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Nasdaq · USD

LXRX

LEXICON PHARMACEUTICALS, INC.

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Tapewire entity
4970
SEC CIK
0001062822
Parsed reports
368

Last 12 months

Inside the activity.

8 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 202680
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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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
May 13, 2024 Filed May 13, 2024 20:00 UTC GrantRestricted Stock Units · Derivative 36,810 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-015076 · form4.xml · derivative · entry 2

Amouyal Philippe · CIK 0001376854 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,810

Underlying: Common Stock · 36,810 shares

Expires not disclosed

F2 · derivative.exercise_date: Restricted stock unit vests with respect to 100% of the shares subject to the restricted stock unit on the first anniversary of the grant date.

F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
May 13, 2024 Filed May 13, 2024 20:00 UTC GrantStock Option (Right to Buy) · Derivative 44,906 $0.00 Strike: $1.79 $0.00
Disclosure

SEC source: 0001127602-24-015076 · form4.xml · derivative · entry 1

Amouyal Philippe · CIK 0001376854 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,906

Underlying: Common Stock · 44,906 shares

Expires 2034-05-13

F1 · derivative.exercise_date: Option vests with respect to one third of the shares subject to the option on each of the first three anniversaries of the grant date.

Read SEC document
May 10, 2024 Filed May 14, 2024 21:17 UTC
Artal International S.C.A.Director · 10% owner
Wittouck AmauryDirector · 10% owner
Artal Group S.A.Director · 10% owner
Westend S.A.Director · 10% owner
Invus Public Equities, L.P.Director · 10% owner
Invus, L.P.Director · 10% owner
Invus Advisors, L.L.C.Director · 10% owner
Exercise / conversionSeries A Convertible Preferred Stock · Derivative 1,150,922 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-059789 · ownership.xml · derivative · entry 5

Artal International S.C.A. · CIK 0001218180 · Director · 10% owner

Wittouck Amaury · CIK 0001841311 · Director · 10% owner

Artal International Management S.A. · CIK 0001522131 · Director · 10% owner

Artal Group S.A. · CIK 0001053906 · Director · 10% owner

Westend S.A. · CIK 0001283968 · Director · 10% owner

Stichting Administratiekantoor Westend · CIK 0001460840 · Director · 10% owner

Invus Public Equities, L.P. · CIK 0001340097 · Director · 10% owner

Invus, L.P. · CIK 0001404570 · Director · 10% owner

Invus Public Equities Advisors, LLC · CIK 0001340096 · Director · 10% owner

Invus Advisors, L.L.C. · CIK 0001404553 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 57,546,100 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: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F1 · kind: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F1 · derivative.exercise_date: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F1 · derivative.expiration_date: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F2 · ownership.nature: These securities are directly held by Artal International S.C.A.

F5 · ownership.nature: Invus Public Equities Advisors, LLC is the general partner of Invus Public Equities, L.P., and Invus Advisors, L.L.C. is the general partner of Invus, L.P. The Geneva branch of Artal International S.C.A. is the managing member of Invus Public Equities Advisors, LLC. Artal International S.C.A. is the managing member of Invus Advisors, L.L.C. The managing partner of Artal International S.C.A. is Artal International Management S.A. The sole stockholder of Artal International Management S.A. is Artal Group S.A. The parent company of Artal Group S.A. is Westend S.A. The majority stockholder of Westend S.A. is Stichting Administratiekantoor Westend (the "Stichting"). Mr. Amaury Wittouck is the sole member of the board of the Stichting.

