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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
May 13, 2022 Filed May 17, 2022 20:22 UTC Exercise / conversionRestricted Stock Unit · Derivative 18,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000036 · wf-form4_165281890122209.xml · derivative · entry 2

YARNO WENDY L · CIK 0001181186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 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 13, 2022.

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 13, 2022.

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 13, 2022.

Read SEC document
May 13, 2022 Filed May 17, 2022 20:22 UTC Exercise / conversionCommon Stock 18,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000036 · wf-form4_165281890122209.xml · nonDerivative · entry 1

YARNO WENDY L · CIK 0001181186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,153

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 13, 2022.

Read SEC document
May 13, 2022 Filed May 17, 2022 20:24 UTC Exercise / conversionRestricted Stock Unit · Derivative 18,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000037 · wf-form4_165281902186670.xml · derivative · entry 2

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 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 13, 2022.

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 13, 2022.

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 13, 2022.

Read SEC document
May 13, 2022 Filed May 17, 2022 20:24 UTC Exercise / conversionCommon Stock 18,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000037 · wf-form4_165281902186670.xml · nonDerivative · entry 1

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,534

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022.

Read SEC document
May 10, 2022 Filed May 11, 2022 21:03 UTC
Shea Jacqueline ElizabethChief Executive Officer
GrantRestricted Stock Unit · Derivative 198,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000035 · wf-form4_165230299527837.xml · derivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,000

Underlying: Common Stock · 198,000 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 198,000 restricted stock units is as follows: 66,000 shares will vest on May 10, 2023; 66,000 shares will vest on May 10, 2024; 66,000 shares will vest on May 10, 2025. 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 198,000 restricted stock units is as follows: 66,000 shares will vest on May 10, 2023; 66,000 shares will vest on May 10, 2024; 66,000 shares will vest on May 10, 2025. 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 198,000 restricted stock units is as follows: 66,000 shares will vest on May 10, 2023; 66,000 shares will vest on May 10, 2024; 66,000 shares will vest on May 10, 2025. 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 198,000 restricted stock units is as follows: 66,000 shares will vest on May 10, 2023; 66,000 shares will vest on May 10, 2024; 66,000 shares will vest on May 10, 2025. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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May 10, 2022 Filed May 11, 2022 21:03 UTC
Shea Jacqueline ElizabethChief Executive Officer
GrantCommon Stock Option · Derivative 309,400 $0.00 Strike: $2.49 $0.00
Disclosure

SEC source: 0001055726-22-000035 · wf-form4_165230299527837.xml · derivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,400

Underlying: Common Stock · 309,400 shares

Expires 2032-05-10

F1 · derivative.exercise_date: The vesting schedule for the 309,400 options is as follows: 77,350 shares vested on May 10, 2022; 77,350 shares will vest on May 10, 2023; 77,350 shares will vest on May 10, 2024; 77,350 shares will vest on May 10, 2025.

Read SEC document
March 25, 2022 Filed Mar 28, 2022 20:05 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 16,666 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000031 · wf-form4_164849769330568.xml · derivative · entry 3

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,666 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 50,000 restricted stock units is as follows: 16,667 shares vested on March 25, 2020; 16,667 shares vested on March 25, 2021; 16,666 shares vested on March 25, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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

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

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 50,000 restricted stock units is as follows: 16,667 shares vested on March 25, 2020; 16,667 shares vested on March 25, 2021; 16,666 shares vested 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, 2022 Filed Mar 28, 2022 20:05 UTC
Shea Jacqueline ElizabethChief Operating Officer
Tax withholdingCommon Stock 7,247 $3.63 $26,306.61
Disclosure

SEC source: 0001055726-22-000031 · wf-form4_164849769330568.xml · nonDerivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,555

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, 2022 Filed Mar 28, 2022 20:05 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock 16,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000031 · wf-form4_164849769330568.xml · nonDerivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,802

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 50,000 restricted stock units is as follows: 16,667 shares vested on March 25, 2020; 16,667 shares vested on March 25, 2021; 16,666 shares vested 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, 2022 Filed Mar 22, 2022 20:15 UTC Exercise / conversionRestricted Stock Unit · Derivative 4,273 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000026 · wf-form4_164798010210819.xml · derivative · entry 2

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,273 shares

Expires not disclosed

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

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

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

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,821 restricted stock units is as follows: 4,274 shares vested on March 21, 2020; 4,274 shares vested on March 21, 2021; 4,273 shares vested 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, 2022 Filed Mar 22, 2022 20:15 UTC Exercise / conversionCommon Stock 4,273 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000026 · wf-form4_164798010210819.xml · nonDerivative · entry 1

Miller Ann Calby · CIK 0001771423 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,534

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

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

Read SEC document
March 16, 2022 Filed Mar 17, 2022 20:03 UTC Exercise / conversionCommon Stock Options · Derivative 2,000 $0.00 Strike: $2.20 $0.00
Disclosure

SEC source: 0001055726-22-000025 · wf-form4_164754740182512.xml · derivative · entry 3

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 2,000 shares

Expires 2022-08-10

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

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.

