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Nasdaq · USD

IOVA

IOVANCE BIOTHERAPEUTICS, INC.

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Tapewire entity
2090
SEC CIK
0001425205
Parsed reports
251

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
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 16, 2024 Filed Dec 18, 2024 22:15 UTC
Puri Raj K.Chief Regulatory Officer
Exercise / conversionRestricted Stock Units · Derivative 8,334 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-129814 · tm2431375-1_4seq1.xml · derivative · entry 3

Puri Raj K. · CIK 0002046483 · Chief Regulatory Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,334

Underlying: Common stock · 8,334 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 14, 2022, but does not include any other RSUs held by such Reporting Person.

Read SEC document
December 16, 2024 Filed Dec 18, 2024 22:15 UTC
Puri Raj K.Chief Regulatory Officer
Tax withholdingCommon Stock 3,759 $7.84 $29,470.56
Disclosure

SEC source: 0001104659-24-129814 · tm2431375-1_4seq1.xml · nonDerivative · entry 2

Puri Raj K. · CIK 0002046483 · Chief Regulatory Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 155,412

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents the common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
December 16, 2024 Filed Dec 18, 2024 22:15 UTC
Puri Raj K.Chief Regulatory Officer
Exercise / conversionCommon Stock 8,334 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-129814 · tm2431375-1_4seq1.xml · nonDerivative · entry 1

Puri Raj K. · CIK 0002046483 · Chief Regulatory Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,171

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:30 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionRestricted Stock Units · Derivative 3,906 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-125542 · tm2430163-1_4seq1.xml · derivative · entry 3

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,533

Underlying: Common stock · 3,906 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 2, 2023, but does not include any other RSUs held by such Reporting Person.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:30 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Tax withholdingCommon Stock 1,982 $9.07 $17,976.74
Disclosure

SEC source: 0001104659-24-125542 · tm2430163-1_4seq1.xml · nonDerivative · entry 2

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,651

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents the common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:30 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionCommon Stock 3,906 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-125542 · tm2430163-1_4seq1.xml · nonDerivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,633

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:31 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 10,417 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-125547 · tm2430163-3_4seq1.xml · derivative · entry 3

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,087

Underlying: Common stock · 10,417 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 2, 2023, but does not include any other RSUs held by such Reporting Person.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:31 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Tax withholdingCommon Stock 4,426 $9.07 $40,143.82
Disclosure

SEC source: 0001104659-24-125547 · tm2430163-3_4seq1.xml · nonDerivative · entry 2

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,236

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:31 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Exercise / conversionCommon Stock 10,417 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-125547 · tm2430163-3_4seq1.xml · nonDerivative · entry 1

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 214,662

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:30 UTC
BILINSKY IGORChief Operating Officer
Exercise / conversionRestricted Stock Units · Derivative 3,516 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-125544 · tm2430163-2_4seq1.xml · derivative · entry 3

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,581

Underlying: Common stock · 3,516 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 2, 2023, but does not include any other RSUs held by such Reporting Person.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:30 UTC
BILINSKY IGORChief Operating Officer
Tax withholdingCommon Stock 1,784 $9.07 $16,180.88
Disclosure

SEC source: 0001104659-24-125544 · tm2430163-2_4seq1.xml · nonDerivative · entry 2

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,539

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:30 UTC
BILINSKY IGORChief Operating Officer
Exercise / conversionCommon Stock 3,516 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-125544 · tm2430163-2_4seq1.xml · nonDerivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,323

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 22:00 UTC Exercise / conversionStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $7.45 $0.00
Disclosure

SEC source: 0001104659-24-119195 · tm2428483-1_4seq1.xml · derivative · entry 3

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2025-02-15

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

F4 · derivative.exercise_date: These options became exercisable in four equal quarterly installments of 12,500 each following the date of grant, which was February 16, 2015.

F5 · balance_after: Such aggregate number reflects the remainder of such stock options granted on February 16, 2015, but does not include any other stock options held by such Reporting Person.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 22:00 UTC SaleCommon Stock 50,000 $10.06 $503,000.00
Disclosure

SEC source: 0001104659-24-119195 · tm2428483-1_4seq1.xml · nonDerivative · entry 2

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,500

F2 · kind: Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

F3 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $10.05 and $10.105.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 22:00 UTC Exercise / conversionCommon Stock 50,000 $7.45 $372,500.00
Disclosure

SEC source: 0001104659-24-119195 · tm2428483-1_4seq1.xml · nonDerivative · entry 1

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,500

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 · kind: Represents an exercise of stock options prior to the 10-year expiration date of such options.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:32 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionRestricted Stock Units · Derivative 2,813 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-109277 · tm2426276-2_4seq1.xml · derivative · entry 3

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,813

Underlying: Common stock · 2,813 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on January 14, 2022, but does not include any other RSUs held by such Reporting Person.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:32 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Tax withholdingCommon Stock 1,428 $9.77 $13,951.56
Disclosure

SEC source: 0001104659-24-109277 · tm2426276-2_4seq1.xml · nonDerivative · entry 2