F6 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
May 10, 2024 Filed May 14, 2024 21:17 UTC
Artal International S.C.A.Director · 10% owner
Wittouck AmauryDirector · 10% owner
Artal Group S.A.Director · 10% owner
Westend S.A.Director · 10% owner
Invus Public Equities, L.P.Director · 10% owner
Invus, L.P.Director · 10% owner
Invus Advisors, L.L.C.Director · 10% owner
GrantSeries A Convertible Preferred Stock · Derivative 1,150,922 $108.50 $124,875,037.00
Disclosure

SEC source: 0000950170-24-059789 · ownership.xml · derivative · entry 4

Artal International S.C.A. · CIK 0001218180 · Director · 10% owner

Wittouck Amaury · CIK 0001841311 · Director · 10% owner

Artal International Management S.A. · CIK 0001522131 · Director · 10% owner

Artal Group S.A. · CIK 0001053906 · Director · 10% owner

Westend S.A. · CIK 0001283968 · Director · 10% owner

Stichting Administratiekantoor Westend · CIK 0001460840 · Director · 10% owner

Invus Public Equities, L.P. · CIK 0001340097 · Director · 10% owner

Invus, L.P. · CIK 0001404570 · Director · 10% owner

Invus Public Equities Advisors, LLC · CIK 0001340096 · Director · 10% owner

Invus Advisors, L.L.C. · CIK 0001404553 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,150,922

Underlying: Common Stock · 57,546,100 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F1 · kind: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F1 · price: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F1 · derivative.exercise_date: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F1 · derivative.expiration_date: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F2 · ownership.nature: These securities are directly held by Artal International S.C.A.

F5 · ownership.nature: Invus Public Equities Advisors, LLC is the general partner of Invus Public Equities, L.P., and Invus Advisors, L.L.C. is the general partner of Invus, L.P. The Geneva branch of Artal International S.C.A. is the managing member of Invus Public Equities Advisors, LLC. Artal International S.C.A. is the managing member of Invus Advisors, L.L.C. The managing partner of Artal International S.C.A. is Artal International Management S.A. The sole stockholder of Artal International Management S.A. is Artal Group S.A. The parent company of Artal Group S.A. is Westend S.A. The majority stockholder of Westend S.A. is Stichting Administratiekantoor Westend (the "Stichting"). Mr. Amaury Wittouck is the sole member of the board of the Stichting.

F6 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
May 10, 2024 Filed May 14, 2024 21:17 UTC
Artal International S.C.A.Director · 10% owner
Wittouck AmauryDirector · 10% owner
Artal Group S.A.Director · 10% owner
Westend S.A.Director · 10% owner
Invus Public Equities, L.P.Director · 10% owner
Invus, L.P.Director · 10% owner
Invus Advisors, L.L.C.Director · 10% owner
Exercise / conversionCommon Stock 57,546,100 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-059789 · ownership.xml · nonDerivative · entry 1

Artal International S.C.A. · CIK 0001218180 · Director · 10% owner

Wittouck Amaury · CIK 0001841311 · Director · 10% owner

Artal International Management S.A. · CIK 0001522131 · Director · 10% owner

Artal Group S.A. · CIK 0001053906 · Director · 10% owner

Westend S.A. · CIK 0001283968 · Director · 10% owner

Stichting Administratiekantoor Westend · CIK 0001460840 · Director · 10% owner

Invus Public Equities, L.P. · CIK 0001340097 · Director · 10% owner

Invus, L.P. · CIK 0001404570 · Director · 10% owner

Invus Public Equities Advisors, LLC · CIK 0001340096 · Director · 10% owner

Invus Advisors, L.L.C. · CIK 0001404553 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 136,180,481

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 · kind: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F1 · price: On March 13, 2024, Artal International S.C.A. acquired 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share. Each share of Preferred Stock would automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions (the "Conditions"); however, absent the satisfaction of such conditions, the shares were not convertible and as such, the Preferred Stock was originally reported on Table I. On May 10, 2024, all Conditions were met, and the 1,150,922 shares of Preferred Stock became derivative securities and automatically converted into 57,546,100 shares of Issuer Common Stock.

F2 · ownership.nature: These securities are directly held by Artal International S.C.A.

F5 · ownership.nature: Invus Public Equities Advisors, LLC is the general partner of Invus Public Equities, L.P., and Invus Advisors, L.L.C. is the general partner of Invus, L.P. The Geneva branch of Artal International S.C.A. is the managing member of Invus Public Equities Advisors, LLC. Artal International S.C.A. is the managing member of Invus Advisors, L.L.C. The managing partner of Artal International S.C.A. is Artal International Management S.A. The sole stockholder of Artal International Management S.A. is Artal Group S.A. The parent company of Artal Group S.A. is Westend S.A. The majority stockholder of Westend S.A. is Stichting Administratiekantoor Westend (the "Stichting"). Mr. Amaury Wittouck is the sole member of the board of the Stichting.

