Last 12 months
Inside the activity.
1 purchase rows · 173 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 5 |
| Dec 2025 | 0 | 6 |
| Jan 2026 | 0 | 10 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 16 |
| Apr 2026 | 0 | 23 |
| May 2026 | 1 | 24 |
| Jun 2026 | 0 | 37 |
| Jul 2026 | 0 | 33 |
| Aug 2026 | 0 | 6 |
| Sep 2026 | 0 | 3 |
| Oct 2026 | 0 | 10 |
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 |
|---|---|---|---|---|---|---|
| January 11, 2023 Filed Jan 13, 2023 17:19 UTC |
Lippe Robert AChief Operations Officer
|
GrantStock Option (Right to Buy) · Derivative | 106,838 | $0.00 Strike: $6.17 | $0.00 |
DisclosureSEC source: 0001104659-23-003885 · tm232332-7_4seq1.xml · derivative · entry 2 Lippe Robert A · CIK 0001600757 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,838 Underlying: Common Stock · 106,838 shares Expires 2033-01-11 F3 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on February 11, 2023 and on the last day of each month thereafter. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 17:19 UTC |
Lippe Robert AChief Operations Officer
|
GrantCommon Stock | 83,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-003885 · tm232332-7_4seq1.xml · nonDerivative · entry 1 Lippe Robert A · CIK 0001600757 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,359 F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: 25% of the RSUs shall vest on January 11, 2024 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:18 UTC |
Kaseta MichaelChief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 159,829 | $0.00 Strike: $6.17 | $0.00 |
DisclosureSEC source: 0001104659-23-003882 · tm232332-5_4seq1.xml · derivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,829 Underlying: Common Stock · 159,829 shares Expires 2033-01-11 F3 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on February 11, 2023 and on the last day of each month thereafter. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:18 UTC |
Kaseta MichaelChief Financial Officer
|
GrantCommon Stock | 124,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-003882 · tm232332-5_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,544 F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: 25% of the RSUs shall vest on January 11, 2024 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:16 UTC |
Moomaw ScottChief Commercial Officer
|
GrantStock Option (Right to Buy) · Derivative | 106,838 | $0.00 Strike: $6.17 | $0.00 |
DisclosureSEC source: 0001104659-23-003880 · tm232332-3_4seq1.xml · derivative · entry 2 Moomaw Scott · CIK 0001832592 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,838 Underlying: Common Stock · 106,838 shares Expires 2033-01-11 F3 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on February 11, 2023 and on the last day of each month thereafter. Read SEC document |
| January 11, 2023 Filed Jan 13, 2023 22:16 UTC |
Moomaw ScottChief Commercial Officer
|
GrantCommon Stock | 83,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-003880 · tm232332-3_4seq1.xml · nonDerivative · entry 1 Moomaw Scott · CIK 0001832592 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,143 F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: 25% of the RSUs shall vest on January 11, 2024 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 22:35 UTC |
JEFFS ROGERDirector · Chief Executive Officer
|
Exercise / conversionRestricted Stock Unit · Derivative | 15,807 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-001529 · tm232332-1_4seq1.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,807 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. F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 22:35 UTC |
JEFFS ROGERDirector · Chief Executive Officer
|
Exercise / conversionCommon Stock | 15,807 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-001529 · tm232332-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,249 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. F2 · shares: On January 3, 2022, the Reporting Person was granted 63,230 RSUs (the "2022 RSUs") with 25% vesting quarterly through the first anniversary of the grant date. As of January 3, 2023, the 2022 RSUs have fully vested. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F3 · balance_after: The number of securities shown to be beneficially owned following the transaction being reported in this Form 4 reflects a downward adjustment of 15,808 shares of common stock due to a previous clerical error in double counting a vested portion of the 2022 RSUs in that certain previous Form 4 filed by the Reporting Person on October 4, 2022. Read SEC document |
| October 03, 2022 Filed Oct 4, 2022 20:25 UTC |
JEFFS ROGERDirector · Chief Executive Officer
|
Exercise / conversionRestricted Stock Unit · Derivative | 47,423 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-105846 · tm2227425-1_4seq1.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,807 Underlying: Common Stock · 47,423 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. F1 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| October 03, 2022 Filed Oct 4, 2022 20:25 UTC |
