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 |
|---|---|---|---|---|---|---|
| October 10, 2017 Filed Oct 12, 2017 23:35 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 588 | $2.81 | $1,652.28 |
DisclosureSEC source: 0001209191-17-056779 · 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: 883,839 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 15,625 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 / conversionCommon Shares, no par value | 1,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-056779 · 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: 884,427 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 15,625 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 01, 2017 Filed Feb 15, 2018 02:48 UTC |
KINGSLEY ALFRED DDirector · See Remarks
|
GiftCommon Shares, no par value | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-010227 · doc5.xml · nonDerivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,471,555 F1 · date: During October 2017, Mr. Kingsley gifted a total of 10,000 common shares. F1 · price: During October 2017, Mr. Kingsley gifted a total of 10,000 common shares. F2 · balance_after: Does not include shares that Mr. Kingsley may acquire through the exercise of certain options. Read SEC document |
| August 23, 2017 Filed Aug 25, 2017 20:33 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
PurchaseCommon Shares, no par value | 2,000 | $2.64 | $5,284.80 |
DisclosureSEC source: 0001209191-17-050305 · doc4.xml · nonDerivative · entry 1 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 F1 · price: The purchase price per share represents a weighted average of prices ranging from $2.6373 to $2.6475 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F2 · balance_after: Does not include shares that may be acquired upon the exercise of certain stock options. Read SEC document |
| August 22, 2017 Filed Aug 23, 2017 23:23 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
PurchaseCommon Shares, no par value | 2,000 | $2.60 | $5,198.00 |
DisclosureSEC source: 0001209191-17-050016 · 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: 882,864 F1 · balance_after: Does not include 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 |
| August 22, 2017 Filed Aug 24, 2017 22:58 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
Bradsher Neal CDirector · 10% owner
BROADWOOD CAPITAL INC10% owner
|
PurchaseCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0000919574-17-006374 · p7599978.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 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: 27,279,254 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 |
| August 22, 2017 Filed Aug 24, 2017 22:58 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
Bradsher Neal CDirector · 10% owner
BROADWOOD CAPITAL INC10% owner
|
PurchaseCommon Stock | 10,000 | $2.60 | $25,955.00 |
DisclosureSEC source: 0000919574-17-006374 · p7599978.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,279,254 F1 · price: This constitutes the weighted average purchase price. The prices range from $2.55 to $2.66. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 00:43 UTC |
Patton Stephana EileneGeneral Counsel
|
PurchaseCommon Shares, no par value | 7,500 | $2.58 | $19,376.25 |
DisclosureSEC source: 0001209191-17-049882 · doc4.xml · nonDerivative · entry 1 Patton Stephana Eilene · CIK 0001698237 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 00:22 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
PurchaseCommon Shares, no par value | 7,500 | $2.50 | $18,750.00 |
DisclosureSEC source: 0001209191-17-049877 · 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: 89,696 F1 · balance_after: Does not include 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 |
| August 21, 2017 Filed Aug 23, 2017 22:31 UTC |
ANDREWS DEBORAH JDirector
|
PurchaseCommon Shares, no par value | 2,396 | $2.50 | $5,990.00 |
DisclosureSEC source: 0001209191-17-050000 · doc4.xml · nonDerivative · entry 1 ANDREWS DEBORAH J · CIK 0001325697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,396 Read SEC document |
| August 17, 2017 Filed Aug 22, 2017 01:21 UTC |
KINGSLEY ALFRED DDirector · See Remarks
|
Disposition to issuerCommon Shares, no par value | 300,000 | $2.81 | $843,000.00 |
DisclosureSEC source: 0001209191-17-049764 · doc4.xml · nonDerivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,481,555 F1 · shares: On August 17, 2017, Mr. Kingsley exchanged 300,000 BioTime common shares for 421,500 common shares of AgeX Therapeutics, Inc., a subsidiary of BioTime. F2 · balance_after: Does not include shares that Mr. Kingsley may acquire through the exercise of certain options. Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 22:37 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: 0000919574-17-005711 · p7582267.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: 27,269,254 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 |
| July 31, 2017 Filed Aug 2, 2017 22:37 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Stock | 150,000 | $2.80 | $420,000.00 |
DisclosureSEC source: 0000919574-17-005711 · p7582267.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: 27,269,254 F1 · shares: The securities were purchased in a private transaction. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 22:27 UTC |