F6 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:21 UTC Exercise / conversionRestricted Stock Units · Derivative 8,032 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013558 · form4.xml · derivative · entry 2

Swain Judith L · CIK 0001413573 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,032 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_date: Restricted stock unit vests with respect to 100% of the shares subject to the restricted stock unit on the first anniversary of the grant date.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:21 UTC Exercise / conversionCommon Stock 8,032 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013558 · form4.xml · nonDerivative · entry 1

Swain Judith L · CIK 0001413573 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,364

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

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:20 UTC Exercise / conversionRestricted Stock Units · Derivative 8,032 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013557 · form4.xml · derivative · entry 2

SOBECKI CHRISTOPHER J · CIK 0001053892 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,032 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_date: Restricted stock unit vests with respect to 100% of the shares subject to the restricted stock unit on the first anniversary of the grant date.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:20 UTC Exercise / conversionCommon Stock 8,032 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013557 · form4.xml · nonDerivative · entry 1

SOBECKI CHRISTOPHER J · CIK 0001053892 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,055

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

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:18 UTC Exercise / conversionRestricted Stock Units · Derivative 8,032 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013556 · form4.xml · derivative · entry 2

LEFKOWITZ ROBERT J MD · CIK 0001226385 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,032 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_date: Restricted stock unit vests with respect to 100% of the shares subject to the restricted stock unit on the first anniversary of the grant date.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:18 UTC Exercise / conversionCommon Stock 8,032 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013556 · form4.xml · nonDerivative · entry 1

LEFKOWITZ ROBERT J MD · CIK 0001226385 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,364

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

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:17 UTC
BARKER SAM LDirector
Exercise / conversionRestricted Stock Units · Derivative 8,032 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013554 · form4.xml · derivative · entry 2

BARKER SAM L · CIK 0001226877 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,032 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_date: Restricted stock unit vests with respect to 100% of the shares subject to the restricted stock unit on the first anniversary of the grant date.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:17 UTC
BARKER SAM LDirector
Exercise / conversionCommon Stock 8,032 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013554 · form4.xml · nonDerivative · entry 1

BARKER SAM L · CIK 0001226877 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,649

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

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:17 UTC Exercise / conversionRestricted Stock Units · Derivative 8,032 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013555 · form4.xml · derivative · entry 3

DEBBANE RAYMOND · CIK 0001053890 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,032 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_date: Restricted stock unit vests with respect to 100% of the shares subject to the restricted stock unit on the first anniversary of the grant date.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:17 UTC Exercise / conversionCommon Stock 8,032 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013555 · form4.xml · nonDerivative · entry 1

DEBBANE RAYMOND · CIK 0001053890 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,348,879

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

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:16 UTC Exercise / conversionRestricted Stock Units · Derivative 8,032 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013553 · form4.xml · derivative · entry 2

Amouyal Philippe · CIK 0001376854 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,032 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_date: Restricted stock unit vests with respect to 100% of the shares subject to the restricted stock unit on the first anniversary of the grant date.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
April 28, 2024 Filed Apr 29, 2024 20:16 UTC Exercise / conversionCommon Stock 8,032 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-013553 · form4.xml · nonDerivative · entry 1

Amouyal Philippe · CIK 0001376854 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248,364

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

Read SEC document
March 13, 2024 Filed Mar 14, 2024 01:22 UTC
Artal International S.C.A.Director · 10% owner
Wittouck AmauryDirector · 10% owner
Artal Group S.A.Director · 10% owner
Westend S.A.Director · 10% owner
Invus Public Equities, L.P.Director · 10% owner
Invus, L.P.Director · 10% owner
Invus Advisors, L.L.C.Director · 10% owner
GrantSeries A Convertible Preferred Stock 1,150,922 $108.50 $124,875,037.00
Disclosure