JEFFS ROGERDirector · Chief Executive Officer
|
Exercise / conversionCommon Stock | 47,423 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-22-105846 · tm2227425-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: On January 3, 2022, the Reporting Person was granted 63,230 RSUs with 25% vesting quarterly through the first anniversary of the grant date. Of those RSUs, a total of 47,423 have vested through October 3, 2022. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document |
| September 13, 2022 Filed Sep 15, 2022 00:48 UTC |
Kaseta MichaelChief Financial Officer
|
PurchaseCommon Stock | 8,000 | $5.99 | $47,920.00 |
DisclosureSEC source: 0001104659-22-100139 · tm2225428-3_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,877 Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 00:17 UTC |
Schundler RussellGeneral Counsel
|
GrantCommon Stock | 32,000 | $5.69 | $182,160.00 |
DisclosureSEC source: 0001104659-22-098327 · tm2225428-2_4seq1.xml · nonDerivative · entry 2 Schundler Russell · CIK 0001854414 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,512 Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 00:17 UTC |
Schundler RussellGeneral Counsel
|
GrantCommon Stock | 600 | $5.61 | $3,365.94 |
DisclosureSEC source: 0001104659-22-098327 · tm2225428-2_4seq1.xml · nonDerivative · entry 1 Schundler Russell · CIK 0001854414 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,512 Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 00:14 UTC |
JEFFS ROGERDirector · Chief Executive Officer
|
PurchaseCommon Stock | 43,820 | $5.57 | $243,989.76 |
DisclosureSEC source: 0001104659-22-098326 · tm2225428-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,827 F1 · price: Price is the volume weighted average purchase price of all purchases made by the Reporting Person on the transaction date for prices ranging from $5.47 to $5.68. Read SEC document |
| September 06, 2022 Filed Sep 7, 2022 13:15 UTC |
Caligan Partners LPDirector · 10% owner · See Remarks
JOHNSON DAVID EDWARDDirector · 10% owner · See Remarks
|
PurchaseCommon Stock, $0.001 par value per share ("Common Stock") | 250,000 | $5.62 | $1,405,000.00 |
DisclosureSEC source: 0000902664-22-004182 · ownership.xml · nonDerivative · entry 1 Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 10,643,627 F1 · price: Price is the volume weighted average purchase price of all purchases by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $5.47 to $5.77. F2 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan. Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 00:44 UTC |
Schundler RussellGeneral Counsel
|
GrantCommon Stock | 2,166 | $4.90 | $10,623.15 |
DisclosureSEC source: 0001104659-22-097133 · tm2225015-5_4seq1.xml · nonDerivative · entry 1 Schundler Russell · CIK 0001854414 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,912 Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 00:36 UTC |
JEFFS ROGERDirector · Chief Executive Officer
|
PurchaseCommon Stock | 993 | $4.90 | $4,870.17 |
DisclosureSEC source: 0001104659-22-097129 · tm2225015-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,007 Read SEC document |
| August 31, 2022 Filed Sep 1, 2022 20:38 UTC |
Lippe Robert AChief Operations Officer
|
PurchaseCommon Stock | 1,918 | $4.90 | $9,406.83 |
DisclosureSEC source: 0001104659-22-097131 · tm2225015-3_4seq1.xml · nonDerivative · entry 1 Lippe Robert A · CIK 0001600757 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,026 F1 · balance_after: The number of securities shown to be beneficially owned following the transaction being reported in this Form 4 reflects an upward adjustment of 5,416 shares of common stock due to a previous clerical error in calculating the amount of securities beneficially owned following the adjustment provided in that certain previous Form 4 filed on May 25, 2022. Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 00:38 UTC |
Kaseta MichaelChief Financial Officer
|
PurchaseCommon Stock | 1,927 | $4.90 | $9,450.97 |
DisclosureSEC source: 0001104659-22-097130 · tm2225015-2_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,877 Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 00:41 UTC |
Moomaw ScottSVP, Commercial
|
PurchaseCommon Stock | 2,160 | $4.90 | $10,593.72 |
DisclosureSEC source: 0001104659-22-097132 · tm2225015-4_4seq1.xml · nonDerivative · entry 1 Moomaw Scott · CIK 0001832592 · SVP, Commercial 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,810 Read SEC document |
| August 31, 2022 Filed Apr 10, 2023 20:30 UTC Amendment |
Schundler RussellGeneral Counsel
|
GrantCommon Stock | 2,166 | $4.90 | $10,623.15 |