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,727

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents the common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:32 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionCommon Stock 2,813 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-109277 · tm2426276-2_4seq1.xml · nonDerivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,155

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:33 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 20,834 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-109279 · tm2426276-3_4seq1.xml · derivative · entry 3

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,835

Underlying: Common stock · 20,834 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on January 14, 2022, but does not include any other RSUs held by such Reporting Person.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:33 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Tax withholdingCommon Stock 8,851 $9.77 $86,474.27
Disclosure

SEC source: 0001104659-24-109279 · tm2426276-3_4seq1.xml · nonDerivative · entry 2

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 204,245

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:33 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Exercise / conversionCommon Stock 20,834 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-109279 · tm2426276-3_4seq1.xml · nonDerivative · entry 1

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,096

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:30 UTC
BILINSKY IGORChief Operating Officer
Exercise / conversionRestricted Stock Units · Derivative 2,813 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-109272 · tm2426276-1_4seq1.xml · derivative · entry 3

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,813

Underlying: Common stock · 2,813 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on January 14, 2022, but does not include any other RSUs held by such Reporting Person.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:30 UTC
BILINSKY IGORChief Operating Officer
Tax withholdingCommon Stock 1,428 $9.77 $13,951.56
Disclosure

SEC source: 0001104659-24-109272 · tm2426276-1_4seq1.xml · nonDerivative · entry 2

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,807

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
October 14, 2024 Filed Oct 16, 2024 22:30 UTC
BILINSKY IGORChief Operating Officer
Exercise / conversionCommon Stock 2,813 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-109272 · tm2426276-1_4seq1.xml · nonDerivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,235

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:54 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionRestricted Stock Units · Derivative 23,438 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097490 · tm2423453-3_4seq1.xml · derivative · entry 6

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,437

Underlying: Common Stock · 23,438 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_date: The remaining RSUs will vest on the one-year anniversary of the initial grant date, as provided in footnote 8.

F7 · derivative.expiration_date: The remaining RSUs will vest on the one-year anniversary of the initial grant date, as provided in footnote 8.

F8 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 1, 2024, but does not include any other RSUs held by such Reporting Person.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:54 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionRestricted Stock Units · Derivative 3,907 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097490 · tm2423453-3_4seq1.xml · derivative · entry 5

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,439

Underlying: Common stock · 3,906 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 2, 2023, but does not include any other RSUs held by such Reporting Person.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:54 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Tax withholdingCommon Stock 11,891 $10.85 $129,017.35
Disclosure

SEC source: 0001104659-24-097490 · tm2423453-3_4seq1.xml · nonDerivative · entry 4

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,342

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:54 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionCommon Stock 23,438 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097490 · tm2423453-3_4seq1.xml · nonDerivative · entry 3

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,233

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:54 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Tax withholdingCommon Stock 1,983 $10.85 $21,515.55
Disclosure

SEC source: 0001104659-24-097490 · tm2423453-3_4seq1.xml · nonDerivative · entry 2

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,795

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:54 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionCommon Stock 3,907 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097490 · tm2423453-3_4seq1.xml · nonDerivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,778

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:56 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 46,875 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097491 · tm2423453-4_4seq1.xml · derivative · entry 6

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,875

Underlying: Common Stock · 46,875 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_date: The remaining RSUs will vest on the one-year anniversary of the initial grant date, as provided in footnote 8.

F7 · derivative.expiration_date: The remaining RSUs will vest on the one-year anniversary of the initial grant date, as provided in footnote 8.

F8 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 1, 2024, but does not include any other RSUs held by such Reporting Person.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:56 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 10,417 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097491 · tm2423453-4_4seq1.xml · derivative · entry 5

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,504

Underlying: Common stock · 10,417 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 2, 2023, but does not include any other RSUs held by such Reporting Person.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:56 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Tax withholdingCommon Stock 19,913 $10.85 $216,056.05
Disclosure

SEC source: 0001104659-24-097491 · tm2423453-4_4seq1.xml · nonDerivative · entry 4

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,262

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:56 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Exercise / conversionCommon Stock 46,875 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097491 · tm2423453-4_4seq1.xml · nonDerivative · entry 3

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,175

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:56 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Tax withholdingCommon Stock 4,426 $10.85 $48,022.10
Disclosure

SEC source: 0001104659-24-097491 · tm2423453-4_4seq1.xml · nonDerivative · entry 2

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,300

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:56 UTC
Vogt Frederick GDirector · Interim CEO & General Counsel
Exercise / conversionCommon Stock 10,417 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097491 · tm2423453-4_4seq1.xml · nonDerivative · entry 1

Vogt Frederick G · CIK 0001719678 · Director · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,726

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:53 UTC
BILINSKY IGORChief Operating Officer
Exercise / conversionRestricted Stock Units · Derivative 23,438 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097488 · tm2423453-2_4seq1.xml · derivative · entry 6

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,437

Underlying: Common Stock · 23,438 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F7 · derivative.exercise_date: The remaining RSUs will vest on the one-year anniversary of the initial grant date, as provided in footnote 8.

F7 · derivative.expiration_date: The remaining RSUs will vest on the one-year anniversary of the initial grant date, as provided in footnote 8.

