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Nasdaq · USD

LSTA

LISATA THERAPEUTICS, INC.

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7814
SEC CIK
0000320017
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165

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
Feb 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
January 09, 2026 Filed Jan 13, 2026 21:09 UTC
Mazzo David JDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $1.97 $0.00
Disclosure

SEC source: 0001334549-26-000003 · wk-form4_1768338591.xml · derivative · entry 6

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2036-01-09

F4 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:09 UTC
Mazzo David JDirector · President & CEO
Tax withholdingCommon Stock 7,854 $1.97 $15,472.38
Disclosure

SEC source: 0001334549-26-000003 · wk-form4_1768338591.xml · nonDerivative · entry 5

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 311,890

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 124,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:09 UTC
Mazzo David JDirector · President & CEO
Tax withholdingCommon Stock 12,224 $1.97 $24,081.28
Disclosure

SEC source: 0001334549-26-000003 · wk-form4_1768338591.xml · nonDerivative · entry 4

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 319,744

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 124,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:09 UTC
Mazzo David JDirector · President & CEO
Tax withholdingCommon Stock 10,515 $1.97 $20,714.55
Disclosure

SEC source: 0001334549-26-000003 · wk-form4_1768338591.xml · nonDerivative · entry 3

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 331,968

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 124,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:09 UTC
Mazzo David JDirector · President & CEO
Tax withholdingCommon Stock 10,503 $1.97 $20,690.91
Disclosure

SEC source: 0001334549-26-000003 · wk-form4_1768338591.xml · nonDerivative · entry 2

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 342,483

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 124,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:09 UTC
Mazzo David JDirector · President & CEO
GrantCommon Stock 81,000 $0.00 $0.00
Disclosure

SEC source: 0001334549-26-000003 · wk-form4_1768338591.xml · nonDerivative · entry 1

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 352,986

F1 · shares: Represents 81,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

F2 · balance_after: Includes 124,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
GrantStock Option (Right to Buy) · Derivative 7,000 $0.00 Strike: $1.97 $0.00
Disclosure

SEC source: 0002020260-26-000003 · wk-form4_1768338533.xml · derivative · entry 6

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2036-01-09

F4 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
Tax withholdingCommon Stock 781 $1.97 $1,538.57
Disclosure

SEC source: 0002020260-26-000003 · wk-form4_1768338533.xml · nonDerivative · entry 5

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,311

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 20,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
Tax withholdingCommon Stock 1,137 $1.97 $2,239.89
Disclosure

SEC source: 0002020260-26-000003 · wk-form4_1768338533.xml · nonDerivative · entry 4

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,092

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 20,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
Tax withholdingCommon Stock 2,131 $1.97 $4,198.07
Disclosure

SEC source: 0002020260-26-000003 · wk-form4_1768338533.xml · nonDerivative · entry 3

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,229

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 20,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
Tax withholdingCommon Stock 2,131 $1.97 $4,198.07
Disclosure

SEC source: 0002020260-26-000003 · wk-form4_1768338533.xml · nonDerivative · entry 2

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,360

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 20,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0002020260-26-000003 · wk-form4_1768338533.xml · nonDerivative · entry 1

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,491

F1 · shares: Represents 15,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

F2 · balance_after: Includes 20,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Imam TariqSVP, Bus Dev, General Counsel
GrantStock Option (Right to Buy) · Derivative 7,000 $0.00 Strike: $1.97 $0.00
Disclosure

SEC source: 0002055011-26-000003 · wk-form4_1768338486.xml · derivative · entry 6

Imam Tariq · CIK 0002055011 · SVP, Bus Dev, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2036-01-09

F4 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Imam TariqSVP, Bus Dev, General Counsel
Tax withholdingCommon Stock 513 $1.97 $1,010.61
Disclosure

SEC source: 0002055011-26-000003 · wk-form4_1768338486.xml · nonDerivative · entry 5

Imam Tariq · CIK 0002055011 · SVP, Bus Dev, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,078

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 17,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Imam TariqSVP, Bus Dev, General Counsel
Tax withholdingCommon Stock 747 $1.97 $1,471.59
Disclosure

SEC source: 0002055011-26-000003 · wk-form4_1768338486.xml · nonDerivative · entry 4

Imam Tariq · CIK 0002055011 · SVP, Bus Dev, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,591

