Last 12 months
Inside the activity.
1 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 | 1 | 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 |
|---|---|---|---|---|---|---|
| November 01, 2018 Filed Feb 15, 2019 01:47 UTC |
KINGSLEY ALFRED DDirector
|
GiftCommon Shares, no par value | 20,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-010466 · doc5.xml · nonDerivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,451,555 F1 · date: During November 2018, Mr. Kingsley gifted a total of 20,000 common shares. F1 · price: During November 2018, Mr. Kingsley gifted a total of 20,000 common shares. F2 · balance_after: Does not include shares that Mr. Kingsley may acquire through the exercise of certain options. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 23:18 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 11,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-054606 · doc4.xml · derivative · entry 3 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,750 Underlying: Common Shares · 11,250 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_date: 25% of the RSUs granted on May 24, 2018 vested on October 4, 2018, then the remaining 75% of the RSUs shall vest based on the sole determination by the Board of Directors that BioTime has achieved certain milestones, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting. F4 · derivative.expiration_date: 25% of the RSUs granted on May 24, 2018 vested on October 4, 2018, then the remaining 75% of the RSUs shall vest based on the sole determination by the Board of Directors that BioTime has achieved certain milestones, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 23:18 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
Tax withholdingCommon Shares, no par value | 3,891 | $2.22 | $8,638.02 |
DisclosureSEC source: 0001209191-18-054606 · doc4.xml · nonDerivative · entry 2 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,359 F3 · shares: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 11,250 RSUs, the grant of which was previously reported on a Form 8-K. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 23:18 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
Exercise / conversionCommon Shares, no par value | 11,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-054606 · doc4.xml · nonDerivative · entry 1 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,250 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 · shares: Shares earned by the Reporting Person as a result of the vesting of Restrictive Stock Units ("RSUs") granted to the Reporting Person on May 24, 2018. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 22:19 UTC |
Patton Stephana EileneGeneral Counsel & Secretary
|
Exercise / conversionRestricted Stock Units · Derivative | 13,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-054593 · doc4.xml · derivative · entry 3 Patton Stephana Eilene · CIK 0001698237 · General Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,250 Underlying: Common Shares · 13,750 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_date: 25% of the RSUs granted on May 24, 2018 vested on October 4, 2018, then the remaining 75% of the RSUs shall vest based on the sole determination by the Board of Directors that BioTime has achieved certain milestones, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting. F4 · derivative.expiration_date: 25% of the RSUs granted on May 24, 2018 vested on October 4, 2018, then the remaining 75% of the RSUs shall vest based on the sole determination by the Board of Directors that BioTime has achieved certain milestones, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 22:19 UTC |
Patton Stephana EileneGeneral Counsel & Secretary
|
Tax withholdingCommon Shares, no par value | 4,755 | $2.22 | $10,556.10 |
DisclosureSEC source: 0001209191-18-054593 · doc4.xml · nonDerivative · entry 2 Patton Stephana Eilene · CIK 0001698237 · General Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,495 F3 · shares: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 13,750 RSUs, the grant of which was previously reported on a Form 8-K. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 22:19 UTC |
Patton Stephana EileneGeneral Counsel & Secretary
|
Exercise / conversionCommon Shares, no par value | 13,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-054593 · doc4.xml · nonDerivative · entry 1 Patton Stephana Eilene · CIK 0001698237 · General Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,250 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 · shares: Shares earned by the Reporting Person as a result of the vesting of Restrictive Stock Units ("RSUs") granted to the Reporting Person on May 24, 2018. F2 · balance_after: Does not include RSUs payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| September 17, 2018 Filed Sep 20, 2018 01:07 UTC |
Culley Brian MDirector · President and CEO
|
GrantRestricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-051722 · doc4.xml · derivative · entry 3 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Shares · 100,000 shares Expires not disclosed F3 · derivative.exercise_price: Grant of restricted stock units under the BioTime 2012 Equity Incentive Plan, as amended. Each restricted stock unit represents a contingent right to receive one Common Share. F5 · derivative.exercise_date: Subject to continuous service, the restricted stock units shall vest fully on January 1, 2019. F5 · derivative.expiration_date: Subject to continuous service, the restricted stock units shall vest fully on January 1, 2019. Read SEC document |
| September 17, 2018 Filed Sep 20, 2018 01:07 UTC |
Culley Brian MDirector · President and CEO
|
GrantRestricted Stock Units · Derivative | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-051722 · doc4.xml · derivative · entry 2 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Shares · 200,000 shares Expires not disclosed F3 · derivative.exercise_price: Grant of restricted stock units under the BioTime 2012 Equity Incentive Plan, as amended. Each restricted stock unit represents a contingent right to receive one Common Share. F4 · derivative.exercise_date: Subject to continuous service, one quarter of the restricted stock units shall vest on September 17, 2019 and the balance shall vest in twelve equal quarterly installments at the end of each quarter thereafter. F4 · derivative.expiration_date: Subject to continuous service, one quarter of the restricted stock units shall vest on September 17, 2019 and the balance shall vest in twelve equal quarterly installments at the end of each quarter thereafter. Read SEC document |
