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Nasdaq · USD

LPCN

Lipocine Inc.

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7696
SEC CIK
0001535955
Parsed reports
124

Last 12 months

Inside the activity.

7 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202640
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202630
Oct 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
September 30, 2026 Filed Oct 2, 2026 04:28 UTC PurchaseCommon stock 15,970 $2.23 $35,613.10
Disclosure

SEC source: 0001493152-26-045400 · ownership.xml · nonDerivative · entry 2

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 241,365

Read SEC document
September 29, 2026 Filed Oct 2, 2026 04:28 UTC PurchaseCommon stock 9,037 $2.15 $19,429.55
Disclosure

SEC source: 0001493152-26-045400 · ownership.xml · nonDerivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,395

Read SEC document
September 28, 2026 Filed Oct 1, 2026 04:38 UTC PurchaseCommon stock 12,561 $2.16 $27,131.76
Disclosure

SEC source: 0001493152-26-045185 · ownership.xml · nonDerivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,358

Read SEC document
August 03, 2026 Filed Aug 7, 2026 20:11 UTC GrantStock Option (Right to Buy) · Derivative 2,000 $2.11 Strike: $2.11 $4,220.00
Disclosure

SEC source: 0001493152-26-036577 · ownership.xml · derivative · entry 1

Grissinger Michael · CIK 0001757601 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2036-08-03

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on the one year anniversary of August 3, 2027, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorata basis over the following two years.

Read SEC document
June 29, 2026 Filed Jun 30, 2026 23:31 UTC
Patel Mahesh V.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 52,781 $2.49 Strike: $2.49 $131,424.69
Disclosure

SEC source: 0001493152-26-031377 · ownership.xml · derivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,214

Underlying: Common Stock · 52,781 shares

Expires 2036-06-29

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on June 29, 2027 while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

Read SEC document
June 03, 2026 Filed Jun 4, 2026 20:05 UTC
Jene Jill M.Director
GrantStock Option (Right to Buy) · Derivative 1,764 $2.19 Strike: $2.19 $3,863.16
Disclosure

SEC source: 0001493152-26-027261 · ownership.xml · derivative · entry 1

Jene Jill M. · CIK 0001742105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,938

Underlying: Common Stock · 1,764 shares

Expires 2036-06-03

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
June 03, 2026 Filed Jun 4, 2026 20:05 UTC GrantCommon Stock (Right to Buy) · Derivative 1,764 $2.19 Strike: $2.19 $3,863.16
Disclosure

SEC source: 0001493152-26-027262 · ownership.xml · derivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,290

Underlying: Common Stock · 1,764 shares

Expires 2036-06-03

F1 · derivative.exercise_date: 100% vesting upon one year from date of grant.

Read SEC document
June 03, 2026 Filed Jun 4, 2026 20:05 UTC GrantCommon Stock (Right to Buy) · Derivative 1,764 $2.19 Strike: $2.19 $3,863.16
Disclosure

SEC source: 0001493152-26-027259 · ownership.xml · derivative · entry 1

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,290

Underlying: Common Stock · 1,764 shares

Expires 2036-06-03

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
April 07, 2026 Filed Apr 7, 2026 22:27 UTC PurchaseCommon stock 40,000 $2.03 $81,200.00
Disclosure

SEC source: 0001493152-26-015583 · ownership.xml · nonDerivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,797

Read SEC document
April 06, 2026 Filed Apr 6, 2026 22:33 UTC
Patel Mahesh V.Director · Chief Executive Officer
PurchaseCommon stock 25,000 $2.03 $50,750.00
Disclosure

SEC source: 0001493152-26-015357 · ownership.xml · nonDerivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,679

Read SEC document
April 06, 2026 Filed Apr 6, 2026 23:01 UTC PurchaseCommon stock 123,000 $2.05 $252,150.00
Disclosure

SEC source: 0001493152-26-015361 · ownership.xml · nonDerivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,797

Read SEC document
April 02, 2026 Filed Apr 2, 2026 21:05 UTC
Patel Mahesh V.Director · Chief Executive Officer
PurchaseCommon stock 25,000 $2.02 $50,500.00
Disclosure

