Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 03, 2020 Filed Mar 3, 2020 23:35 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 5,501 | $4.13 | $22,694.38 |
DisclosureSEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 4 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,114,989 F3 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.085 to $4.15 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 23:35 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 6,688 | $4.46 | $29,819.79 |
DisclosureSEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 3 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,109,488 F2 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.39 to $4.49 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form. Read SEC document |
| March 02, 2020 Filed Mar 3, 2020 23:35 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 13,212 | $4.48 | $59,239.97 |
DisclosureSEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 2 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,102,800 F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.45 to $4.49 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form. Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 02:10 UTC |
HUMPHREYS STEVENDirector · CEO
|
Tax withholdingCommon Stock | 1,885 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-006861 · doc4.xml · nonDerivative · entry 2 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,165 Read SEC document |
| February 28, 2020 Filed Mar 4, 2020 02:10 UTC |
HUMPHREYS STEVENDirector · CEO
|
GrantCommon Stock | 4,609 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-006861 · doc4.xml · nonDerivative · entry 1 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,050 F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan in lieu of salary. The award is fully vested on the date of grant. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 23:35 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 100 | $4.48 | $448.00 |
DisclosureSEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 1 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,089,588 F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form. Read SEC document |
| February 24, 2020 Filed Feb 25, 2020 00:00 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 16,213 | $4.79 | $77,579.21 |
DisclosureSEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 3 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,089,488 F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form. Read SEC document |
| February 21, 2020 Filed Feb 25, 2020 00:00 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 1,100 | $4.99 | $5,487.46 |
DisclosureSEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 2 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,073,275 F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 00:00 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 5,836 | $4.95 | $28,875.94 |
DisclosureSEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 1 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,072,175 F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form. Read SEC document |
| February 14, 2020 Filed Feb 18, 2020 23:21 UTC | Tax withholdingCommon Stock | 2,300 | $5.11 | $11,753.00 |
DisclosureSEC source: 0000899243-20-004947 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,557 F1 · balance_after: Includes an aggregate of 68,438 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| February 05, 2020 Filed Feb 5, 2020 22:04 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 10,113 | $4.90 | $49,553.70 |
DisclosureSEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 5 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,066,339 F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. Read SEC document |
| February 05, 2020 Filed Feb 8, 2020 01:52 UTC Amendment |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 10,113 | $4.90 | $49,553.70 |
DisclosureSEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 5 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,066,339 F7 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.825 to $4.95 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares. F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities. Read SEC document |
| February 04, 2020 Filed Feb 5, 2020 22:04 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 8,222 | $4.83 | $39,712.26 |
DisclosureSEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 4 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,056,226 F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. Read SEC document |
| February 04, 2020 Filed Feb 5, 2020 22:04 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 13,111 | $4.99 | $65,423.89 |
DisclosureSEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 3 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,048,004 F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. Read SEC document |
| February 04, 2020 Filed Feb 8, 2020 01:52 UTC Amendment |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 8,222 | $4.83 | $39,712.26 |
DisclosureSEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 4 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,056,226 F6 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.805 to $4.88 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares. F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities. Read SEC document |
| February 04, 2020 Filed Feb 8, 2020 01:52 UTC Amendment |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 13,111 | $4.99 | $65,423.89 |
DisclosureSEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 3 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,048,004 F5 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.90 to $5.05 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares. F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 22:04 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 110,000 | $4.87 | $535,700.00 |
DisclosureSEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 2 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,034,893 F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 22:04 UTC |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 36,889 | $4.99 | $184,076.11 |
DisclosureSEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 1 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,924,893 F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares. Read SEC document |
| February 03, 2020 Filed Feb 8, 2020 01:52 UTC Amendment |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 110,000 | $4.87 | $535,700.00 |
DisclosureSEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 2 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,034,893 F4 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.795 to $5.10 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares. F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities. Read SEC document |
| February 03, 2020 Filed Feb 8, 2020 01:52 UTC Amendment |
Bleichroeder LP10% owner
|
PurchaseCommon Stock | 36,889 | $4.99 | $184,076.11 |
DisclosureSEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 1 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,924,893 F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.95 to $5.00 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares. F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities. Read SEC document |
| January 31, 2020 Filed Feb 5, 2020 00:24 UTC | Tax withholdingCommon Stock | 128 | $4.74 | $606.72 |
DisclosureSEC source: 0000899243-20-002889 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,857 F1 · balance_after: Includes an aggregate of 74,063 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| December 31, 2019 Filed Jan 4, 2020 02:02 UTC | Tax withholdingCommon Stock | 1,022 | $5.64 | $5,764.08 |
DisclosureSEC source: 0000899243-20-000409 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,985 F1 · balance_after: Includes an aggregate of 74,375 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| November 29, 2019 Filed Dec 3, 2019 23:26 UTC |
HUMPHREYS STEVENDirector · CEO
|
Tax withholdingCommon Stock | 883 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-028406 · doc4.xml · nonDerivative · entry 2 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,441 Read SEC document |
| November 29, 2019 Filed Dec 3, 2019 23:26 UTC |
HUMPHREYS STEVENDirector · CEO
|
GrantCommon Stock | 2,556 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-028406 · doc4.xml · nonDerivative · entry 1 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,324 F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 100% on date of grant. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 18:12 UTC | Tax withholdingCommon Stock | 1,945 | $5.07 | $9,861.15 |
DisclosureSEC source: 0000899243-19-027482 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,007 F1 · balance_after: Includes an aggregate of 76,875 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| November 04, 2019 Filed Nov 13, 2019 18:28 UTC | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-027174 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,952 F1 · shares: Shares issuable upon settlement of a restricted stock unit award that vests as to 25% of the underlying shares on November 1, 2020 with additional vesting in equal quarterly installments over the following three years. F2 · balance_after: Includes an aggregate of 62,500 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| November 01, 2019 Filed Nov 4, 2019 22:37 UTC | Tax withholdingCommon Stock | 432 | $4.95 | $2,138.40 |
DisclosureSEC source: 0000899243-19-026586 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,952 F1 · balance_after: Includes an aggregate of 62,500 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| October 01, 2019 Filed Oct 2, 2019 17:28 UTC | Tax withholdingCommon Stock | 864 | $5.32 | $4,596.48 |
DisclosureSEC source: 0000899243-19-024628 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,384 F1 · balance_after: Includes an aggregate of 63,750 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| September 09, 2019 Filed Sep 11, 2019 18:37 UTC |
HUMPHREYS STEVENDirector · CEO
|
Tax withholdingCommon Stock | 6,541 | $4.80 | $31,396.80 |
DisclosureSEC source: 0000899243-19-023309 · doc4.xml · nonDerivative · entry 1 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,768 Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 21:51 UTC |
First Eagle Holdings, Inc.10% owner
|
OtherSeries B Non-Voting Convertible Preferred Stock, $0.001 par · Derivative | 2,000,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017897 · doc1.xml · derivative · entry 3 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,000,000 shares Expires not disclosed F4 · derivative.exercise_price: See Exhibit 99.1; Note 4. F2 · kind: See Exhibit 99.1; Note 2. F2 · shares: See Exhibit 99.1; Note 2. F4 · derivative.exercise_date: See Exhibit 99.1; Note 4. F4 · derivative.expiration_date: See Exhibit 99.1; Note 4. F4 · derivative.underlying_shares: See Exhibit 99.1; Note 4. F2 · balance_after: See Exhibit 99.1; Note 2. F5 · ownership.nature: See Exhibit 99.1; Note 5. Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 21:51 UTC |
First Eagle Holdings, Inc.10% owner
|
OtherSeries B Non-Voting Convertible Preferred Stock, $0.001 par · Derivative | 3,000,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017897 · doc1.xml · derivative · entry 2 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,000,000 shares Expires not disclosed F1 · security: See Exhibit 99.1; Note 1. F4 · derivative.exercise_price: See Exhibit 99.1; Note 4. F2 · kind: See Exhibit 99.1; Note 2. F2 · shares: See Exhibit 99.1; Note 2. F4 · derivative.exercise_date: See Exhibit 99.1; Note 4. F4 · derivative.expiration_date: See Exhibit 99.1; Note 4. F4 · derivative.underlying_shares: See Exhibit 99.1; Note 4. F2 · balance_after: See Exhibit 99.1; Note 2. Read SEC document |
| September 01, 2019 Filed Sep 4, 2019 21:51 UTC |
First Eagle Holdings, Inc.10% owner
|
OtherCommon Stock | 1,853,004 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-017897 · doc1.xml · nonDerivative · entry 1 First Eagle Investment Management, LLC · CIK 0001325447 · 10% owner First Eagle Holdings, Inc. · CIK 0001637141 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · security: See Exhibit 99.1; Note 1. F2 · kind: See Exhibit 99.1; Note 2. F2 · shares: See Exhibit 99.1; Note 2. F2 · balance_after: See Exhibit 99.1; Note 2. F3 · ownership.nature: See Exhibit 99.1; Note 3. Read SEC document |