KINGSLEY ALFRED DDirector · See Remarks
|
SaleCommon Shares, no par value | 150,000 | $2.80 | $420,000.00 |
DisclosureSEC source: 0001209191-17-047197 · doc4.xml · nonDerivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,781,555 F1 · shares: The securities were sold in a private transaction. Substantially all of the sale proceeds were invested in AgeX Therapeutics, Inc., a new subsidiary of BioTime. F2 · balance_after: Does not include shares that Mr. Kingsley may acquire through the exercise of certain options. Read SEC document |
| July 10, 2017 Filed Jul 12, 2017 23:26 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: 0001209191-17-044963 · 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: 51,563 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, 2017. F3 · derivative.expiration_date: Restricted Stock Units vested on July 10, 2017. Read SEC document |
| July 10, 2017 Filed Jul 12, 2017 23:26 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 1,762 | $3.09 | $5,444.58 |
DisclosureSEC source: 0001209191-17-044963 · 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: 82,196 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 51,563 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, 2017 Filed Jul 12, 2017 23:26 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 4,687 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-044963 · 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: 83,958 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 51,563 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, 2017 Filed Jul 12, 2017 23:21 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 1,562 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-044959 · 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: 17,188 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, 2017. F3 · derivative.expiration_date: Restricted Stock Units vested on July 10, 2017. Read SEC document |
| July 10, 2017 Filed Jul 12, 2017 23:21 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 587 | $3.09 | $1,813.83 |
DisclosureSEC source: 0001209191-17-044959 · 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: 880,864 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 17,188 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 |
| July 10, 2017 Filed Jul 12, 2017 23:21 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 1,562 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-044959 · 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: 881,451 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 17,188 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 |
| July 01, 2017 Filed Jul 6, 2017 00:34 UTC |
KINGSLEY ALFRED DDirector · See Remarks
|
GrantOption to Purchase Common Shares · Derivative | 50,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-17-043821 · doc4.xml · derivative · entry 4 KINGSLEY ALFRED D · CIK 0001229339 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2022-06-30 F2 · derivative.exercise_date: Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors. Read SEC document |
| July 01, 2017 Filed Jul 6, 2017 00:22 UTC |
SCHLACHET DAVIDDirector
|
GrantOption to Purchase Common Shares · Derivative | 20,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-17-043813 · doc4.xml · derivative · entry 2 SCHLACHET DAVID · CIK 0001235445 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Shares · 20,000 shares Expires 2022-06-30 F2 · derivative.exercise_date: Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 23:52 UTC |
Russell Angus C.Director
|
GrantOption to Purchase Common Shares · Derivative | 20,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-17-043781 · doc4.xml · derivative · entry 2 Russell Angus C. · CIK 0001534002 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Shares · 20,000 shares Expires 2022-06-30 F1 · derivative.exercise_date: Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 23:36 UTC |
ANDREWS DEBORAH JDirector
|
GrantOption to Purchase Common Shares · Derivative | 20,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-17-043769 · doc4.xml · derivative · entry 2 ANDREWS DEBORAH J · CIK 0001325697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Shares · 20,000 shares Expires 2022-06-30 F1 · derivative.exercise_date: Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 23:46 UTC |
Mulroy Michael H.Director
|
GrantOption to Purchase Common Shares · Derivative | 20,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-17-043774 · doc4.xml · derivative · entry 2 Mulroy Michael H. · CIK 0001509725 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Shares · 20,000 shares Expires 2022-06-30 F1 · derivative.exercise_date: Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 23:41 UTC |
FARRELL STEPHEN CDirector
|
GrantOption to Purchase Common Shares · Derivative | 20,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-17-043772 · doc4.xml · derivative · entry 2 FARRELL STEPHEN C · CIK 0001188757 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Shares · 20,000 shares Expires 2022-06-30 F1 · derivative.exercise_date: Will become exercisable in four equal quarterly installments after the date of grant on July 1, 2017 based upon continued service on the board of directors. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 22:02 UTC |
