested on March 10, 2018; 105,700 shares vested on March 10, 2019; 105,700 shares vested on March 10, 2020. 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 317,100 restricted stock units is as follows: 105,700 shares vested on March 10, 2018; 105,700 shares vested on March 10, 2019; 105,700 shares vested on March 10, 2020. 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 317,100 restricted stock units is as follows: 105,700 shares vested on March 10, 2018; 105,700 shares vested on March 10, 2019; 105,700 shares vested on March 10, 2020. 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 317,100 restricted stock units is as follows: 105,700 shares vested on March 10, 2018; 105,700 shares vested on March 10, 2019; 105,700 shares vested on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:46 UTC
Kim Jong JosephDirector · Chief Executive Officer
Tax withholdingCommon Stock 36,826 $5.70 $209,908.20
Disclosure

SEC source: 0001055726-20-000017 · wf-form4_158404596759720.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,288,313

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 10, 2020 Filed Mar 12, 2020 20:46 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 105,700 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000017 · wf-form4_158404596759720.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,325,139

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 317,100 restricted stock units is as follows: 105,700 shares vested on March 10, 2018; 105,700 shares vested on March 10, 2019; 105,700 shares vested on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:41 UTC Exercise / conversionRestricted Stock Unit · Derivative 20,433 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000014 · wf-form4_158404568493227.xml · derivative · entry 4

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,433 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 61,300 restricted stock units is as follows: 20,434 shares vested on March 10, 2018; 20,433 shares vested on March 10, 2019; 20,433 shares vested on March 10, 2020. 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 61,300 restricted stock units is as follows: 20,434 shares vested on March 10, 2018; 20,433 shares vested on March 10, 2019; 20,433 shares vested on March 10, 2020. 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 61,300 restricted stock units is as follows: 20,434 shares vested on March 10, 2018; 20,433 shares vested on March 10, 2019; 20,433 shares vested on March 10, 2020. 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 61,300 restricted stock units is as follows: 20,434 shares vested on March 10, 2018; 20,433 shares vested on March 10, 2019; 20,433 shares vested on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:41 UTC Tax withholdingCommon Stock 7,066 $5.70 $40,276.20
Disclosure

SEC source: 0001055726-20-000014 · wf-form4_158404568493227.xml · nonDerivative · entry 2

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,290

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 10, 2020 Filed Mar 12, 2020 20:41 UTC Exercise / conversionCommon Stock 20,433 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000014 · wf-form4_158404568493227.xml · nonDerivative · entry 1

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,356

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 61,300 restricted stock units is as follows: 20,434 shares vested on March 10, 2018; 20,433 shares vested on March 10, 2019; 20,433 shares vested on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:43 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 2,812 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000015 · wf-form4_158404578720195.xml · derivative · entry 3

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,812 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 5,624 restricted stock units is as follows: 2,812 shares vested on March 10, 2019; 2,812 shares vested on March 10, 2020. 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 5,624 restricted stock units is as follows: 2,812 shares vested on March 10, 2019; 2,812 shares vested on March 10, 2020. 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 5,624 restricted stock units is as follows: 2,812 shares vested on March 10, 2019; 2,812 shares vested on March 10, 2020. 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 5,624 restricted stock units is as follows: 2,812 shares vested on March 10, 2019; 2,812 shares vested on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:43 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 973 $5.70 $5,546.10
Disclosure

SEC source: 0001055726-20-000015 · wf-form4_158404578720195.xml · nonDerivative · entry 2

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,900

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 10, 2020 Filed Mar 12, 2020 20:43 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 2,812 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000015 · wf-form4_158404578720195.xml · nonDerivative · entry 1

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,873

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 5,624 restricted stock units is as follows: 2,812 shares vested on March 10, 2019; 2,812 shares vested on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:40 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,666 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000013 · wf-form4_158404559933910.xml · derivative · entry 4

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 10, 2018; 11,667 shares vested on March 10, 2019; 11,666 shares vested on March 10, 2020. 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 10, 2018; 11,667 shares vested on March 10, 2019; 11,666 shares vested on March 10, 2020. 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 10, 2018; 11,667 shares vested on March 10, 2019; 11,666 shares vested on March 10, 2020. 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 10, 2018; 11,667 shares vested on March 10, 2019; 11,666 shares vested on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 20:40 UTC SaleCommon Stock 3,500 $9.32 $32,620.00
Disclosure

SEC source: 0001055726-20-000013 · wf-form4_158404559933910.xml · nonDerivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 825,110

F2 · 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
March 10, 2020 Filed Mar 12, 2020 20:40 UTC Exercise / conversionCommon Stock 11,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000013 · wf-form4_158404559933910.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 828,610

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 10, 2018; 11,667 shares vested on March 10, 2019; 11,666 shares vested on March 10, 2020. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
March 09, 2020 Filed Mar 9, 2020 20:20 UTC SaleCommon Stock 3,500 $18.00 $63,000.00
Disclosure

SEC source: 0001055726-20-000009 · wf-form4_158378519401805.xml · nonDerivative · entry 3

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 816,944

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
March 08, 2020 Filed Mar 9, 2020 20:20 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,667 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000009 · wf-form4_158378519401805.xml · derivative · entry 5

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.

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 vested on March 8, 2020; 11,667 shares will vest 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.