SEC source: 0000950170-24-031072 · ownership.xml · nonDerivative · entry 1

Artal International S.C.A. · CIK 0001218180 · Director · 10% owner

Wittouck Amaury · CIK 0001841311 · Director · 10% owner

Artal International Management S.A. · CIK 0001522131 · Director · 10% owner

Artal Group S.A. · CIK 0001053906 · Director · 10% owner

Westend S.A. · CIK 0001283968 · Director · 10% owner

Stichting Administratiekantoor Westend · CIK 0001460840 · Director · 10% owner

Invus Public Equities, L.P. · CIK 0001340097 · Director · 10% owner

Invus, L.P. · CIK 0001404570 · Director · 10% owner

Invus Public Equities Advisors, LLC · CIK 0001340096 · Director · 10% owner

Invus Advisors, L.L.C. · CIK 0001404553 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,150,922

F1 · kind: On March 11, 2024, Artal International S.C.A. entered into a purchase agreement (the "Purchase Agreement") with the Issuer pursuant to which Artal International S.C.A. agreed to purchase 1,150,922 shares of Series A convertible preferred stock, $0.01 par value per share (the "Preferred Stock") of the Issuer at a price of $108.50 per share (the "Purchase Price"). Each share of Preferred Stock will automatically convert into 50 shares of the Issuer's common stock, par value $0.001 per share (the "Common Stock") upon receipt of shareholder approval and the satisfaction of certain other conditions; however, absent the satisfaction of such conditions, the shares are not convertible. The purchase closed on March 13, 2024.

F2 · ownership.nature: These securities are directly held by Artal International S.C.A. The managing partner of Artal International S.C.A. is Artal International Management S.A. The sole stockholder of Artal International Management S.A. is Artal Group S.A. The parent company of Artal Group S.A. is Westend S.A. The majority stockholder of Westend S.A. is Stichting Administratiekantoor Westend (the "Stichting"). Mr. Amaury Wittouck is the sole member of the board of the Stichting.

F3 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:33 UTC
Alexander KristenVP, Finance and Accounting
Exercise / conversionRestricted Stock Units · Derivative 15,927 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007629 · form4.xml · derivative · entry 7

Alexander Kristen · CIK 0001878867 · VP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,853

Underlying: Common Stock · 15,927 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:33 UTC
Alexander KristenVP, Finance and Accounting
Exercise / conversionRestricted Stock Units · Derivative 10,616 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007629 · form4.xml · derivative · entry 6

Alexander Kristen · CIK 0001878867 · VP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,617

Underlying: Common Stock · 10,616 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:33 UTC
Alexander KristenVP, Finance and Accounting
Exercise / conversionRestricted Stock Units · Derivative 2,700 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007629 · form4.xml · derivative · entry 5

Alexander Kristen · CIK 0001878867 · VP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,700 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:33 UTC
Alexander KristenVP, Finance and Accounting
Tax withholdingCommon Stock 11,793 $2.62 $30,897.66
Disclosure

SEC source: 0001127602-24-007629 · form4.xml · nonDerivative · entry 4

Alexander Kristen · CIK 0001878867 · VP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,800

F2 · kind: Withholding of a portion of issued shares by the Company in satisfaction of shareholder's tax withholding obligations with respect thereto.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:33 UTC
Alexander KristenVP, Finance and Accounting
Exercise / conversionCommon Stock 15,927 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007629 · form4.xml · nonDerivative · entry 3

Alexander Kristen · CIK 0001878867 · VP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,593

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:33 UTC
Alexander KristenVP, Finance and Accounting
Exercise / conversionCommon Stock 10,616 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007629 · form4.xml · nonDerivative · entry 2

Alexander Kristen · CIK 0001878867 · VP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,666

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:33 UTC
Alexander KristenVP, Finance and Accounting
Exercise / conversionCommon Stock 2,700 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007629 · form4.xml · nonDerivative · entry 1

Alexander Kristen · CIK 0001878867 · VP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,050

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:32 UTC
WADE JEFFREY LPresident and CFO
Exercise / conversionRestricted Stock Units · Derivative 49,113 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007628 · form4.xml · derivative · entry 7