SEC source: 0001493152-26-014959 · ownership.xml · nonDerivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,679

Read SEC document
January 02, 2026 Filed Jan 5, 2026 20:50 UTC
Patel Mahesh V.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 25,000 $8.00 Strike: $8.00 $200,000.00
Disclosure

SEC source: 0001493152-26-000361 · ownership.xml · derivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,668

Underlying: Common Stock · 25,000 shares

Expires 2036-01-02

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on January 2, 2027, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorate basis over the following two years.

Read SEC document
December 18, 2025 Filed Dec 19, 2025 22:07 UTC
Fogarty KristaPrincipal Accounting Officer
GrantStock Option (Right to Buy) · Derivative 20,786 $4.20 Strike: $4.20 $87,301.20
Disclosure

SEC source: 0001493152-25-028593 · ownership.xml · derivative · entry 1

Fogarty Krista · CIK 0001906986 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,146

Underlying: Common Stock · 20,786 shares

Expires 2035-12-18

F1 · derivative.expiration_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on December 18, 2026, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

Read SEC document
December 18, 2025 Filed Dec 19, 2025 22:09 UTC
Patel Mahesh V.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 8,629 $4.20 Strike: $4.20 $36,241.80
Disclosure

SEC source: 0001493152-25-028597 · ownership.xml · derivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,668

Underlying: Common Stock · 8,629 shares

Expires 2035-12-18

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on December 18, 2026, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorate basis over the following two years.

Read SEC document
June 04, 2025 Filed Jun 5, 2025 20:07 UTC GrantCommon Stock (Right to Buy) · Derivative 1,764 $3.20 Strike: $3.20 $5,644.80
Disclosure

SEC source: 0001641172-25-013796 · ownership.xml · derivative · entry 1

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,526

Underlying: Common Stock · 1,764 shares

Expires 2035-06-04

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
June 04, 2025 Filed Jun 5, 2025 20:06 UTC
Jene Jill M.Director
GrantStock Option (Right to Buy) · Derivative 1,764 $3.20 Strike: $3.20 $5,644.80
Disclosure

SEC source: 0001641172-25-013795 · ownership.xml · derivative · entry 1

Jene Jill M. · CIK 0001742105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,174

Underlying: Common Stock · 1,764 shares

Expires 2035-06-04

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
June 04, 2025 Filed Jun 5, 2025 20:06 UTC GrantStock Option (Right to Buy) · Derivative 1,764 $3.20 Strike: $3.20 $5,644.80
Disclosure

SEC source: 0001641172-25-013797 · ownership.xml · derivative · entry 1

Papapetropoulos Spyros · CIK 0001832694 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,174

Underlying: Common Stock · 1,764 shares

Expires 2035-06-04

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
June 04, 2025 Filed Jun 5, 2025 20:06 UTC GrantCommon Stock (Right to Buy) · Derivative 1,764 $3.20 Strike: $3.20 $5,644.80
Disclosure

SEC source: 0001641172-25-013793 · ownership.xml · derivative · entry 1

Fink Jeffrey Arvin · CIK 0001595930 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,526

Underlying: Common Stock · 1,764 shares

Expires 2035-06-04

F1 · derivative.exercise_date: 100% vesting upon one year from date of grant.

Read SEC document
June 04, 2025 Filed Jun 5, 2025 20:06 UTC GrantCommon Stock (Right to Buy) · Derivative 1,764 $3.20 Strike: $3.20 $5,644.80
Disclosure

SEC source: 0001641172-25-013794 · ownership.xml · derivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,526

Underlying: Common Stock · 1,764 shares

Expires 2035-06-04

F1 · derivative.exercise_date: 100% vesting upon one year from date of grant.