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March 16, 2022 Filed Mar 17, 2022 20:03 UTC SaleCommon Stock 2,000 $3.16 $6,320.00
Disclosure

SEC source: 0001055726-22-000025 · wf-form4_164754740182512.xml · nonDerivative · entry 2

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,305

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

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March 16, 2022 Filed Mar 17, 2022 20:03 UTC Exercise / conversionCommon Stock 2,000 $2.20 $4,400.00
Disclosure

SEC source: 0001055726-22-000025 · wf-form4_164754740182512.xml · nonDerivative · entry 1

BENITO SIMON X · CIK 0001273306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,305

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

Read SEC document
March 14, 2022 Filed Mar 14, 2022 20:41 UTC SaleCommon Stock 4,083 $3.20 $13,065.60
Disclosure

SEC source: 0001055726-22-000021 · wf-form4_164729029489063.xml · nonDerivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 883,625

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.

F3 · price: These transactions were executed in multiple trades at prices ranging from $3.19 to $3.23, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

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March 11, 2022 Filed Mar 14, 2022 20:51 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 59,737 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000024 · wf-form4_164729099179365.xml · derivative · entry 3

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,737

Underlying: Common Stock · 59,737 shares

Expires not disclosed

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

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

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

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

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares vested 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, 2022 Filed Mar 14, 2022 20:51 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 20,658 $3.22 $66,518.76
Disclosure

SEC source: 0001055726-22-000024 · wf-form4_164729099179365.xml · nonDerivative · entry 2

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,684

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

Read SEC document
March 11, 2022 Filed Mar 14, 2022 20:51 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 59,737 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000024 · wf-form4_164729099179365.xml · nonDerivative · entry 1

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,342

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares vested 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, 2022 Filed Mar 14, 2022 20:50 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 59,737 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000023 · wf-form4_164729088600390.xml · derivative · entry 3

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,737

Underlying: Common Stock · 59,737 shares

Expires not disclosed

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

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

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

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

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares vested 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, 2022 Filed Mar 14, 2022 20:50 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 20,658 $3.22 $66,518.76
Disclosure

SEC source: 0001055726-22-000023 · wf-form4_164729088600390.xml · nonDerivative · entry 2

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,684

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

Read SEC document
March 11, 2022 Filed Mar 14, 2022 20:50 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 59,737 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000023 · wf-form4_164729088600390.xml · nonDerivative · entry 1

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,342

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares vested 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, 2022 Filed Mar 14, 2022 20:46 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionRestricted Stock Unit · Derivative 59,737 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000022 · wf-form4_164729057942435.xml · derivative · entry 3

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,737

Underlying: Common Stock · 59,737 shares

Expires not disclosed

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

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

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

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

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares vested 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, 2022 Filed Mar 14, 2022 20:46 UTC
Shea Jacqueline ElizabethChief Operating Officer
Tax withholdingCommon Stock 25,974 $3.22 $83,636.28
Disclosure

SEC source: 0001055726-22-000022 · wf-form4_164729057942435.xml · nonDerivative · entry 2

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,136

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

Read SEC document
March 11, 2022 Filed Mar 14, 2022 20:46 UTC
Shea Jacqueline ElizabethChief Operating Officer
Exercise / conversionCommon Stock 59,737 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000022 · wf-form4_164729057942435.xml · nonDerivative · entry 1

Shea Jacqueline Elizabeth · CIK 0001771498 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,110

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares vested 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, 2022 Filed Mar 14, 2022 20:41 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,667 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000021 · wf-form4_164729029489063.xml · derivative · entry 3

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 11, 2021; 11,667 shares vested on March 11, 2022; 11,666 shares will vest on March 11, 2023. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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

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

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

Read SEC document
March 11, 2022 Filed Mar 14, 2022 20:41 UTC Exercise / conversionCommon Stock 11,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000021 · wf-form4_164729029489063.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 887,708

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

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

Read SEC document
March 11, 2022 Filed Mar 14, 2022 20:36 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 139,387 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000020 · wf-form4_164728997772803.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,386

