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Nasdaq · USD

LITS

Lite Strategy, Inc.

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7396
SEC CIK
0001262104
Parsed reports
152

Last 12 months

Inside the activity.

3 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202510
Dec 202511
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202610
Jul 202600
Aug 202600
Sep 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
July 02, 2020 Filed Jul 7, 2020 12:44 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 680,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018601 · doc4.xml · derivative · entry 2

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,000

Underlying: Common Stock · 680,000 shares

Expires 2030-07-02

F2 · derivative.exercise_date: One-quarter of such options shall vest on July 2, 2021 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 2, 2021.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 12:44 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
GrantCommon Stock 80,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-018601 · doc4.xml · nonDerivative · entry 1

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,632

F1 · security: Consists of a grant of restricted stock units, which shall vest on the one-year anniversary of the date of grant.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 17:40 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018618 · doc4.xml · derivative · entry 1

White Christine Anna · CIK 0001371859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 17:30 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018617 · doc4.xml · derivative · entry 1

Glover Nicholas · CIK 0001578888 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 17:25 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018616 · doc4.xml · derivative · entry 1

Reynolds Thomas C · CIK 0001393945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 17:12 UTC
Mass Robert D.Chief Medical Officer
GrantStock Option (Right to Buy) · Derivative 230,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018613 · doc4.xml · derivative · entry 1

Mass Robert D. · CIK 0001522224 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

Underlying: Common Stock · 230,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: One-quarter of such options shall vest on July 2, 2021 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 2, 2021.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 17:12 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018612 · doc4.xml · derivative · entry 1

HOWSON TAMAR D · CIK 0001202286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 17:09 UTC
Drazba Brian G.Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 230,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018611 · doc4.xml · derivative · entry 1

Drazba Brian G. · CIK 0001507369 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

Underlying: Common Stock · 230,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: One-quarter of such options shall vest on July 2, 2021 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 2, 2021.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 16:54 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018606 · doc4.xml · derivative · entry 1

Baltic Charles V. III · CIK 0001533340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 16:30 UTC
Cohen CherylDirector
GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018597 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 02, 2020 Filed Jul 7, 2020 17:05 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0000899243-20-018610 · doc4.xml · derivative · entry 1

Clemens Kevan · CIK 0001316737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-07-02

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
April 10, 2020 Filed Apr 14, 2020 21:17 UTC
Cohen CherylDirector
GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0000899243-20-010723 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-04-10

F1 · derivative.exercise_date: 20,000 options will vest in equal monthly installments over thirty-six months from April 10, 2020 and 10,000 options shall vest in equal monthly installments over twelve months from April 10, 2020.

Read SEC document
December 19, 2019 Filed Dec 20, 2019 17:56 UTC PurchaseCommon Stock 62,500 $1.60 $100,000.00
Disclosure

SEC source: 0001209191-19-061473 · doc4.xml · nonDerivative · entry 1

DRISCOLL FREDERICK W · CIK 0001129890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Read SEC document
December 19, 2019 Filed Dec 20, 2019 17:57 UTC PurchaseCommon Stock 10,000 $1.60 $16,000.00
Disclosure

SEC source: 0001209191-19-061475 · doc4.xml · nonDerivative · entry 1

Reynolds Thomas C · CIK 0001393945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
December 19, 2019 Filed Dec 20, 2019 12:54 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
PurchaseCommon Stock 18,750 $1.60 $30,000.00
Disclosure

SEC source: 0001209191-19-061469 · doc4.xml · nonDerivative · entry 1

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 361,632

Read SEC document
December 19, 2019 Filed Dec 20, 2019 17:55 UTC
Drazba Brian G.Chief Financial Officer
PurchaseCommon Stock 12,500 $1.60 $20,000.00
Disclosure

SEC source: 0001209191-19-061471 · doc4.xml · nonDerivative · entry 1

Drazba Brian G. · CIK 0001507369 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Read SEC document
September 27, 2019 Filed Oct 1, 2019 12:04 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $1.57 $0.00
Disclosure

SEC source: 0001209191-19-051197 · doc4.xml · derivative · entry 2

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,500

Underlying: Common Stock · 20,000 shares

Expires 2025-07-28

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

F1 · derivative.exercise_date: All of the options are fully vested and currently exercisable.

Read SEC document
September 27, 2019 Filed Oct 1, 2019 12:04 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
Exercise / conversionCommon Stock 20,000 $1.57 $31,400.00
Disclosure

SEC source: 0001209191-19-051197 · doc4.xml · nonDerivative · entry 1

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,882

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

Read SEC document
September 06, 2019 Filed Sep 9, 2019 20:52 UTC PurchaseCommon Stock 15,000 $1.74 $26,074.50
Disclosure

SEC source: 0001209191-19-048913 · doc4.xml · nonDerivative · entry 1

White Christine Anna · CIK 0001371859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · kind: The shares purchased by the reporting person are held through an Individual Retirement Account.