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 17,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Imam TariqSVP, Bus Dev, General Counsel
Tax withholdingCommon Stock 840 $1.97 $1,654.80
Disclosure

SEC source: 0002055011-26-000003 · wk-form4_1768338486.xml · nonDerivative · entry 3

Imam Tariq · CIK 0002055011 · SVP, Bus Dev, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,338

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 17,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Imam TariqSVP, Bus Dev, General Counsel
Tax withholdingCommon Stock 1,401 $1.97 $2,759.97
Disclosure

SEC source: 0002055011-26-000003 · wk-form4_1768338486.xml · nonDerivative · entry 2

Imam Tariq · CIK 0002055011 · SVP, Bus Dev, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,178

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 17,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:08 UTC
Imam TariqSVP, Bus Dev, General Counsel
GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0002055011-26-000003 · wk-form4_1768338486.xml · nonDerivative · entry 1

Imam Tariq · CIK 0002055011 · SVP, Bus Dev, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,579

F1 · shares: Represents 15,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

F2 · balance_after: Includes 17,750 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:07 UTC
Buck Kristen KEVP, R&D and CMO
GrantStock Option (Right to Buy) · Derivative 13,000 $0.00 Strike: $1.97 $0.00
Disclosure

SEC source: 0001879231-26-000003 · wk-form4_1768338428.xml · derivative · entry 6

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2036-01-09

F4 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:07 UTC
Buck Kristen KEVP, R&D and CMO
Tax withholdingCommon Stock 2,147 $1.97 $4,229.59
Disclosure

SEC source: 0001879231-26-000003 · wk-form4_1768338428.xml · nonDerivative · entry 5

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,462

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 38,000 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:07 UTC
Buck Kristen KEVP, R&D and CMO
Tax withholdingCommon Stock 3,221 $1.97 $6,345.37
Disclosure

SEC source: 0001879231-26-000003 · wk-form4_1768338428.xml · nonDerivative · entry 4

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,609

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 38,000 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:07 UTC
Buck Kristen KEVP, R&D and CMO
Tax withholdingCommon Stock 2,982 $1.97 $5,874.54
Disclosure

SEC source: 0001879231-26-000003 · wk-form4_1768338428.xml · nonDerivative · entry 3

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,830

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 38,000 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:07 UTC
Buck Kristen KEVP, R&D and CMO
Tax withholdingCommon Stock 2,982 $1.97 $5,874.54
Disclosure

SEC source: 0001879231-26-000003 · wk-form4_1768338428.xml · nonDerivative · entry 2

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,812

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 38,000 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:07 UTC
Buck Kristen KEVP, R&D and CMO
GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001879231-26-000003 · wk-form4_1768338428.xml · nonDerivative · entry 1

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,794

F1 · shares: Represents 25,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

F2 · balance_after: Includes 38,000 unvested restricted stock.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:05 UTC
HENSON HEIDIDirector
GrantCommon Stock 30,456 $0.00 $0.00
Disclosure

SEC source: 0001283301-26-000003 · wk-form4_1768338320.xml · nonDerivative · entry 1

HENSON HEIDI · CIK 0001283301 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,725

F1 · shares: Represents 30,456 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 9, 2027.

F2 · balance_after: Includes 30,456 unvested restricted stock units.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:06 UTC GrantCommon Stock 30,456 $0.00 $0.00
Disclosure

SEC source: 0001192621-26-000004 · wk-form4_1768338374.xml · nonDerivative · entry 1

KLOSK STEVEN M · CIK 0001192621 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,815

F1 · shares: Represents 30,456 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 9, 2027.

F2 · balance_after: Includes 30,456 unvested restricted stock units.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:04 UTC GrantCommon Stock 30,456 $0.00 $0.00
Disclosure

SEC source: 0001741455-26-000003 · wk-form4_1768338264.xml · nonDerivative · entry 1

Flowers Cynthia Louise · CIK 0001741455 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,446

F1 · shares: Represents 30,456 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 9, 2027.

F2 · balance_after: Includes 30,456 unvested restricted stock units.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:03 UTC GrantCommon Stock 30,456 $0.00 $0.00
Disclosure

SEC source: 0001373585-26-000003 · wk-form4_1768338222.xml · nonDerivative · entry 1

BROWN GREGORY B · CIK 0001373585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,659

F1 · shares: Represents 30,456 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 9, 2027.