Bradsher Neal CDirector · 10% owner
|
GrantOPTION TO PURCHASE COMMON SHARES · Derivative | 20,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0000919574-17-005170 · p7526295.xml · derivative · entry 1 BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: COMMON SHARES · 20,000 shares Expires 2022-06-30 F5 · price: The options were granted to Neal Bradsher by the issuer on July 1, 2017 as director compensation pursuant to the issuer's 2012 Equity Incentive Plan. F3 · derivative.exercise_date: These options will vest and become exercisable in four quarterly installments on September 30, 2017, December 31, 2017, March 31, 2018, and June 30, 2018, provided that Neal C. Bradsher remains a director on the last day of each quarter. F1 · ownership.direct: These securities are directly owned by Neal C. Bradsher. Read SEC document |
| June 16, 2017 Filed Jun 22, 2017 00:19 UTC |
ANDREWS DEBORAH JDirector
|
PurchaseCommon Shares, no par value | 2,000 | $2.95 | $5,900.00 |
DisclosureSEC source: 0001209191-17-041267 · doc4.xml · nonDerivative · entry 1 ANDREWS DEBORAH J · CIK 0001325697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 21:18 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
GrantOption to Purchase Common Shares · Derivative | 250,000 | $0.00 Strike: $3.16 | $0.00 |
DisclosureSEC source: 0001209191-17-038605 · doc4.xml · derivative · entry 1 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Shares · 250,000 shares Expires 2027-06-05 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of continuous service from the date of grant until February 1, 2018, and the balance of the options shall vest in 36 equal monthly installments, commencing on February 1, 2018, based upon continued service. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 21:10 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
GrantOption to Purchase Common Shares · Derivative | 650,000 | $0.00 Strike: $3.16 | $0.00 |
DisclosureSEC source: 0001209191-17-038596 · 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: 650,000 Underlying: Common Shares · 650,000 shares Expires 2027-06-05 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, 2018, and the balance of the options shall vest in 36 equal monthly installments, commencing on February 1, 2018, based upon continued service. Read SEC document |
| May 16, 2017 Filed May 18, 2017 00:52 UTC |
ANDREWS DEBORAH JDirector
|
PurchaseCommon Shares, no par value | 2,000 | $3.21 | $6,410.40 |
DisclosureSEC source: 0001209191-17-033460 · doc4.xml · nonDerivative · entry 1 ANDREWS DEBORAH J · CIK 0001325697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| April 10, 2017 Filed May 2, 2017 01:18 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-029051 · 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: 56,250 Underlying: Common Shares · 18,750 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. F3 · derivative.exercise_date: Restricted Stock Units vested on April 10, 2017. F3 · derivative.expiration_date: Restricted Stock Units vested on April 10, 2017. Read SEC document |
| April 10, 2017 Filed May 2, 2017 01:18 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 7,046 | $3.33 | $23,463.18 |
DisclosureSEC source: 0001209191-17-029051 · 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: 79,271 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 18,750 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 56,250 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, 2017 Filed May 2, 2017 01:18 UTC |
MOHANTY ADITYA P.Director · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 18,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-029051 · 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: 86,317 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 56,250 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, 2017 Filed May 2, 2017 00:58 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 6,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-029046 · 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: 18,750 Underlying: Common Shares · 6,250 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. F3 · derivative.exercise_date: Restricted Stock Units vested on April 10, 2017. F3 · derivative.expiration_date: Restricted Stock Units vested on April 10, 2017. Read SEC document |
| April 10, 2017 Filed May 2, 2017 00:58 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Tax withholdingCommon Shares, no par value | 2,348 | $3.33 | $7,818.84 |
DisclosureSEC source: 0001209191-17-029046 · 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: 879,889 F2 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 6,250 Restricted Stock Units, the grant of which was previously reported on a Form 4. F1 · balance_after: Does not include 18,750 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, 2017 Filed May 2, 2017 00:58 UTC |
WEST MICHAEL DDirector · Co-Chief Executive Officer
|
Exercise / conversionCommon Shares, no par value | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-029046 · 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: 882,237 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 18,750 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 |