WADE JEFFREY L · CIK 0001225767 · President and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,227

Underlying: Common Stock · 49,113 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:32 UTC
WADE JEFFREY LPresident and CFO
Exercise / conversionRestricted Stock Units · Derivative 37,274 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007628 · form4.xml · derivative · entry 6

WADE JEFFREY L · CIK 0001225767 · President and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,273

Underlying: Common Stock · 37,274 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:32 UTC
WADE JEFFREY LPresident and CFO
Exercise / conversionRestricted Stock Units · Derivative 11,177 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007628 · form4.xml · derivative · entry 5

WADE JEFFREY L · CIK 0001225767 · President and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,177 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:32 UTC
WADE JEFFREY LPresident and CFO
Tax withholdingCommon Stock 37,691 $2.62 $98,750.42
Disclosure

SEC source: 0001127602-24-007628 · form4.xml · nonDerivative · entry 4

WADE JEFFREY L · CIK 0001225767 · President and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 324,214

F2 · kind: Withholding of a portion of issued shares by the Company in satisfaction of shareholder's tax withholding obligations with respect thereto.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:32 UTC
WADE JEFFREY LPresident and CFO
Exercise / conversionCommon Stock 49,113 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007628 · form4.xml · nonDerivative · entry 3

WADE JEFFREY L · CIK 0001225767 · President and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 361,905

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:32 UTC
WADE JEFFREY LPresident and CFO
Exercise / conversionCommon Stock 37,274 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007628 · form4.xml · nonDerivative · entry 2

WADE JEFFREY L · CIK 0001225767 · President and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,792

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:32 UTC
WADE JEFFREY LPresident and CFO
Exercise / conversionCommon Stock 11,177 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007628 · form4.xml · nonDerivative · entry 1

WADE JEFFREY L · CIK 0001225767 · President and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,518

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:31 UTC
McDermott WendyVP, Human Resources
Exercise / conversionRestricted Stock Units · Derivative 27,697 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007625 · form4.xml · derivative · entry 5

McDermott Wendy · CIK 0001902760 · VP, Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,393

Underlying: Common Stock · 27,697 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:31 UTC
McDermott WendyVP, Human Resources
Exercise / conversionRestricted Stock Units · Derivative 18,944 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007625 · form4.xml · derivative · entry 4

McDermott Wendy · CIK 0001902760 · VP, Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,943

Underlying: Common Stock · 18,944 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:31 UTC
McDermott WendyVP, Human Resources
Tax withholdingCommon Stock 22,425 $2.62 $58,753.50
Disclosure

SEC source: 0001127602-24-007625 · form4.xml · nonDerivative · entry 3

McDermott Wendy · CIK 0001902760 · VP, Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,694

F2 · kind: Withholding of a portion of issued shares by the Company in satisfaction of shareholder's tax withholding obligations with respect thereto.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:31 UTC
McDermott WendyVP, Human Resources
Exercise / conversionCommon Stock 27,697 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007625 · form4.xml · nonDerivative · entry 2

McDermott Wendy · CIK 0001902760 · VP, Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,119

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:31 UTC
McDermott WendyVP, Human Resources
Exercise / conversionCommon Stock 18,944 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007625 · form4.xml · nonDerivative · entry 1

McDermott Wendy · CIK 0001902760 · VP, Human Resources

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,422

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:30 UTC
MAIN ALAN JEVP, Innov & Chem Sciences
Exercise / conversionRestricted Stock Units · Derivative 32,903 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007623 · form4.xml · derivative · entry 7

MAIN ALAN J · CIK 0001227372 · EVP, Innov & Chem Sciences

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,807

Underlying: Common Stock · 32,903 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:30 UTC
MAIN ALAN JEVP, Innov & Chem Sciences
Exercise / conversionRestricted Stock Units · Derivative 25,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007623 · form4.xml · derivative · entry 6

MAIN ALAN J · CIK 0001227372 · EVP, Innov & Chem Sciences

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,667

Underlying: Common Stock · 25,666 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:30 UTC
MAIN ALAN JEVP, Innov & Chem Sciences
Exercise / conversionRestricted Stock Units · Derivative 8,977 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007623 · form4.xml · derivative · entry 5