F2 · 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 will vest 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.

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 vested on March 8, 2020; 11,667 shares will vest 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.

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 vested on March 8, 2020; 11,667 shares will vest 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, 2020 Filed Mar 9, 2020 20:20 UTC Exercise / conversionCommon Stock 11,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000009 · wf-form4_158378519401805.xml · nonDerivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 820,444

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 · 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 will vest 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, 2020 Filed Mar 9, 2020 20:18 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 63,700 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000008 · wf-form4_158378508254040.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,400

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 will vest 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 will vest 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 will vest 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 will vest 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, 2020 Filed Mar 9, 2020 20:18 UTC
Kim Jong JosephDirector · Chief Executive Officer
Tax withholdingCommon Stock 27,697 $14.09 $390,250.73
Disclosure

SEC source: 0001055726-20-000008 · wf-form4_158378508254040.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,219,439

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, 2020 Filed Mar 9, 2020 20:18 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 63,700 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000008 · wf-form4_158378508254040.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,247,136

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 will vest 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, 2020 Filed Mar 9, 2020 20:16 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 19,900 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000007 · wf-form4_158378499078811.xml · derivative · entry 6

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,800

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 will vest on March 8, 2021; 19,900 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 59,700 restricted stock units is as follows: 19,900 shares vested on March 8, 2020; 19,900 shares will vest on March 8, 2021; 19,900 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 59,700 restricted stock units is as follows: 19,900 shares vested on March 8, 2020; 19,900 shares will vest on March 8, 2021; 19,900 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 59,700 restricted stock units is as follows: 19,900 shares vested on March 8, 2020; 19,900 shares will vest on March 8, 2021; 19,900 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, 2020 Filed Mar 9, 2020 20:16 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 6,882 $14.09 $96,967.38
Disclosure

SEC source: 0001055726-20-000007 · wf-form4_158378499078811.xml · nonDerivative · entry 4

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,061

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, 2020 Filed Mar 9, 2020 20:16 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 19,900 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000007 · wf-form4_158378499078811.xml · nonDerivative · entry 3

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,943

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 will vest on March 8, 2021; 19,900 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, 2020 Filed Mar 9, 2020 20:15 UTC Exercise / conversionRestricted Stock Unit · Derivative 21,467 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000006 · wf-form4_158378489893679.xml · derivative · entry 7

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,933

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 will vest 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 will vest 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 will vest 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 will vest 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, 2020 Filed Mar 9, 2020 20:15 UTC Tax withholdingCommon Stock 7,424 $14.09 $104,604.16
Disclosure

SEC source: 0001055726-20-000006 · wf-form4_158378489893679.xml · nonDerivative · entry 4

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,923

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, 2020 Filed Mar 9, 2020 20:15 UTC Exercise / conversionCommon Stock 21,467 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000006 · wf-form4_158378489893679.xml · nonDerivative · entry 3

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,347

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 will vest 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, 2020 Filed Mar 9, 2020 20:20 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,667 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000009 · wf-form4_158378519401805.xml · derivative · entry 4

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.

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 will vest 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 will vest 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 will vest 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 will vest 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, 2020 Filed Mar 9, 2020 20:20 UTC Exercise / conversionCommon Stock 11,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000009 · wf-form4_158378519401805.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 808,777

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 will vest 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, 2020 Filed Mar 9, 2020 20:18 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 120,100 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000008 · wf-form4_158378508254040.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,100

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 will vest 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 will vest 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 will vest 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 will vest 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, 2020 Filed Mar 9, 2020 20:18 UTC
Kim Jong JosephDirector · Chief Executive Officer
Tax withholdingCommon Stock 37,371 $9.80 $366,235.80
Disclosure

SEC source: 0001055726-20-000008 · wf-form4_158378508254040.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,183,436

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, 2020 Filed Mar 9, 2020 20:18 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 120,100 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000008 · wf-form4_158378508254040.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,220,807

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 will vest 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, 2020 Filed Mar 9, 2020 20:16 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 27,567 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000007 · wf-form4_158378499078811.xml · derivative · entry 5

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,566

Underlying: Common Stock · 27,567 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 will vest 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 will vest 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 will vest 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 will vest on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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March 05, 2020 Filed Mar 9, 2020 20:16 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 9,857 $9.80 $96,598.60
Disclosure

SEC source: 0001055726-20-000007 · wf-form4_158378499078811.xml · nonDerivative · entry 2

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,043

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 05, 2020 Filed Mar 9, 2020 20:16 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 27,567 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-20-000007 · wf-form4_158378499078811.xml · nonDerivative · entry 1

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,900

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 will vest on March 5, 2021. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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March 05, 2020 Filed Mar 9, 2020 20:15 UTC Exercise / conversionRestricted Stock Unit · Derivative 27,567 $0.00 $0.00
Disclosure

SEC source: 0001055726-20-000006 · wf-form4_158378489893679.xml · derivative · entry 6

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,566

Underlying: Common Stock · 27,567 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 will vest 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 will vest 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 will vest 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 will vest 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, 2020 Filed Mar 9, 2020 20:15 UTC Tax withholdingCommon Stock 9,817 $9.80 $96,206.60
Disclosure

SEC source: 0001055726-20-000006 · wf-form4_158378489893679.xml · nonDerivative · entry 2

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,880

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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.