DisclosureSEC source: 0001104659-23-043608 · tm2311744-1_4aseq1.xml · nonDerivative · entry 1 Schundler Russell · CIK 0001854414 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 224,912 F2 · shares: This amendment is being filed solely to add this footnote 2. These shares of common stock were acquired on August 31, 2022 through the Liquidia Corporation 2020 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| August 31, 2022 Filed Apr 10, 2023 20:32 UTC Amendment |
JEFFS ROGERDirector · Chief Executive Officer
|
GrantCommon Stock | 993 | $4.90 | $4,870.17 |
DisclosureSEC source: 0001104659-23-043616 · tm2311744-4_4aseq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 116,007 F3 · shares: This amendment is being filed solely to add this footnote 3 and to correct the transaction code in box 3 above. These shares of common stock were acquired on August 31, 2022 through the Liquidia Corporation 2020 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| August 31, 2022 Filed Apr 10, 2023 16:30 UTC Amendment |
Lippe Robert AChief Operations Officer
|
GrantCommon Stock | 1,918 | $4.90 | $9,406.83 |
DisclosureSEC source: 0001104659-23-043611 · tm2311744-2_4aseq1.xml · nonDerivative · entry 1 Lippe Robert A · CIK 0001600757 · Chief Operations Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 98,026 F2 · shares: This amendment is being filed solely to add this footnote 2 and to correct the transaction code in box 3 above. These shares of common stock were acquired on August 31, 2022 through the Liquidia Corporation 2020 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). F1 · balance_after: The number of securities shown to be beneficially owned following the transaction being reported in this Form 4 reflects an upward adjustment of 5,416 shares of common stock due to a previous clerical error in calculating the amount of securities beneficially owned following the adjustment provided in that certain previous Form 4 filed on May 25, 2022. Read SEC document |
| August 31, 2022 Filed Apr 10, 2023 20:31 UTC Amendment |
Kaseta MichaelChief Financial Officer
|
GrantCommon Stock | 1,927 | $4.90 | $9,450.97 |
DisclosureSEC source: 0001104659-23-043614 · tm2311744-3_4aseq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,877 F1 · shares: This amendment is being filed solely to add this footnote 1 and to correct the transaction code in box 3 above. These shares of common stock were acquired on August 31, 2022 through the Liquidia Corporation 2020 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| August 31, 2022 Filed Apr 10, 2023 20:33 UTC Amendment |
Moomaw ScottChief Commercial Officer
|
GrantCommon Stock | 2,160 | $4.90 | $10,593.72 |
DisclosureSEC source: 0001104659-23-043617 · tm2311744-5_4aseq.xml · nonDerivative · entry 1 Moomaw Scott · CIK 0001832592 · Chief Commercial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,810 F1 · shares: This amendment is being filed solely to add this footnote 1 and to correct the transaction code in box 3 above. These shares of common stock were acquired on August 31, 2022 through the Liquidia Corporation 2020 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c). Read SEC document |
| July 28, 2022 Filed Aug 1, 2022 22:39 UTC |
Schundler RussellGeneral Counsel
|
GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001104659-22-084863 · tm2222301-4_4seq1.xml · derivative · entry 1 Schundler Russell · CIK 0001854414 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2032-07-28 F1 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on August 31, 2022, and on the last day of each month thereafter. Read SEC document |
| July 28, 2022 Filed Aug 1, 2022 18:38 UTC |
Lippe Robert AChief Operations Officer
|
GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001104659-22-084862 · tm2222301-3_4seq1.xml · derivative · entry 1 Lippe Robert A · CIK 0001600757 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2032-07-28 F1 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on August 31, 2022, and on the last day of each month thereafter. Read SEC document |
| July 28, 2022 Filed Aug 1, 2022 22:36 UTC |
Kaseta MichaelChief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001104659-22-084859 · tm2222301-1_4seq1.xml · derivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2032-07-28 F1 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on August 31, 2022, and on the last day of each month thereafter. Read SEC document |
| July 28, 2022 Filed Aug 1, 2022 22:37 UTC |
Moomaw ScottSVP, Commercial
|
GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001104659-22-084860 · tm2222301-2_4seq1.xml · derivative · entry 1 Moomaw Scott · CIK 0001832592 · SVP, Commercial 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2032-07-28 F1 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on August 31, 2022, and on the last day of each month thereafter. Read SEC document |
| July 18, 2022 Filed Jul 20, 2022 20:31 UTC |
Saggar RajeevChief Medical Officer
|
GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $3.73 | $0.00 |