MAIN ALAN J · CIK 0001227372 · EVP, Innov & Chem Sciences

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,977 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:30 UTC
MAIN ALAN JEVP, Innov & Chem Sciences
Tax withholdingCommon Stock 24,408 $2.62 $63,948.96
Disclosure

SEC source: 0001127602-24-007623 · form4.xml · nonDerivative · entry 4

MAIN ALAN J · CIK 0001227372 · EVP, Innov & Chem Sciences

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,724

F2 · kind: Withholding of a portion of issued shares by the Company in satisfaction of shareholder's tax withholding obligations with respect thereto.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:30 UTC
MAIN ALAN JEVP, Innov & Chem Sciences
Exercise / conversionCommon Stock 32,903 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007623 · form4.xml · nonDerivative · entry 3

MAIN ALAN J · CIK 0001227372 · EVP, Innov & Chem Sciences

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,132

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:30 UTC
MAIN ALAN JEVP, Innov & Chem Sciences
Exercise / conversionCommon Stock 25,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007623 · form4.xml · nonDerivative · entry 2

MAIN ALAN J · CIK 0001227372 · EVP, Innov & Chem Sciences

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,229

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:30 UTC
MAIN ALAN JEVP, Innov & Chem Sciences
Exercise / conversionCommon Stock 8,977 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007623 · form4.xml · nonDerivative · entry 1

MAIN ALAN J · CIK 0001227372 · EVP, Innov & Chem Sciences

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 221,563

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:29 UTC
Kassler-Taub Kenneth B.SVP, Regulatory & QA
Exercise / conversionRestricted Stock Units · Derivative 32,757 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007621 · form4.xml · derivative · entry 7

Kassler-Taub Kenneth B. · CIK 0001885219 · SVP, Regulatory & QA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,513

Underlying: Common Stock · 32,757 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:29 UTC
Kassler-Taub Kenneth B.SVP, Regulatory & QA
Exercise / conversionRestricted Stock Units · Derivative 27,556 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007621 · form4.xml · derivative · entry 6

Kassler-Taub Kenneth B. · CIK 0001885219 · SVP, Regulatory & QA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,557

Underlying: Common Stock · 27,556 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:29 UTC
Kassler-Taub Kenneth B.SVP, Regulatory & QA
Exercise / conversionRestricted Stock Units · Derivative 7,087 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007621 · form4.xml · derivative · entry 5

Kassler-Taub Kenneth B. · CIK 0001885219 · SVP, Regulatory & QA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,087 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: Each restricted stock unit represents a contingent right to receive one share of common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

F3 · derivative.expiration_date: Restricted stock units vest with respect to 1/3 of the shares subject to the restricted stock units on February 28 of each of the three years following the year of grant.

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February 28, 2024 Filed Feb 29, 2024 21:29 UTC
Kassler-Taub Kenneth B.SVP, Regulatory & QA
Tax withholdingCommon Stock 24,353 $2.62 $63,804.86
Disclosure

SEC source: 0001127602-24-007621 · form4.xml · nonDerivative · entry 4

Kassler-Taub Kenneth B. · CIK 0001885219 · SVP, Regulatory & QA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,672

F2 · kind: Withholding of a portion of issued shares by the Company in satisfaction of shareholder's tax withholding obligations with respect thereto.

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February 28, 2024 Filed Feb 29, 2024 21:29 UTC
Kassler-Taub Kenneth B.SVP, Regulatory & QA
Exercise / conversionCommon Stock 32,757 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007621 · form4.xml · nonDerivative · entry 3

Kassler-Taub Kenneth B. · CIK 0001885219 · SVP, Regulatory & QA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,025

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

Read SEC document
February 28, 2024 Filed Feb 29, 2024 21:29 UTC
Kassler-Taub Kenneth B.SVP, Regulatory & QA
Exercise / conversionCommon Stock 27,556 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-007621 · form4.xml · nonDerivative · entry 2

Kassler-Taub Kenneth B. · CIK 0001885219 · SVP, Regulatory & QA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,268

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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock.

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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.