F2 · price: The weighted average purchase price for the transaction reported was $1.7383, and the range of prices was between $1.725 and $1.74. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price will be provided.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:32 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040977 · doc4.xml · derivative · entry 1

DRISCOLL FREDERICK W · CIK 0001129890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 15:36 UTC
Urso David MChief Operating Officer & GC
GrantStock Option (Right to Buy) · Derivative 350,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040989 · doc4.xml · derivative · entry 1

Urso David M · CIK 0001604256 · Chief Operating Officer & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: One-quarter of such Options shall vest on July 1, 2020 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 1, 2020.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 15:35 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 680,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040985 · doc4.xml · derivative · entry 1

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,000

Underlying: Common Stock · 680,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: One-quarter of such Options shall vest on July 1, 2020 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 1, 2020.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:34 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040983 · doc4.xml · derivative · entry 1

White Christine Anna · CIK 0001371859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:31 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040975 · doc4.xml · derivative · entry 1

Baltic Charles V. III · CIK 0001533340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:36 UTC
Mass Robert D.Chief Medical Officer
GrantStock Option (Right to Buy) · Derivative 230,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040987 · doc4.xml · derivative · entry 1

Mass Robert D. · CIK 0001522224 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

Underlying: Common Stock · 230,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: One-quarter of such Options shall vest on July 1, 2020 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 1, 2020.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:35 UTC
Drazba Brian G.Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 230,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040984 · doc4.xml · derivative · entry 1

Drazba Brian G. · CIK 0001507369 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

Underlying: Common Stock · 230,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: One-quarter of such Options shall vest on July 1, 2020 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 1, 2020.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:33 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040981 · doc4.xml · derivative · entry 1

Rueckert William Dodge · CIK 0001380016 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:33 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040980 · doc4.xml · derivative · entry 1

Reynolds Thomas C · CIK 0001393945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:32 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040979 · doc4.xml · derivative · entry 1

Glover Nicholas · CIK 0001578888 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:31 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040976 · doc4.xml · derivative · entry 1

Clemens Kevan · CIK 0001316737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 19:30 UTC GrantStock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $2.52 $0.00
Disclosure

SEC source: 0001209191-19-040974 · doc4.xml · derivative · entry 1

HOWSON TAMAR D · CIK 0001202286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2029-07-01

F1 · derivative.exercise_date: 20,000 options will vest in equal monthly installments over thirty-six months, and 40,000 of the options will vest in equal monthly installments over twelve months.

Read SEC document
August 07, 2018 Filed Aug 8, 2018 18:01 UTC
Urso David MChief Operating Officer & GC
SaleCommon Stock 9,500 $3.58 $34,044.20
Disclosure

SEC source: 0001209191-18-045899 · doc4.xml · nonDerivative · entry 2

Urso David M · CIK 0001604256 · Chief Operating Officer & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,106

F2 · shares: Represents the number of shares sold to satisfy tax withholding obligations that arose in connection with the delivery of shares underlying restricted stock units that vested on August 5, 2018.

F3 · price: The range of sales prices was $3.5825 to $3.60. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 18:01 UTC
Urso David MChief Operating Officer & GC
Tax withholdingCommon Stock 17,764 $3.75 $66,615.00
Disclosure

SEC source: 0001209191-18-045899 · doc4.xml · nonDerivative · entry 1

Urso David M · CIK 0001604256 · Chief Operating Officer & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,606

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on August 6, 2018, to satisfy tax withholding obligations that arose in connection with the delivery of shares underlying restricted stock units that vested on August 5, 2018.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 17:59 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
Tax withholdingCommon Stock 54,093 $3.75 $202,848.75
Disclosure

SEC source: 0001209191-18-045895 · doc4.xml · nonDerivative · entry 1

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,727

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on August 6, 2018, to satisfy tax withholding obligations that arose in connection with the delivery of shares underlying restricted stock units that vested on August 5, 2018.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 22:00 UTC
Mass Robert D.Chief Medical Officer
Tax withholdingCommon Stock 17,709 $3.75 $66,408.75
Disclosure

SEC source: 0001209191-18-045897 · doc4.xml · nonDerivative · entry 1

Mass Robert D. · CIK 0001522224 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,661

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on August 6, 2018, to satisfy tax withholding obligations that arose in connection with the delivery of shares underlying restricted stock units that vested on August 5, 2018.

Read SEC document
August 06, 2018 Filed Sep 6, 2018 20:20 UTC Amendment
GOLD DANIEL P PHDDirector · Chief Executive Officer
Tax withholdingCommon Stock 50,938 $3.75 $191,017.50
Disclosure

SEC source: 0001209191-18-049972 · doc4a.xml · nonDerivative · entry 1

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,882

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on August 6, 2018, to satisfy tax withholding obligations that arose in connection with the delivery of shares underlying restricted stock units that vested on August 5, 2018. The number of shares withheld by and surrendered to the Issuer was incorrectly reported as 54,093 in the original filing of the Form 4 to which this amendment relates. Such number of shares withheld was overstated by 3,155 shares.