DisclosureSEC source: 0001104659-22-081182 · tm2221469-2_4seq1.xml · derivative · entry 2 Saggar Rajeev · CIK 0001935638 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2032-07-18 F3 · derivative.exercise_date: The option vests over a four-year period with 25% of the shares of common stock underlying the option vesting on the one-year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter, subject to the Reporting Person's employment with the Issuer on each such vesting date. Read SEC document |
| July 18, 2022 Filed Jul 20, 2022 20:31 UTC |
Saggar RajeevChief Medical Officer
|
GrantCommon Stock | 93,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-081182 · tm2221469-2_4seq1.xml · nonDerivative · entry 1 Saggar Rajeev · CIK 0001935638 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,834 F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: 50% of the RSUs shall vest on July 18, 2023 and the remaining RSUs shall vest ratably on a quarterly basis over two years thereafter, subject to the Reporting Person's employment with the Issuer on each such vesting date; provided, however, that the RSUs shall become fully vested in the event that the Reporting Person's employment is terminated due to his death or Disability or is terminated by the Company without Cause (as such terms are defined in the Reporting Person's Employment Agreement). Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:33 UTC |
SINGH RAMANDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073533 · tm2219055-6_4seq1.xml · derivative · entry 1 SINGH RAMAN · CIK 0001747589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-17 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:31 UTC |
Manning Paul BDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073527 · tm2219055-3_4seq.xml · derivative · entry 1 Manning Paul B · CIK 0001494695 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-17 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:33 UTC |
KIRSCH ARTHUR SDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073534 · tm2219055-7_4seq1.xml · derivative · entry 1 Kirsch Arthur S · CIK 0001290976 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-17 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:34 UTC |
JEFFS ROGERDirector · Chief Executive Officer
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 931,475 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073537 · tm2219055-9_4seq1.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 931,475 Underlying: Common Stock · 931,475 shares Expires 2032-06-17 F1 · derivative.exercise_date: 25% of the grant will become vested and exercisable or settled, as applicable, on January 3, 2023, and the balance will become vested and exercisable or settled, as applicable, in equal monthly installments over the following thirty-six (36) months. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:34 UTC |
Bloch Stephen MDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073536 · tm2219055-8_4seq1.xml · derivative · entry 1 Bloch Stephen M · CIK 0001400308 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-22 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:32 UTC |
Horobin JoannaDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073532 · tm2219055-5_4seq1.xml · derivative · entry 1 Horobin Joanna · CIK 0001560959 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-17 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:32 UTC |
Rielly-Gauvin KatherineDirector
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073531 · tm2219055-4_4seq1.xml · derivative · entry 1 Rielly-Gauvin Katherine · CIK 0001791718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-17 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:31 UTC |
JOHNSON DAVID EDWARDDirector · 10% owner
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073526 · tm2219055-2_4seq1.xml · derivative · entry 1 JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-17 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:30 UTC |
deGoa DamianDirector
|
GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $4.86 | $0.00 |
DisclosureSEC source: 0001104659-22-073525 · tm2219055-1_4seq1.xml · derivative · entry 1 deGoa Damian · CIK 0001836165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-17 F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025. Read SEC document |
| May 31, 2022 Filed Jun 1, 2022 21:50 UTC |
Kaseta MichaelChief Financial Officer
|
PurchaseCommon Stock | 5,061 | $4.00 | $20,244.00 |
DisclosureSEC source: 0001104659-22-067218 · tm2217519-1_4seq1.xml · nonDerivative · entry 2 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,950 Read SEC document |
| May 31, 2022 Filed Jun 1, 2022 21:50 UTC |
Kaseta MichaelChief Financial Officer
|
PurchaseCommon Stock | 13,639 | $4.01 | $54,692.39 |
DisclosureSEC source: 0001104659-22-067218 · tm2217519-1_4seq1.xml · nonDerivative · entry 1 Kaseta Michael · CIK 0001724346 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,889 Read SEC document |
| May 25, 2022 Filed May 26, 2022 12:47 UTC |
Caligan Partners LPDirector · 10% owner · See Remarks