Read SEC document
January 02, 2025 Filed Jan 3, 2025 00:46 UTC
Patel Mahesh V.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 16,371 $4.86 Strike: $4.86 $79,563.06
Disclosure

SEC source: 0001493152-25-000121 · ownership.xml · derivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,039

Underlying: Common Stock · 16,371 shares

Expires 2035-01-02

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on January 2, 2026, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

Read SEC document
December 23, 2024 Filed Dec 31, 2024 01:04 UTC
Patel Mahesh V.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 26,691 $4.80 Strike: $4.80 $128,116.80
Disclosure

SEC source: 0001493152-24-052577 · ownership.xml · derivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,039

Underlying: Common Stock · 26,691 shares

Expires 2034-12-23

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on December 23, 2025, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

Read SEC document
December 23, 2024 Filed Dec 31, 2024 01:03 UTC
Fogarty KristaPrincipal Accounting Officer
GrantStock Option (Right to Buy) · Derivative 5,943 $4.80 Strike: $4.80 $28,526.40
Disclosure

SEC source: 0001493152-24-052575 · ownership.xml · derivative · entry 1

Fogarty Krista · CIK 0001906986 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,460

Underlying: Common Stock · 5,943 shares

Expires 2034-12-23

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on December 23, 2025, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

Read SEC document
December 23, 2024 Filed Jan 3, 2025 00:47 UTC Amendment
Patel Mahesh V.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 10,320 $4.80 Strike: $4.80 $49,536.00
Disclosure

SEC source: 0001493152-25-000123 · ownership.xml · derivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,688

Underlying: Common Stock · 10,320 shares

Expires 2034-12-23

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on December 23, 2025, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

Read SEC document
June 05, 2024 Filed Jun 7, 2024 21:48 UTC GrantStock Option (Right to Buy) · Derivative 1,764 $7.05 Strike: $7.05 $12,436.20
Disclosure

SEC source: 0001493152-24-023215 · ownership.xml · derivative · entry 1

Papapetropoulos Spyros · CIK 0001832694 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,410

Underlying: Common Stock · 1,764 shares

Expires 2034-06-05

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
June 05, 2024 Filed Jun 7, 2024 21:45 UTC GrantCommon Stock (Right to Buy) · Derivative 1,764 $7.05 Strike: $7.05 $12,436.20
Disclosure

SEC source: 0001493152-24-023213 · ownership.xml · derivative · entry 1

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,938

Underlying: Common Stock · 1,764 shares

Expires 2035-06-05

Read SEC document
June 05, 2024 Filed Jun 7, 2024 21:41 UTC GrantCommon Stock (Right to Buy) · Derivative 1,764 $7.05 Strike: $7.05 $12,436.20
Disclosure

SEC source: 0001493152-24-023209 · ownership.xml · derivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,938

Underlying: Common Stock · 1,764 shares

Expires 2034-06-05

Read SEC document
June 05, 2024 Filed Jun 7, 2024 21:43 UTC
Jene Jill M.Director
GrantStock Option (Right to Buy) · Derivative 1,764 $7.05 Strike: $7.05 $12,436.20
Disclosure

SEC source: 0001493152-24-023211 · ownership.xml · derivative · entry 1

Jene Jill M. · CIK 0001742105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,410

Underlying: Common Stock · 1,764 shares

Expires 2034-06-05

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
June 05, 2024 Filed Jun 7, 2024 21:39 UTC GrantCommon Stock (Right to Buy) · Derivative 1,764 $7.05 Strike: $7.05 $12,436.20
Disclosure

SEC source: 0001493152-24-023207 · ownership.xml · derivative · entry 1

Fink Jeffrey Arvin · CIK 0001595930 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,938

Underlying: Common Stock · 1,764 shares

Expires 2034-06-05

Read SEC document
March 08, 2024 Filed Mar 12, 2024 21:53 UTC
Patel Mahesh V.Director · CEO and President
GrantCommon Stock 4,893 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-009707 · ownership.xml · nonDerivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,311

F1 · shares: Restricted stock units subject to vesting whereby 1/3 of the shares subject to the award will vest on the one-year anniversary of March 8, 2025, while the remaining 2/3 of the shares subject to the award will vest semi-annually on a prorated basis over the following two years.