| February 15, 2017 Filed Feb 17, 2017 22:02 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: 0000919574-17-002158 · p7416080.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 · See Footnote Disclosed balance after: 27,119,254 F2 · 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 |
| February 15, 2017 Filed Feb 17, 2017 22:02 UTC |
BROADWOOD PARTNERS, L.P.Director · 10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal CDirector · 10% owner
|
PurchaseCommon Stock | 2,222,222 | $2.70 | $5,999,999.40 |
DisclosureSEC source: 0000919574-17-002158 · p7416080.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: 27,119,254 F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document |
| January 03, 2017 Filed Jan 7, 2017 02:56 UTC |
KINGSLEY ALFRED DDirector · See Remarks
|
OtherCommon Shares, no par value | 238,469 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-002818 · doc4.xml · nonDerivative · entry 1 KINGSLEY ALFRED D · CIK 0001229339 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · By Greenbelt Corp. Disclosed balance after: 1,143,346 F1 · date: Distribution to a shareholder in partial redemption of their shares of Greenbelt Corp. None of Mr. Kingsley's shares in Greenbelt Corp. have been redeemed. F1 · price: Distribution to a shareholder in partial redemption of their shares of Greenbelt Corp. None of Mr. Kingsley's shares in Greenbelt Corp. have been redeemed. Read SEC document |
| January 03, 2017 Filed Jan 7, 2017 02:52 UTC |
GREENBELT CORP /NYSee Remarks
|
OtherCommon Shares, no par value | 238,459 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-002816 · doc4.xml · nonDerivative · entry 1 GREENBELT CORP /NY · CIK 0000938354 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,143,346 F1 · date: Distribution to a shareholder in partial redemption of their shares of Greenbelt Corp. None of Mr. Kingley's shares in Greenbelt Corp. have been redeemed. F1 · price: Distribution to a shareholder in partial redemption of their shares of Greenbelt Corp. None of Mr. Kingley's shares in Greenbelt Corp. have been redeemed. Read SEC document |
| December 01, 2016 Filed Jan 7, 2017 02:47 UTC |
KINGSLEY ALFRED DDirector · See Remarks
|
GiftCommon Shares, no par value | 69,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-002813 · 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: 1,381,805 F2 · date: During December 2016, Greenbelt Corp. gifted a total of 69,300 common shares to certain charitable organizations. F2 · price: During December 2016, Greenbelt Corp. gifted a total of 69,300 common shares to certain charitable organizations. Read SEC document |
| December 01, 2016 Filed Jan 7, 2017 02:40 UTC |
GREENBELT CORP /NYSee Remarks
|
GiftCommon Shares, no par value | 69,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-002809 · doc5.xml · nonDerivative · entry 1 GREENBELT CORP /NY · CIK 0000938354 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,381,805 F1 · date: During December 2016, Greenbelt Corp. gifted a total of 69,300 common shares to certain charitable organizations. F1 · price: During December 2016, Greenbelt Corp. gifted a total of 69,300 common shares to certain charitable organizations. Read SEC document |
| October 19, 2016 Filed Nov 19, 2016 01:58 UTC |
KNIGHT JAMES A.Sr VP, Head of Corporate Dev
|
GrantOption to Purchase Common Shares · Derivative | 300,000 | $0.00 Strike: $3.49 | $0.00 |
DisclosureSEC source: 0001209191-16-151321 · doc4.xml · derivative · entry 1 KNIGHT JAMES A. · CIK 0001690272 · Sr VP, Head of Corporate Dev 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Shares · 300,000 shares Expires 2026-10-18 F1 · derivative.exercise_date: One quarter of the options shall vest on October 18, 2017, subject to the completion of 12 months of continuous employment from the date of grant on October 19, 2016, and the balance shall vest in 36 monthly installments upon the completion of each month of continuous employment from the first anniversary of the date of grant. Read SEC document |
| September 08, 2016 Filed Sep 10, 2016 01:06 UTC |
SKIBSTED RUSSELLChief Financial Officer
|
GrantOption to Purchase Common Shares · Derivative | 50,000 | $0.00 Strike: $3.49 | $0.00 |
DisclosureSEC source: 0001209191-16-140853 · doc4.xml · derivative · entry 1 SKIBSTED RUSSELL · CIK 0001308105 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Shares · 50,000 shares Expires 2026-09-07 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of 12 months of continuous employment from the date of grant on September 8, 2016 and the balance shall vest in 36 monthly installments upon the completion of each month of continuous employment from the first anniversary of the date of grant. Read SEC document |
| April 06, 2016 Filed Feb 15, 2017 00:49 UTC |
SEGALL JUDITHVice President & Secretary
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GiftCommon Shares, no par value | 1,900 | $3.25 | $6,175.00 |
DisclosureSEC source: 0001209191-17-010870 · doc5.xml · nonDerivative · entry 1 SEGALL JUDITH · CIK 0001054745 · Vice President & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 591,245 F1 · shares: On April 6, 2016, Ms. Segall gifted 1,900 common shares to a charitable organization. F2 · balance_after: Does not include shares that may be acquired upon the exercise of certain stock options. 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.