| August 15, 2019 Filed Aug 19, 2019 21:29 UTC | Tax withholdingCommon Stock | 1,945 | $5.00 | $9,725.00 |
DisclosureSEC source: 0000899243-19-022060 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,248 F1 · balance_after: Includes an aggregate of 66,250 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| August 05, 2019 Filed Aug 8, 2019 01:16 UTC |
Braun Robin R.Director
|
GrantCommon Stock | 13,220 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-021313 · doc4.xml · nonDerivative · entry 1 Braun Robin R. · CIK 0001778883 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,220 F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2019. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service. Read SEC document |
| August 05, 2019 Filed Aug 8, 2019 01:17 UTC |
Shapiro Nina B.Director
|
GrantCommon Stock | 13,709 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-021314 · doc4.xml · nonDerivative · entry 1 Shapiro Nina B. · CIK 0001678757 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,877 F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2019. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service. Read SEC document |
| August 05, 2019 Filed Aug 8, 2019 01:16 UTC |
OUSLEY JAMES EDirector
|
GrantCommon Stock | 19,585 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-021312 · doc4.xml · nonDerivative · entry 1 OUSLEY JAMES E · CIK 0001200933 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,325 F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2019. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service. Read SEC document |
| August 05, 2019 Filed Aug 8, 2019 01:16 UTC |
KREMEN GARYDirector
|
GrantCommon Stock | 15,668 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-021311 · doc4.xml · nonDerivative · entry 1 KREMEN GARY · CIK 0001600778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,501 F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2019. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 22:50 UTC | Tax withholdingCommon Stock | 864 | $5.32 | $4,596.48 |
DisclosureSEC source: 0000899243-19-018697 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,193 F1 · balance_after: Includes an aggregate of 71,875 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| June 14, 2019 Filed Jun 17, 2019 21:40 UTC |
HUMPHREYS STEVENDirector · CEO
|
PurchaseCommon Stock | 2,000 | $5.09 | $10,180.00 |
DisclosureSEC source: 0000899243-19-017216 · doc4.xml · nonDerivative · entry 3 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,309 F1 · balance_after: Includes an aggregrate of 18,916 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
| June 14, 2019 Filed Jun 17, 2019 21:40 UTC |
HUMPHREYS STEVENDirector · CEO
|
PurchaseCommon Stock | 2,000 | $4.98 | $9,960.00 |
DisclosureSEC source: 0000899243-19-017216 · doc4.xml · nonDerivative · entry 2 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,309 F1 · balance_after: Includes an aggregrate of 18,916 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
| June 14, 2019 Filed Jun 17, 2019 21:40 UTC |
HUMPHREYS STEVENDirector · CEO
|
PurchaseCommon Stock | 6,000 | $4.92 | $29,520.00 |
DisclosureSEC source: 0000899243-19-017216 · doc4.xml · nonDerivative · entry 1 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,309 F1 · balance_after: Includes an aggregrate of 18,916 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
| June 12, 2019 Filed Jun 13, 2019 22:20 UTC |
KREMEN GARYDirector
|
PurchaseCommon Stock | 20,000 | $4.99 | $99,800.00 |
DisclosureSEC source: 0000899243-19-016876 · doc4.xml · nonDerivative · entry 1 KREMEN GARY · CIK 0001600778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,833 Read SEC document |
| June 11, 2019 Filed Jun 12, 2019 23:48 UTC |
KREMEN GARYDirector
|
PurchaseCommon Stock | 529 | $4.90 | $2,592.10 |
DisclosureSEC source: 0000899243-19-016687 · doc4.xml · nonDerivative · entry 3 KREMEN GARY · CIK 0001600778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,833 Read SEC document |
| June 11, 2019 Filed Jun 12, 2019 23:48 UTC |
KREMEN GARYDirector
|
PurchaseCommon Stock | 440 | $4.89 | $2,151.60 |
DisclosureSEC source: 0000899243-19-016687 · doc4.xml · nonDerivative · entry 2 KREMEN GARY · CIK 0001600778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,304 Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 23:48 UTC |
KREMEN GARYDirector
|
PurchaseCommon Stock | 3,197 | $4.80 | $15,345.60 |
DisclosureSEC source: 0000899243-19-016687 · doc4.xml · nonDerivative · entry 1 KREMEN GARY · CIK 0001600778 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,864 Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 22:27 UTC |
HUMPHREYS STEVENDirector · CEO
|
Tax withholdingCommon Stock | 6,541 | $4.85 | $31,723.85 |
DisclosureSEC source: 0000899243-19-016469 · doc4.xml · nonDerivative · entry 1 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,309 F1 · balance_after: Includes an aggregrate of 18,916 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
| May 15, 2019 Filed May 16, 2019 23:45 UTC | Tax withholdingCommon Stock | 1,917 | $5.03 | $9,642.51 |
DisclosureSEC source: 0000899243-19-013892 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,057 F1 · balance_after: Includes an aggregate of 74,375 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| April 01, 2019 Filed Apr 2, 2019 21:17 UTC | Tax withholdingCommon Stock | 3,796 | $4.89 | $18,562.44 |
DisclosureSEC source: 0000899243-19-009616 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,974 F1 · balance_after: Includes an aggregate of 80,000 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
|
| March 08, 2019 Filed Mar 13, 2019 00:37 UTC |
HUMPHREYS STEVENDirector · CEO
|
Tax withholdingCommon Stock | 7,369 | $5.38 | $39,645.22 |
DisclosureSEC source: 0000899243-19-007381 · doc4.xml · nonDerivative · entry 1 HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,850 F1 · balance_after: Includes an aggregrate of 37,832 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 21:25 UTC | Tax withholdingCommon Stock | 2,299 | $5.00 | $11,495.00 |
DisclosureSEC source: 0000899243-19-004055 · doc4.xml · nonDerivative · entry 1 Wallach Sandra · CIK 0001698362 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,770 F1 · balance_after: Includes an aggregate of 90,000 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.