Underlying: Common Stock · 139,387 shares

Expires not disclosed

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

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

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

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

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 418,160 restricted stock units is as follows: 139,387 shares vested on March 11, 2021; 139,387 shares vested 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, 2022 Filed Mar 14, 2022 20:36 UTC
Kim Jong JosephDirector · Chief Executive Officer
Tax withholdingCommon Stock 39,698 $3.22 $127,827.56
Disclosure

SEC source: 0001055726-22-000020 · wf-form4_164728997772803.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,422,627

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

Read SEC document
March 11, 2022 Filed Mar 14, 2022 20:36 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 139,387 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000020 · wf-form4_164728997772803.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,462,325

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 418,160 restricted stock units is as follows: 139,387 shares vested on March 11, 2021; 139,387 shares vested 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, 2022 Filed Mar 14, 2022 20:29 UTC Exercise / conversionRestricted Stock Unit · Derivative 59,737 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000019 · wf-form4_164728968540484.xml · derivative · entry 4

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,737

Underlying: Common Stock · 59,737 shares

Expires not disclosed

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

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

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

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

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares vested 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, 2022 Filed Mar 14, 2022 20:29 UTC Tax withholdingCommon Stock 31,410 $3.22 $101,140.20
Disclosure

SEC source: 0001055726-22-000019 · wf-form4_164728968540484.xml · nonDerivative · entry 2

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,284

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

Read SEC document
March 11, 2022 Filed Mar 14, 2022 20:29 UTC Exercise / conversionCommon Stock 59,737 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000019 · wf-form4_164728968540484.xml · nonDerivative · entry 1

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,694

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 179,211 restricted stock units is as follows: 59,737 shares vested on March 11, 2021; 59,737 shares vested 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 09, 2022 Filed Mar 9, 2022 21:05 UTC SaleCommon Stock 4,083 $3.33 $13,596.39
Disclosure

SEC source: 0001055726-22-000014 · wf-form4_164685990756495.xml · nonDerivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 876,041

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 08, 2022 Filed Mar 9, 2022 21:07 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 63,700 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000016 · wf-form4_164686005009477.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 · 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.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares vested on March 8, 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 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares vested on March 8, 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 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares vested on March 8, 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 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares vested 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, 2022 Filed Mar 9, 2022 21:07 UTC
Kim Jong JosephDirector · Chief Executive Officer
Tax withholdingCommon Stock 18,142 $3.26 $59,142.92
Disclosure

SEC source: 0001055726-22-000016 · wf-form4_164686005009477.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,322,938

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 08, 2022 Filed Mar 9, 2022 21:07 UTC
Kim Jong JosephDirector · Chief Executive Officer
Exercise / conversionCommon Stock 63,700 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000016 · wf-form4_164686005009477.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,341,080

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 191,100 restricted stock units is as follows: 63,700 shares vested on March 8, 2020; 63,700 shares vested on March 8, 2021; 63,700 shares vested 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, 2022 Filed Mar 9, 2022 21:08 UTC Exercise / conversionRestricted Stock Unit · Derivative 21,466 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000017 · wf-form4_164686011126212.xml · derivative · entry 4

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,466 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 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 vested on March 8, 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 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 vested on March 8, 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 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 vested on March 8, 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 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 vested 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, 2022 Filed Mar 9, 2022 21:08 UTC Tax withholdingCommon Stock 11,287 $3.26 $36,795.62
Disclosure

SEC source: 0001055726-22-000017 · wf-form4_164686011126212.xml · nonDerivative · entry 2

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,957

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 08, 2022 Filed Mar 9, 2022 21:08 UTC Exercise / conversionCommon Stock 21,466 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000017 · wf-form4_164686011126212.xml · nonDerivative · entry 1

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,244

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 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 vested 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, 2022 Filed Mar 9, 2022 21:06 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionRestricted Stock Unit · Derivative 19,900 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000015 · wf-form4_164685997301367.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 · 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.