Read SEC document
March 08, 2024 Filed Mar 12, 2024 21:51 UTC
Fogarty KristaPrincipal Accounting Officer
GrantCommon Stock 991 $0.00 $0.00
Disclosure

SEC source: 0001493152-24-009705 · ownership.xml · nonDerivative · entry 1

Fogarty Krista · CIK 0001906986 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,727

F1 · shares: Restricted stock unit subject to vesting whereby 1/3 of the shares subject to the award will vest on the one-year anniversary of March 8, 2025, while the remaining 2/3 of the shares subject to the award will vest semi-annually on a prorated basis over the following two years.

Read SEC document
May 25, 2023 Filed May 25, 2023 19:10 UTC
Patel Mahesh V.Director · CEO and President
PurchaseCommon Stock 8,706 $5.03 $43,791.18
Disclosure

SEC source: 0001493152-23-019050 · ownership.xml · nonDerivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,418

F1 · balance_after: Prior to May 11, 2023, Mr. Patel held 1,678,090 shares of common stock. On May 11, 2023, the Company effected a reverse stock split at a ratio of 1-for17, which resulted in a change in Mr. Patel's shares of common stock to 98,712 as of May 11, 2023.

Read SEC document
May 10, 2023 Filed May 12, 2023 20:36 UTC GrantCommon Stock (Right to Buy) · Derivative 30,000 $0.27 Strike: $0.27 $7,968.00
Disclosure

SEC source: 0001493152-23-016692 · ownership.xml · derivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-10

Read SEC document
May 10, 2023 Filed May 12, 2023 20:37 UTC GrantStock Option (Right to Buy) · Derivative 30,000 $0.27 Strike: $0.27 $7,968.00
Disclosure

SEC source: 0001493152-23-016695 · ownership.xml · derivative · entry 1

Papapetropoulos Spyros · CIK 0001832694 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-10

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
May 10, 2023 Filed May 12, 2023 20:35 UTC GrantCommon Stock (Right to Buy) · Derivative 30,000 $0.27 Strike: $0.27 $7,968.00
Disclosure

SEC source: 0001493152-23-016690 · ownership.xml · derivative · entry 1

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-10

Read SEC document
May 10, 2023 Filed May 12, 2023 20:33 UTC GrantCommon Stock (Right to Buy) · Derivative 30,000 $0.27 Strike: $0.27 $7,968.00
Disclosure

SEC source: 0001493152-23-016684 · ownership.xml · derivative · entry 1

Fink Jeffrey Arvin · CIK 0001595930 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-10

Read SEC document
May 10, 2023 Filed May 12, 2023 20:34 UTC
Jene Jill M.Director
GrantStock Option (Right to Buy) · Derivative 30,000 $0.27 Strike: $0.27 $7,968.00
Disclosure

SEC source: 0001493152-23-016685 · ownership.xml · derivative · entry 1

Jene Jill M. · CIK 0001742105 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-10

F1 · derivative.exercise_date: 100% vesting one year from date of grant.

Read SEC document
March 24, 2023 Filed Mar 24, 2023 21:28 UTC
Patel Mahesh V.Director · CEO and President
PurchaseCommon Stock 150,000 $0.32 $48,000.00
Disclosure

SEC source: 0001493152-23-008943 · ownership.xml · nonDerivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,678,090

Read SEC document
March 20, 2023 Filed Mar 20, 2023 22:51 UTC PurchaseCommon Stock 4,000 $0.34 $1,360.00
Disclosure

SEC source: 0001493152-23-008304 · ownership.xml · nonDerivative · entry 1

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,125

Read SEC document
March 17, 2023 Filed Mar 17, 2023 20:31 UTC
Patel Mahesh V.Director · CEO and President
PurchaseCommon Stock 50,000 $0.33 $16,500.00
Disclosure

SEC source: 0001493152-23-008087 · ownership.xml · nonDerivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,528,090

Read SEC document
January 03, 2023 Filed Jan 4, 2023 17:06 UTC
Patel Mahesh V.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 300,000 $0.41 Strike: $0.41 $123,000.00
Disclosure

SEC source: 0001493152-23-000274 · ownership.xml · derivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,542,395

Underlying: Common Stock · 300,000 shares

Expires 2033-01-03

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on the one year anniversary of January 3,2024, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorate basis over the following two years.