F2 · balance_after: Includes 30,456 unvested restricted stock units.

Read SEC document
January 09, 2026 Filed Jan 13, 2026 21:02 UTC GrantCommon Stock 30,456 $0.00 $0.00
Disclosure

SEC source: 0001309653-26-000004 · wk-form4_1768338142.xml · nonDerivative · entry 1

AZAB MOHAMMAD · CIK 0001309653 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,925

F1 · shares: Represents 30,456 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 9, 2027.

F2 · balance_after: Includes 30,456 unvested restricted stock units.

Read SEC document
January 10, 2025 Filed Jan 13, 2025 21:10 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
Tax withholdingCommon Stock 416 $3.73 $1,551.68
Disclosure

SEC source: 0002020260-25-000002 · wk-form4_1736802649.xml · nonDerivative · entry 5

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,491

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F4 · balance_after: Includes 16,624 unvested restricted stock.

Read SEC document
January 10, 2025 Filed Jan 13, 2025 21:09 UTC
Buck Kristen KEVP, R&D and CMO
Tax withholdingCommon Stock 456 $3.73 $1,700.88
Disclosure

SEC source: 0001879231-25-000002 · wk-form4_1736802577.xml · nonDerivative · entry 5

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,794

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F4 · balance_after: Includes 36,750 unvested restricted stock.

Read SEC document
January 10, 2025 Filed Jan 13, 2025 21:08 UTC
Mazzo David JDirector · President & CEO
Tax withholdingCommon Stock 3,106 $3.73 $11,585.38
Disclosure

SEC source: 0001334549-25-000002 · wk-form4_1736802514.xml · nonDerivative · entry 5

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 264,690

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F4 · balance_after: Includes 122,750 unvested restricted stock.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:10 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
GrantStock Option (Right to Buy) · Derivative 7,000 $0.00 Strike: $3.80 $0.00
Disclosure

SEC source: 0002020260-25-000002 · wk-form4_1736802649.xml · derivative · entry 6

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2035-01-09

F5 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:10 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
Tax withholdingCommon Stock 781 $3.80 $2,967.80
Disclosure

SEC source: 0002020260-25-000002 · wk-form4_1736802649.xml · nonDerivative · entry 4

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,907

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 17,357 unvested restricted stock.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:10 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
Tax withholdingCommon Stock 1,137 $3.80 $4,320.60
Disclosure

SEC source: 0002020260-25-000002 · wk-form4_1736802649.xml · nonDerivative · entry 3

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,688

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 17,357 unvested restricted stock.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:10 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
Tax withholdingCommon Stock 2,131 $3.80 $8,097.80
Disclosure

SEC source: 0002020260-25-000002 · wk-form4_1736802649.xml · nonDerivative · entry 2

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,825

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 17,357 unvested restricted stock.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:10 UTC
Nisco JamesSVP, Fin/Treas, Chief Actg Off
GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0002020260-25-000002 · wk-form4_1736802649.xml · nonDerivative · entry 1

Nisco James · CIK 0002020260 · SVP, Fin/Treas, Chief Actg Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,956

F1 · shares: Represents 15,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

F2 · balance_after: Includes 17,357 unvested restricted stock.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:09 UTC
Buck Kristen KEVP, R&D and CMO
GrantStock Option (Right to Buy) · Derivative 13,000 $0.00 Strike: $3.80 $0.00
Disclosure

SEC source: 0001879231-25-000002 · wk-form4_1736802577.xml · derivative · entry 6

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2035-01-09

F5 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third anniversaries of the grant date.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:09 UTC
Buck Kristen KEVP, R&D and CMO
Tax withholdingCommon Stock 1,908 $3.80 $7,250.40
Disclosure

SEC source: 0001879231-25-000002 · wk-form4_1736802577.xml · nonDerivative · entry 4

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,250

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 37,825 unvested restricted stock.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:09 UTC
Buck Kristen KEVP, R&D and CMO
Tax withholdingCommon Stock 2,863 $3.80 $10,879.40
Disclosure

SEC source: 0001879231-25-000002 · wk-form4_1736802577.xml · nonDerivative · entry 3

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,158

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 37,825 unvested restricted stock.

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January 09, 2025 Filed Jan 13, 2025 21:09 UTC
Buck Kristen KEVP, R&D and CMO
Tax withholdingCommon Stock 2,651 $3.80 $10,073.80
Disclosure

SEC source: 0001879231-25-000002 · wk-form4_1736802577.xml · nonDerivative · entry 2

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,021

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 37,825 unvested restricted stock.