| September 17, 2018 Filed Sep 20, 2018 01:07 UTC |
Culley Brian MDirector · President and CEO
|
GrantNon-Qualified Option to Purchase Common Shares · Derivative | 1,500,000 | $0.00 Strike: $2.31 | $0.00 |
DisclosureSEC source: 0001209191-18-051722 · doc4.xml · derivative · entry 1 Culley Brian M · CIK 0001310683 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500,000 Underlying: Common Shares · 1,500,000 shares Expires 2028-09-16 F1 · security: Inducement option grant made outside the BioTime 2012 Equity incentive Plan, as amended, in reliance on the employment inducement exemption to shareholder approval provided under the New York Stock Exchange's Listed Company Manual Rule 303A.08. F2 · derivative.exercise_date: Subject to continuous service, one quarter of the options shall vest on September 17, 2019, and the balance of the options shall vest in 36 equal monthly installments at the end of each one-month period thereafter. Read SEC document |
| September 17, 2018 Filed Sep 20, 2018 01:38 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 10,938 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-051725 · doc4.xml · derivative · entry 3 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 10,938 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on September 17, 2018. F3 · derivative.expiration_date: Restricted Stock Units vested on September 17, 2018. Read SEC document |
| September 17, 2018 Filed Sep 20, 2018 01:38 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 3,783 | $2.31 | $8,738.73 |
DisclosureSEC source: 0001209191-18-051725 · doc4.xml · nonDerivative · entry 2 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 893,913 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 10,938 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| September 17, 2018 Filed Sep 20, 2018 01:38 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-051725 · doc4.xml · nonDerivative · entry 1 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 897,696 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 · balance_after: Does not include shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| September 11, 2018 Filed Sep 13, 2018 20:17 UTC |
ANDREWS DEBORAH JDirector
|
PurchaseCommon Shares, no par value | 1,604 | $2.35 | $3,769.40 |
DisclosureSEC source: 0001209191-18-050839 · doc4.xml · nonDerivative · entry 1 ANDREWS DEBORAH J · CIK 0001325697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:50 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,562 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-042495 · doc4.xml · derivative · entry 3 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,938 Underlying: Common Shares · 1,562 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on July 10, 2018. F3 · derivative.expiration_date: Restricted Stock Units vested on July 10, 2018. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:50 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 541 | $2.20 | $1,190.20 |
DisclosureSEC source: 0001209191-18-042495 · doc4.xml · nonDerivative · entry 2 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 886,758 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 1,562 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 10,938 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:50 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 1,562 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-042495 · doc4.xml · nonDerivative · entry 1 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 887,299 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 · balance_after: Does not include 10,938 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:45 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 4,687 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-042492 · doc4.xml · derivative · entry 3 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,813 Underlying: Common Shares · 4,687 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on July 10, 2018. F3 · derivative.expiration_date: Restricted Stock Units vested on July 10, 2018. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:45 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 1,621 | $2.20 | $3,566.20 |
DisclosureSEC source: 0001209191-18-042492 · doc4.xml · nonDerivative · entry 2 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,384 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 4,687 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 32,813 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 23:45 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 4,687 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-042492 · doc4.xml · nonDerivative · entry 1 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,005 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 · balance_after: Does not include 32,813 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 22:47 UTC |
KINGSLEY ALFRED DDirector · See Remarks
|
GrantOption to Purchase Common Shares · Derivative | 70,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-18-041312 · doc4.xml · derivative · entry 4 KINGSLEY ALFRED D · CIK 0001229339 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Shares · 70,000 shares Expires 2023-06-30 F2 · derivative.exercise_date: Will become exercisable on June 30, 2019, based upon continued service on the board of directors. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 22:34 UTC |
Russell Angus C.Director
|
GrantOption to Purchase Common Shares · Derivative | 40,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-18-041308 · doc4.xml · derivative · entry 2 Russell Angus C. · CIK 0001534002 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2023-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2019, based upon continued service on the board of directors. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 22:26 UTC |
Redmond Cavan M.Director
|
GrantOption to Purchase Common Shares · Derivative | 40,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-18-041306 · doc4.xml · derivative · entry 1 Redmond Cavan M. · CIK 0001420120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2023-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2019, based upon continued service on the board of directors. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 22:22 UTC |
Mulroy Michael H.Director
|