F1 · 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 vested on March 8, 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 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 vested on March 8, 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 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 vested on March 8, 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 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 vested 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, 2022 Filed Mar 9, 2022 21:06 UTC
Humeau LaurentChief Scientific Officer
Tax withholdingCommon Stock 6,882 $3.26 $22,435.32
Disclosure

SEC source: 0001055726-22-000015 · wf-form4_164685997301367.xml · nonDerivative · entry 2

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,605

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 08, 2022 Filed Mar 9, 2022 21:06 UTC
Humeau LaurentChief Scientific Officer
Exercise / conversionCommon Stock 19,900 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000015 · wf-form4_164685997301367.xml · nonDerivative · entry 1

Humeau Laurent · CIK 0001770390 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,487

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 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 vested 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, 2022 Filed Mar 9, 2022 21:05 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,666 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000014 · wf-form4_164685990756495.xml · derivative · entry 3

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 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares vested on March 8, 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 35,000 restricted stock units is as follows: 11,667 shares vested on March 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares vested on March 8, 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 35,000 restricted stock units is as follows: 11,667 shares vested on March 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares vested on March 8, 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 35,000 restricted stock units is as follows: 11,667 shares vested on March 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares vested 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, 2022 Filed Mar 9, 2022 21:05 UTC Exercise / conversionCommon Stock 11,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000014 · wf-form4_164685990756495.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 880,124

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 8, 2020; 11,667 shares vested on March 8, 2021; 11,666 shares vested 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
February 26, 2022 Filed Mar 1, 2022 23:51 UTC GrantRestricted Stock Unit · Derivative 35,000 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000013 · wf-form4_164617866156651.xml · derivative · entry 4

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 February 26, 2023; 11,667 shares will vest on February 26, 2024; 11,666 shares will vest on February 26, 2025. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F3 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares will vest on February 26, 2023; 11,667 shares will vest on February 26, 2024; 11,666 shares will vest on February 26, 2025. 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 February 26, 2023; 11,667 shares will vest on February 26, 2024; 11,666 shares will vest on February 26, 2025. 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 February 26, 2023; 11,667 shares will vest on February 26, 2024; 11,666 shares will vest on February 26, 2025. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

Read SEC document
February 26, 2022 Filed Mar 1, 2022 23:51 UTC GrantCommon Stock Option · Derivative 60,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0001055726-22-000013 · wf-form4_164617866156651.xml · derivative · entry 3

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 2032-02-26

F2 · derivative.exercise_date: The vesting schedule for the 60,000 options is as follows: 15,000 shares vested on February 26, 2022; 15,000 shares will vest on February 26, 2023; 15,000 shares will vest on February 26, 2024; 15,000 shares will vest on February 26, 2025.

Read SEC document
February 26, 2022 Filed Mar 1, 2022 23:51 UTC Exercise / conversionRestricted Stock Unit · Derivative 11,667 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000013 · wf-form4_164617866156651.xml · derivative · entry 2

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,333

Underlying: Common Stock · 11,667 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 35,000 restricted stock units is as follows: 11,667 shares vested on 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.

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 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.

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 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.

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 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.

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February 26, 2022 Filed Mar 1, 2022 23:51 UTC Exercise / conversionCommon Stock 11,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001055726-22-000013 · wf-form4_164617866156651.xml · nonDerivative · entry 1

Weiner David B. · CIK 0001669080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 868,458

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 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.

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February 26, 2022 Filed Mar 1, 2022 23:49 UTC GrantRestricted Stock Unit · Derivative 143,900 $0.00 $0.00
Disclosure

SEC source: 0001055726-22-000012 · wf-form4_164617858308647.xml · derivative · entry 6

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,900

Underlying: Common Stock · 143,900 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 143,900 restricted stock units is as follows: 47,967 shares will vest on February 26, 2023; 47,967 shares will vest on February 26, 2024; 47,966 shares will vest on February 26, 2025. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F4 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 143,900 restricted stock units is as follows: 47,967 shares will vest on February 26, 2023; 47,967 shares will vest on February 26, 2024; 47,966 shares will vest on February 26, 2025. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F4 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 143,900 restricted stock units is as follows: 47,967 shares will vest on February 26, 2023; 47,967 shares will vest on February 26, 2024; 47,966 shares will vest on February 26, 2025. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

F4 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 143,900 restricted stock units is as follows: 47,967 shares will vest on February 26, 2023; 47,967 shares will vest on February 26, 2024; 47,966 shares will vest on February 26, 2025. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both.

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February 26, 2022 Filed Mar 1, 2022 23:49 UTC GrantCommon Stock Option · Derivative 192,800 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0001055726-22-000012 · wf-form4_164617858308647.xml · derivative · entry 5

KIES PETER · CIK 0001259780 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,800

Underlying: Common Stock · 192,800 shares

Expires 2032-02-26

F3 · derivative.exercise_date: The vesting schedule for the 192,800 options is as follows: 48,200 shares vested on February 26, 2022; 48,200 shares will vest on February 26, 2023; 48,200 shares will vest on February 26, 2024; 48,200 shares will vest on February 26, 2025.

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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.