F2 · balance_after: The number of shares beneficially owned was incorrectly understated by 3,155 shares in the original filing of the Form 4 to which this amendment relates as a result of the incorrect reporting of the number of shares withheld described in Note 1 above.

Read SEC document
July 12, 2018 Filed Jul 16, 2018 21:26 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042667 · doc4.xml · derivative · entry 1

DRISCOLL FREDERICK W · CIK 0001129890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 12, 2018 Filed Jul 16, 2018 17:35 UTC
Urso David MChief Operating Officer & GC
GrantStock Option (Right to Buy) · Derivative 220,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042688 · doc4.xml · derivative · entry 1

Urso David M · CIK 0001604256 · Chief Operating Officer & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: One-quarter of such Options shall vest on July 12, 2019 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 12, 2019.

Read SEC document
July 12, 2018 Filed Jul 16, 2018 17:33 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042683 · doc4.xml · derivative · entry 1

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: One-quarter of such Options shall vest on July 12, 2019 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 12, 2019.

Read SEC document
July 12, 2018 Filed Jul 16, 2018 21:34 UTC
Mass Robert D.Chief Medical Officer
GrantStock Option (Right to Buy) · Derivative 130,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042686 · doc4.xml · derivative · entry 1

Mass Robert D. · CIK 0001522224 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: One-quarter of such Options shall vest on July 12, 2019 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 12, 2019.

Read SEC document
July 12, 2018 Filed Jul 16, 2018 21:30 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042678 · doc4.xml · derivative · entry 1

White Christine Anna · CIK 0001371859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

Read SEC document
July 12, 2018 Filed Jul 16, 2018 21:32 UTC
Drazba Brian G.Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042681 · doc4.xml · derivative · entry 1

Drazba Brian G. · CIK 0001507369 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: One-quarter of such Options shall vest on July 12, 2019 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on July 12, 2019.

Read SEC document
July 12, 2018 Filed Jul 16, 2018 21:29 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042676 · doc4.xml · derivative · entry 1

Rueckert William Dodge · CIK 0001380016 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

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July 12, 2018 Filed Jul 16, 2018 21:28 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042673 · doc4.xml · derivative · entry 1

Reynolds Thomas C · CIK 0001393945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

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July 12, 2018 Filed Jul 16, 2018 21:25 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042665 · doc4.xml · derivative · entry 1

Clemens Kevan · CIK 0001316737 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

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July 12, 2018 Filed Jul 16, 2018 21:27 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042670 · doc4.xml · derivative · entry 1

Glover Nicholas · CIK 0001578888 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

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July 12, 2018 Filed Jul 16, 2018 21:24 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $4.28 $0.00
Disclosure

SEC source: 0001209191-18-042663 · doc4.xml · derivative · entry 1

Baltic Charles V. III · CIK 0001533340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-07-12

F1 · derivative.exercise_date: The options will vest in equal monthly installments over twelve months.

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June 22, 2018 Filed Jun 26, 2018 14:27 UTC
Urso David MSr. V.P. and General Counsel
GrantStock Option (Right to Buy) · Derivative 130,000 $0.00 Strike: $4.33 $0.00
Disclosure

SEC source: 0000899243-18-018105 · doc4.xml · derivative · entry 1

Urso David M · CIK 0001604256 · Sr. V.P. and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2028-06-22

F1 · derivative.exercise_date: One-quarter of such Options shall vest on June 22, 2019 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on June 22, 2019.

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June 22, 2018 Filed Jun 26, 2018 14:27 UTC
GOLD DANIEL P PHDDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 380,000 $0.00 Strike: $4.33 $0.00
Disclosure

SEC source: 0000899243-18-018107 · doc4.xml · derivative · entry 1

GOLD DANIEL P PHD · CIK 0001288233 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,000

Underlying: Common Stock · 380,000 shares

Expires 2028-06-22

F1 · derivative.exercise_date: One-quarter of such Options shall vest on June 22, 2019 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on June 22, 2019.

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June 22, 2018 Filed Jun 26, 2018 18:33 UTC
Drazba Brian G.Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 130,000 $0.00 Strike: $4.33 $0.00
Disclosure

SEC source: 0000899243-18-018110 · doc4.xml · derivative · entry 1

Drazba Brian G. · CIK 0001507369 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2028-06-22

F1 · derivative.exercise_date: One-quarter of such Options shall vest on June 22, 2019 and the remaining three-quarters of such options shall vest monthly over a three-year period beginning on June 22, 2019.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.