GrantOption to Purchase Common Shares · Derivative | 40,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-18-041303 · doc4.xml · derivative · entry 2 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2023-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2019, based upon continued service on the board of directors. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 22:16 UTC |
FARRELL STEPHEN CDirector
|
GrantOption to Purchase Common Shares · Derivative | 40,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-18-041298 · doc4.xml · derivative · entry 2 FARRELL STEPHEN C · CIK 0001188757 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2023-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2019, based upon continued service on the board of directors. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 22:04 UTC |
ANDREWS DEBORAH JDirector
|
GrantOption to Purchase Common Shares · Derivative | 40,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-18-041291 · doc4.xml · derivative · entry 2 ANDREWS DEBORAH J · CIK 0001325697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Shares · 40,000 shares Expires 2023-06-30 F1 · derivative.exercise_date: Will become exercisable on June 30, 2019, based upon continued service on the board of directors. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 21:31 UTC |
Bradsher Neal CDirector · 10% owner
|
GrantOPTION TO PURCHASE COMMON SHARES · Derivative | 40,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0000919574-18-004518 · ownership.xml · derivative · entry 1 BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: COMMON SHARES · 40,000 shares Expires 2023-06-30 F2 · price: The options were granted to Neal Bradsher by the issuer on July 1, 2018 as director compensation pursuant to resolutions from the minutes of the issuer's board of directors meeting on January 24, 2018. F1 · derivative.exercise_date: These options will vest and become exercisable on June 30, 2019, provided, that Neal C. Bradsher remains a member of the issuer's board of directors on that date Read SEC document |
| April 10, 2018 Filed Apr 13, 2018 01:00 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,563 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-024791 · doc4.xml · derivative · entry 3 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Shares · 1,563 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on April 10, 2018. F3 · derivative.expiration_date: Restricted Stock Units vested on April 10, 2018. Read SEC document |
| April 10, 2018 Filed Apr 13, 2018 01:00 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 541 | $2.49 | $1,347.09 |
DisclosureSEC source: 0001209191-18-024791 · doc4.xml · nonDerivative · entry 2 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 885,737 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 1,563 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 12,500 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| April 10, 2018 Filed Apr 13, 2018 01:00 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 1,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-024791 · doc4.xml · nonDerivative · entry 1 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 886,278 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 · balance_after: Does not include 12,500 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| April 10, 2018 Filed Apr 13, 2018 00:39 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 4,688 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-024789 · doc4.xml · derivative · entry 3 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Shares · 4,688 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on April 10, 2018. F3 · derivative.expiration_date: Restricted Stock Units vested on April 10, 2018. Read SEC document |
| April 10, 2018 Filed Apr 13, 2018 00:39 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 1,622 | $2.49 | $4,038.78 |
DisclosureSEC source: 0001209191-18-024789 · doc4.xml · nonDerivative · entry 2 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,318 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 4,688 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 37,500 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| April 10, 2018 Filed Apr 13, 2018 00:39 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 4,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-024789 · doc4.xml · nonDerivative · entry 1 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,940 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 · balance_after: Does not include 37,500 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 23:08 UTC |
Patton Stephana EileneGeneral Counsel & Secretary
|
GrantOption to Purchase Common Shares · Derivative | 125,000 | $0.00 Strike: $2.54 | $0.00 |
DisclosureSEC source: 0001209191-18-020733 · doc4.xml · derivative · entry 2 Patton Stephana Eilene · CIK 0001698237 · General Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Shares · 125,000 shares Expires 2028-03-14 F2 · derivative.exercise_date: One quarter of the options shall vest upon the completion of continuous service from the date of grant until February 1, 2019, and the balance of the options shall vest in 36 equal monthly installments, commencing on February 1, 2019, based upon continued service. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 23:05 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
GrantOption to Purchase Common Shares · Derivative | 150,000 | $0.00 Strike: $2.54 | $0.00 |
DisclosureSEC source: 0001209191-18-020726 · doc4.xml · derivative · entry 2 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Shares · 150,000 shares Expires 2028-03-14 F2 · derivative.exercise_date: One quarter of the options shall vest upon the completion of continuous service from the date of grant until February 1, 2019, and the balance of the options shall vest in 36 equal monthly installments, commencing on February 1, 2019, based upon continued service. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 23:04 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
GrantOption to Purchase Common Shares · Derivative | 200,000 | $0.00 Strike: $2.54 | $0.00 |
DisclosureSEC source: 0001209191-18-020724 · doc4.xml · derivative · entry 2 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Shares · 200,000 shares Expires 2028-03-14 F2 · derivative.exercise_date: One quarter of the options shall vest upon the completion of continuous service from the date of grant until February 1, 2019, and the balance of the options shall vest in 36 equal monthly installments, commencing on February 1, 2019, based upon continued service. Read SEC document |