F8 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 1, 2024, but does not include any other RSUs held by such Reporting Person.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:53 UTC
BILINSKY IGORChief Operating Officer
Exercise / conversionRestricted Stock Units · Derivative 3,516 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097488 · tm2423453-2_4seq1.xml · derivative · entry 5

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,097

Underlying: Common stock · 3,516 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 2, 2023, but does not include any other RSUs held by such Reporting Person.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:53 UTC
BILINSKY IGORChief Operating Officer
Tax withholdingCommon Stock 11,891 $10.85 $129,017.35
Disclosure

SEC source: 0001104659-24-097488 · tm2423453-2_4seq1.xml · nonDerivative · entry 4

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,422

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:53 UTC
BILINSKY IGORChief Operating Officer
Exercise / conversionCommon Stock 23,438 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097488 · tm2423453-2_4seq1.xml · nonDerivative · entry 3

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,313

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:53 UTC
BILINSKY IGORChief Operating Officer
Tax withholdingCommon Stock 1,784 $10.85 $19,356.40
Disclosure

SEC source: 0001104659-24-097488 · tm2423453-2_4seq1.xml · nonDerivative · entry 2

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,875

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:53 UTC
BILINSKY IGORChief Operating Officer
Exercise / conversionCommon Stock 3,516 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097488 · tm2423453-2_4seq1.xml · nonDerivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,659

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:52 UTC
Bellemin Jean-MarcChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 23,438 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097487 · tm2423453-1_4seq1.xml · derivative · entry 3

Bellemin Jean-Marc · CIK 0001754253 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,437

Underlying: Common Stock · 23,438 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.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: The remaining RSUs will vest on the one-year anniversary of the initial grant date, as provided in footnote 7.

F6 · derivative.expiration_date: The remaining RSUs will vest on the one-year anniversary of the initial grant date, as provided in footnote 7.

F7 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on March 1, 2024, but does not include any other RSUs held by such Reporting Person.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:52 UTC
Bellemin Jean-MarcChief Financial Officer
Tax withholdingCommon Stock 11,891 $10.85 $129,017.35
Disclosure

SEC source: 0001104659-24-097487 · tm2423453-1_4seq1.xml · nonDerivative · entry 2

Bellemin Jean-Marc · CIK 0001754253 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,348

F3 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F4 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
September 03, 2024 Filed Sep 5, 2024 23:52 UTC
Bellemin Jean-MarcChief Financial Officer
Exercise / conversionCommon Stock 23,438 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-097487 · tm2423453-1_4seq1.xml · nonDerivative · entry 1

Bellemin Jean-Marc · CIK 0001754253 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,239

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

F2 · balance_after: Represents common stock owned by the Reporting Person, excluding common stock purchased pursuant to the Issuer's 2020 Employee Stock Purchase Plan.

Read SEC document
July 15, 2024 Filed Jul 18, 2024 00:01 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionRestricted Stock Units · Derivative 2,813 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-080617 · tm2419709-2_4seq1.xml · derivative · entry 3

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,626

Underlying: Common stock · 2,813 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on January 14, 2022, but does not include any other RSUs held by such Reporting Person.

Read SEC document
July 15, 2024 Filed Jul 18, 2024 00:01 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Tax withholdingCommon Stock 1,428 $8.68 $12,395.04
Disclosure

SEC source: 0001104659-24-080617 · tm2419709-2_4seq1.xml · nonDerivative · entry 2

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,871

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents the common stock remaining after deducting the common stock withheld for taxes.

Read SEC document
July 15, 2024 Filed Jul 18, 2024 00:01 UTC
GRAF FINCKENSTEIN FRIEDRICHChief Medical Officer
Exercise / conversionCommon Stock 2,813 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-080617 · tm2419709-2_4seq1.xml · nonDerivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,299

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 · security: Represents such shares underlying the restricted stock units ("RSUs") which vested on the transaction date.

Read SEC document
July 15, 2024 Filed Jul 18, 2024 00:01 UTC
Vogt Frederick GInterim CEO & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 20,835 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-080619 · tm2419709-3_4seq1.xml · derivative · entry 3

Vogt Frederick G · CIK 0001719678 · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,669

Underlying: Common stock · 20,835 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The remaining RSUs will vest in equal quarterly installments.

F5 · derivative.expiration_date: The remaining RSUs will vest in equal quarterly installments.

F6 · balance_after: Such aggregate number reflects the remainder of such RSUs granted on January 14, 2022, but does not include any other RSUs held by such Reporting Person.

Read SEC document
July 15, 2024 Filed Jul 18, 2024 00:01 UTC
Vogt Frederick GInterim CEO & General Counsel
Tax withholdingCommon Stock 8,851 $8.68 $76,826.68
Disclosure

SEC source: 0001104659-24-080619 · tm2419709-3_4seq1.xml · nonDerivative · entry 2

Vogt Frederick G · CIK 0001719678 · Interim CEO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,309

F2 · security: Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of the RSUs. This is not an open market sale of securities.

F3 · balance_after: Represents common stock remaining after deducting the common stock withheld for taxes.

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.