Read SEC document
December 22, 2022 Filed Dec 23, 2022 00:20 UTC
Patel Mahesh V.Director · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 112,500 $0.41 Strike: $0.41 $46,125.00
Disclosure

SEC source: 0001493152-22-036373 · ownership.xml · derivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,242,395

Underlying: Common Stock · 112,500 shares

Expires 2032-12-22

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on the one year anniversary of December 22, 2023, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

Read SEC document
December 22, 2022 Filed Dec 23, 2022 00:18 UTC
Fogarty KristaPrincipal Accounting Officer
GrantStock Option (Right to Buy) · Derivative 91,850 $0.41 Strike: $0.41 $37,658.50
Disclosure

SEC source: 0001493152-22-036371 · ownership.xml · derivative · entry 1

Fogarty Krista · CIK 0001906986 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,850

Underlying: Common Stock · 91,850 shares

Expires 2032-12-22

F1 · derivative.expiration_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on the one year anniversary of December 22, 2023, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

Read SEC document
November 22, 2022 Filed Nov 28, 2022 21:33 UTC PurchaseCommon stock 21,739 $0.47 $10,217.33
Disclosure

SEC source: 0001493152-22-033841 · ownership.xml · nonDerivative · entry 1

Papapetropoulos Spyros · CIK 0001832694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,739

Read SEC document
November 14, 2022 Filed Nov 14, 2022 20:58 UTC
Patel Mahesh V.Director · CEO and President
PurchaseCommon Stock 75,000 $0.39 $29,250.00
Disclosure

SEC source: 0001493152-22-031971 · ownership.xml · nonDerivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,478,090

Read SEC document
November 01, 2022 Filed Nov 8, 2022 16:57 UTC
Nomikos GeorgeChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 125,000 $0.41 Strike: $0.41 $50,750.00
Disclosure

SEC source: 0001493152-22-030909 · ownership.xml · derivative · entry 1

Nomikos George · CIK 0001953799 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-11-01

F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on the one year anniversary of November 1, 2023, while the remaining 2/3 of the shares subject to the award will vest monthly on a prorated basis over the following two years.

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September 27, 2022 Filed Sep 27, 2022 22:53 UTC
Patel Mahesh V.Director · CEO and President
PurchaseCommon Stock 100,000 $0.41 $41,000.00
Disclosure

SEC source: 0001493152-22-026945 · ownership.xml · nonDerivative · entry 1

Patel Mahesh V. · CIK 0001579872 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,403,090

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June 08, 2022 Filed Jun 10, 2022 15:36 UTC GrantCommon Stock (Right to Buy) · Derivative 22,000 $0.92 Strike: $0.92 $20,240.00
Disclosure

SEC source: 0001493152-22-016406 · ownership.xml · derivative · entry 1

Ono Richard Dana · CIK 0001595989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,000

Underlying: Common Stock · 22,000 shares

Expires 2032-06-08

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June 08, 2022 Filed Jun 10, 2022 15:35 UTC GrantCommon Stock (Right to Buy) · Derivative 22,000 $0.92 Strike: $0.92 $20,240.00
Disclosure

SEC source: 0001493152-22-016405 · ownership.xml · derivative · entry 1

Higuchi John W. · CIK 0001579891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,490

Underlying: Common Stock · 22,000 shares

Expires 2032-06-08

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June 08, 2022 Filed Jun 10, 2022 15:33 UTC GrantCommon Stock (Right to Buy) · Derivative 22,000 $0.92 Strike: $0.92 $20,240.00
Disclosure

SEC source: 0001493152-22-016401 · ownership.xml · derivative · entry 1

Fink Jeffrey Arvin · CIK 0001595930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,000

Underlying: Common Stock · 22,000 shares

Expires 2032-06-08

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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.