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January 09, 2025 Filed Jan 13, 2025 21:09 UTC
Buck Kristen KEVP, R&D and CMO
GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001879231-25-000002 · wk-form4_1736802577.xml · nonDerivative · entry 1

Buck Kristen K · CIK 0001879231 · EVP, R&D and CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,672

F1 · shares: Represents 25,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

F2 · balance_after: Includes 37,825 unvested restricted stock.

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January 09, 2025 Filed Jan 13, 2025 21:08 UTC
Mazzo David JDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.80 $0.00
Disclosure

SEC source: 0001334549-25-000002 · wk-form4_1736802514.xml · derivative · entry 6

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2035-01-09

F5 · derivative.exercise_date: One-fourth of the shares underlying the stock options vest immediately on the grant date, with an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

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January 09, 2025 Filed Jan 13, 2025 21:08 UTC
Mazzo David JDirector · President & CEO
Tax withholdingCommon Stock 7,017 $3.80 $26,664.60
Disclosure

SEC source: 0001334549-25-000002 · wk-form4_1736802514.xml · nonDerivative · entry 4

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,796

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 129,433 unvested restricted stock.

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January 09, 2025 Filed Jan 13, 2025 21:08 UTC
Mazzo David JDirector · President & CEO
Tax withholdingCommon Stock 10,925 $3.80 $41,515.00
Disclosure

SEC source: 0001334549-25-000002 · wk-form4_1736802514.xml · nonDerivative · entry 3

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,813

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 129,433 unvested restricted stock.

Read SEC document
January 09, 2025 Filed Jan 13, 2025 21:08 UTC
Mazzo David JDirector · President & CEO
Tax withholdingCommon Stock 9,414 $3.80 $35,773.20
Disclosure

SEC source: 0001334549-25-000002 · wk-form4_1736802514.xml · nonDerivative · entry 2

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 285,738

F3 · shares: Shares withheld as payment of a tax liability on vesting of restricted stock.

F2 · balance_after: Includes 129,433 unvested restricted stock.

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January 09, 2025 Filed Jan 13, 2025 21:08 UTC
Mazzo David JDirector · President & CEO
GrantCommon Stock 81,000 $0.00 $0.00
Disclosure

SEC source: 0001334549-25-000002 · wk-form4_1736802514.xml · nonDerivative · entry 1

Mazzo David J · CIK 0001334549 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,152

F1 · shares: Represents 81,000 restricted stock awards granted under the Issuer's 2018 Equity Incentive Compensation Plan. The restricted stock awards vest in four equal installments, with one-fourth of the shares vesting on the date of grant and an additional one-fourth vesting on each of the first, second and third annual anniversaries of the grant date.

F2 · balance_after: Includes 129,433 unvested restricted stock.

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January 09, 2025 Filed Jan 13, 2025 21:07 UTC GrantCommon Stock 15,789 $0.00 $0.00
Disclosure

SEC source: 0001192621-25-000002 · wk-form4_1736802432.xml · nonDerivative · entry 1

KLOSK STEVEN M · CIK 0001192621 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,359

F1 · shares: Represents 15,789 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 9, 2026.

F2 · balance_after: Includes 15,789 unvested restricted stock units.

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January 09, 2025 Filed Jan 13, 2025 21:06 UTC GrantCommon Stock 15,789 $0.00 $0.00
Disclosure

SEC source: 0001373585-25-000002 · wk-form4_1736802363.xml · nonDerivative · entry 1

BROWN GREGORY B · CIK 0001373585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,203

F1 · shares: Represents 15,789 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 9, 2026.

F2 · balance_after: Includes 15,789 unvested restricted stock units.

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January 09, 2025 Filed Jan 13, 2025 21:03 UTC GrantCommon Stock 15,789 $0.00 $0.00
Disclosure

SEC source: 0001741455-25-000002 · wk-form4_1736802222.xml · nonDerivative · entry 1

Flowers Cynthia Louise · CIK 0001741455 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,990

F1 · shares: Represents 15,789 restricted stock units granted under the Issuer's 2018 Equity Incentive Compensation Plan which will vest on January 9, 2026.

F2 · balance_after: Includes 15,789 unvested restricted stock units.

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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.