| January 10, 2018 Filed Jan 13, 2018 02:17 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 4,687 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-003498 · doc4.xml · derivative · entry 3 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,188 Underlying: Common Shares · 4,687 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on January 10, 2018. F3 · derivative.expiration_date: Restricted Stock Units vested on January 10, 2018. Read SEC document |
| January 10, 2018 Filed Jan 13, 2018 02:17 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 2,057 | $2.68 | $5,512.76 |
DisclosureSEC source: 0001209191-18-003498 · doc4.xml · nonDerivative · entry 2 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,252 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 4,687 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 42,188 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| January 10, 2018 Filed Jan 13, 2018 02:17 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 4,687 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-003498 · doc4.xml · nonDerivative · entry 1 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,309 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 · balance_after: Does not include 42,188 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| January 10, 2018 Filed Jan 13, 2018 01:30 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,562 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-003488 · doc4.xml · derivative · entry 3 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,063 Underlying: Common Shares · 1,562 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on January 10, 2018. F3 · derivative.expiration_date: Restricted Stock Units vested on January 10, 2018. Read SEC document |
| January 10, 2018 Filed Jan 13, 2018 01:30 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 686 | $2.68 | $1,838.48 |
DisclosureSEC source: 0001209191-18-003488 · doc4.xml · nonDerivative · entry 2 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 884,715 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 1,562 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 14,063 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| January 10, 2018 Filed Jan 13, 2018 01:30 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 1,562 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-003488 · doc4.xml · nonDerivative · entry 1 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 885,401 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 · balance_after: Does not include 14,063 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| December 01, 2017 Filed Feb 15, 2018 02:48 UTC |
KINGSLEY ALFRED DDirector · See Remarks
|
GiftCommon Shares, no par value | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-010227 · doc5.xml · nonDerivative · entry 2 KINGSLEY ALFRED D · CIK 0001229339 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By Greenbelt Corp. Disclosed balance after: 1,043,346 F3 · date: During December 2017, Greenbelt Corp. gifted a total of 100,000 common shares to certain charitable organizations. F3 · price: During December 2017, Greenbelt Corp. gifted a total of 100,000 common shares to certain charitable organizations. Read SEC document |
| December 01, 2017 Filed Feb 15, 2018 02:45 UTC |
GREENBELT CORP /NYSee Remarks
|
GiftCommon Shares, no par value | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-010225 · doc5.xml · nonDerivative · entry 1 GREENBELT CORP /NY · CIK 0000938354 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,043,346 F1 · date: During December 2017, Greenbelt Corp. gifted a total of 100,000 common shares to certain charitable organizations. F1 · price: During December 2017, Greenbelt Corp. gifted a total of 100,000 common shares to certain charitable organizations. Read SEC document |
| October 13, 2017 Filed Oct 17, 2017 21:58 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-17-007337 · p7683481.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 29,971,561 F3 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| October 13, 2017 Filed Oct 17, 2017 21:58 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Stock | 2,692,307 | $2.60 | $6,999,998.20 |
DisclosureSEC source: 0000919574-17-007337 · p7683481.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,971,561 F1 · price: On October 13, 2017, Broadwood Partners, L.P. agreed to purchase 2,692,307 shares of the Issuer's common stock in the Issuer's current public offering of 9,615,385 shares at the public offering price of $2.60 per share. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document |
| October 10, 2017 Filed Oct 13, 2017 01:35 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 4,688 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-056783 · doc4.xml · derivative · entry 3 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,875 Underlying: Common Shares · 4,688 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on October 10, 2017. F3 · derivative.expiration_date: Restricted Stock Units vested on October 10, 2017. Read SEC document |
| October 10, 2017 Filed Oct 13, 2017 01:35 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 1,762 | $2.81 | $4,951.22 |
DisclosureSEC source: 0001209191-17-056783 · doc4.xml · nonDerivative · entry 2 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,622 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 4,688 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 46,875 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| October 10, 2017 Filed Oct 13, 2017 01:35 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 4,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-056783 · doc4.xml · nonDerivative · entry 1 MOHANTY ADITYA P. · CIK 0001629819 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,384 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 · balance_after: Does not include 46,875 Restricted Stock Units payable in shares of the Issuer's common stock that have not vested as of the date of this Report and shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| October 10, 2017 Filed Oct 12, 2017 23:35 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,563 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-056779 · doc4.xml · derivative · entry 3 WEST MICHAEL D · CIK 0001202529 · Director · Co-Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,625 Underlying: Common Shares · 1,563 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Restricted Stock Units vested on October 10, 2017. F3 · derivative.expiration_date: Restricted Stock Units vested on October 10, 2017. 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.