JOHNSON DAVID EDWARDDirector · 10% owner · See Remarks
|
PurchaseCommon Stock, $0.001 par value per share ("Common Stock") | 79,400 | $3.40 | $269,960.00 |
DisclosureSEC source: 0000902664-22-003105 · ownership.xml · nonDerivative · entry 1 Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 10,393,627 F1 · price: Price is the volume weighted average purchase price of all purchases by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $3.32 to $3.48. F2 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan. Read SEC document |
| May 24, 2022 Filed May 25, 2022 23:27 UTC |
JEFFS ROGERDirector · Chief Executive Officer
|
PurchaseCommon Stock | 28,000 | $3.53 | $98,812.00 |
DisclosureSEC source: 0001104659-22-064800 · tm2216924-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 46,595 F1 · ownership.nature: The securities are held by Roger A. Jeffs Living Trust UAD 2/29/2000 (the "Trust"). The Reporting Person is the trustee of the Trust. Read SEC document |
| May 24, 2022 Filed May 25, 2022 19:28 UTC |
Lippe Robert AChief Operations Officer
|
PurchaseCommon Stock | 29,628 | $3.38 | $99,997.46 |
DisclosureSEC source: 0001104659-22-064802 · tm2216924-2_4seq1.xml · nonDerivative · entry 1 Lippe Robert A · CIK 0001600757 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,692 F1 · balance_after: The number of securities shown to be beneficially owned following the transaction being reported in this Form 4 reflects a downward adjustment of 5,416 shares of common stock due to a previous clerical error in calculating the amount of securities beneficially owned from the issuance of certain restricted stock units in a previous Form 4 filed on March 30, 2020, which calculation error was also reflected on Forms 4 subsequently filed. Read SEC document |
| May 19, 2022 Filed May 19, 2022 22:16 UTC |
Caligan Partners LPDirector · 10% owner · See Remarks
JOHNSON DAVID EDWARDDirector · 10% owner · See Remarks
|
PurchaseCommon Stock | 85,000 | $5.81 | $493,850.00 |
DisclosureSEC source: 0000902664-22-003037 · ownership.xml · nonDerivative · entry 3 Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 10,314,227 F3 · price: Price is the volume weighted average purchase price of all purchases by the Reporting Persons on the transaction date for prices ranging from $5.53 to $5.92. F4 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan. Read SEC document |
| May 18, 2022 Filed May 19, 2022 22:16 UTC |
Caligan Partners LPDirector · 10% owner · See Remarks
JOHNSON DAVID EDWARDDirector · 10% owner · See Remarks
|
PurchaseCommon Stock | 76,404 | $5.89 | $450,019.56 |
DisclosureSEC source: 0000902664-22-003037 · ownership.xml · nonDerivative · entry 2 Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 10,229,227 F2 · price: Price is the volume weighted average purchase price of all purchases by the Reporting Persons on the transaction date for prices ranging from $5.56 to $6.07. F4 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan. Read SEC document |
| May 17, 2022 Filed May 19, 2022 22:16 UTC |
Caligan Partners LPDirector · 10% owner · See Remarks
JOHNSON DAVID EDWARDDirector · 10% owner · See Remarks
|
PurchaseCommon Stock, $0.001 par value per share ("Common Stock") | 59,700 | $5.99 | $357,603.00 |
DisclosureSEC source: 0000902664-22-003037 · ownership.xml · nonDerivative · entry 1 Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 10,152,823 F1 · price: Price is the volume weighted average purchase price of all purchases by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $5.75 to $6.08. F4 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan. Read SEC document |
| April 18, 2022 Filed Apr 18, 2022 22:29 UTC |
Caligan Partners LPDirector · 10% owner · See Remarks
JOHNSON DAVID EDWARD10% owner · See Remarks
|
PurchaseCommon Stock, $0.001 par value per share | 1,764,705 | $5.10 | $8,999,995.50 |
DisclosureSEC source: 0000902664-22-002594 · ownership.xml · nonDerivative · entry 1 Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 10,093,123 F1 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan Partners LP ("Caligan") serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan. Read SEC document |
| April 18, 2022 Filed Apr 19, 2022 20:30 UTC |
Manning Paul BDirector
|
PurchaseCommon Stock | 392,156 | $5.10 | $1,999,995.60 |
DisclosureSEC source: 0001104659-22-047360 · tm2213052-1_4seq1.xml · nonDerivative · entry 1 Manning Paul B · CIK 0001494695 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,156 F1 · kind: Represents shares of common stock purchased by the Reporting Person at the public offering price in connection with the Issuer's firm commitment underwritten public offering of common stock, which closed on April 18, 2022, and such shares of common stock are subject to a lock up agreement between the Reporting Person and BofA Securities, Inc.., pursuant to which the shares cannot be sold for 90 days following April 12, 2022. 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.