Last 12 months
Inside the activity.
0 purchase rows · 16 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 4 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 4 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 4 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 4 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 26, 2020 Filed Jan 28, 2020 21:06 UTC |
DesRosier ThomasChief Legal Officer and EVP
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-002212 · doc4.xml · derivative · entry 2 DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 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 Issuer common stock. F2 · derivative.exercise_date: The restricted stock units are fully vested and do not have an expiration date. F2 · derivative.expiration_date: The restricted stock units are fully vested and do not have an expiration date. Read SEC document |
| January 26, 2020 Filed Jan 28, 2020 21:06 UTC |
DesRosier ThomasChief Legal Officer and EVP
|
Exercise / conversionCOMMON STOCK | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-002212 · doc4.xml · nonDerivative · entry 1 DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,054 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 Issuer common stock. Read SEC document |
| January 26, 2020 Filed Jan 28, 2020 21:07 UTC |
Shaff Eric D.CEO and President
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-002213 · doc4.xml · derivative · entry 2 Shaff Eric D. · CIK 0001643734 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 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 Issuer common stock. F2 · derivative.exercise_date: The restricted stock units are fully vested and do not have an expiration date. F2 · derivative.expiration_date: The restricted stock units are fully vested and do not have an expiration date. Read SEC document |
| January 26, 2020 Filed Jan 28, 2020 21:07 UTC |
Shaff Eric D.CEO and President
|
Exercise / conversionCOMMON STOCK | 20,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-002213 · doc4.xml · nonDerivative · entry 1 Shaff Eric D. · CIK 0001643734 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,842 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 Issuer common stock. Read SEC document |
| January 26, 2020 Filed Jan 28, 2020 21:05 UTC |
Aunins John G.Chief Technology Officer & EVP
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-002210 · doc4.xml · derivative · entry 2 Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 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 Issuer common stock. F2 · derivative.exercise_date: The restricted stock units are fully vested and do not have an expiration date. F2 · derivative.expiration_date: The restricted stock units are fully vested and do not have an expiration date. Read SEC document |
| January 26, 2020 Filed Jan 28, 2020 21:05 UTC |
Aunins John G.Chief Technology Officer & EVP
|
Exercise / conversionCOMMON STOCK | 12,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-002210 · doc4.xml · nonDerivative · entry 1 Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. Read SEC document |
| January 26, 2020 Filed Jan 28, 2020 21:05 UTC |
Henn Matthew RSee Remarks
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-002211 · doc4.xml · derivative · entry 2 Henn Matthew R. · CIK 0001767321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 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 Issuer common stock. F2 · derivative.exercise_date: The restricted stock units are fully vested and do not have an expiration date. F2 · derivative.expiration_date: The restricted stock units are fully vested and do not have an expiration date. Read SEC document |
| January 26, 2020 Filed Jan 28, 2020 21:05 UTC |
Henn Matthew RSee Remarks
|
Exercise / conversionCOMMON STOCK | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-002211 · doc4.xml · nonDerivative · entry 1 Henn Matthew R. · CIK 0001767321 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 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 Issuer common stock. Read SEC document |
| November 22, 2019 Filed Nov 25, 2019 21:32 UTC |
Chapman MarcusSee Remarks
|
SaleCommon Stock | 3,400 | $3.91 | $13,296.72 |
DisclosureSEC source: 0000899243-19-028069 · doc4.xml · nonDerivative · entry 2 Chapman Marcus · CIK 0001770404 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,600 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan, dated June 15, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.90 to $3.93. The reporting person undertakes to provide Seres Therapeutics, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 01, 2019 Filed Nov 25, 2019 21:32 UTC |
Chapman MarcusSee Remarks
|
Exercise / conversionRestricted Stock Units · Derivative | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-028069 · doc4.xml · derivative · entry 3 Chapman Marcus · CIK 0001770404 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 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. F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. F4 · derivative.exercise_date: The restricted stock units vested in full on November 1, 2019. F4 · derivative.expiration_date: The restricted stock units vested in full on November 1, 2019. Read SEC document |
| November 01, 2019 Filed Nov 25, 2019 21:32 UTC |
Chapman MarcusSee Remarks
|
Exercise / conversionCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-028069 · doc4.xml · nonDerivative · entry 1 Chapman Marcus · CIK 0001770404 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 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 |
| August 05, 2019 Filed Aug 6, 2019 23:51 UTC |
Berenson StephenDirector
|
GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $2.44 | $0.00 |
DisclosureSEC source: 0000899243-19-021170 · doc4.xml · derivative · entry 1 Berenson Stephen · CIK 0001760671 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-08-04 F1 · derivative.exercise_date: The option will vest in four equal installments on each anniversary of August 5, 2019 or in full immediately prior to the occurrence of a change in control. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 20:17 UTC |
Afeyan NoubarDirector · 10% owner
|
PurchaseCommon Stock | 4,444,444 | $2.25 | $9,999,999.00 |
DisclosureSEC source: 0000899243-19-017640 · doc4.xml · nonDerivative · entry 2 AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,444,444 F3 · shares: On June 18, 2019, Nutritional Health LTP Fund, L.P. ("Nutritional LTP") acquired 4,444,444 shares pursuant to the Offering. F4 · ownership.nature: The shares are held by Nutritional LTP. Nutritional Health LTP Fund General Partner LLC ("Nutritional LTP GP") is the general partner of Nutritional LTP. Noubar B. Afeyan Ph.D. is the sole member and manager of Nutritional LTP GP and may be deemed to have sole voting and investment power with respect to all shares held by Nutritional LTP. Dr. Afeyan disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein. Read SEC document |
| June 18, 2019 Filed Jun 20, 2019 20:17 UTC |
Afeyan NoubarDirector · 10% owner
|
PurchaseCommon Stock | 4,444,444 | $2.25 | $9,999,999.00 |
DisclosureSEC source: 0000899243-19-017640 · doc4.xml · nonDerivative · entry 1 AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,444,444 F1 · shares: On June 18, 2019, Flagship Pioneering Fund VI, L.P. ("Flagship Fund VI") acquired 4,444,444 shares pursuant to an underwritten public offering of common stock by the issuer (the "Offering"). F2 · ownership.nature: The shares are held by Flagship Fund VI. Flagship Pioneering Fund VI General Partner LLC ("Fund VI GP") is the general partner of Flagship Fund VI. Flagship Pioneering, Inc. ("Flagship Pioneering") is the manager of Fund VI GP. Noubar B. Afeyan Ph.D. is the CEO and sole shareholder of Flagship Pioneering and may be deemed to have sole voting and investment power with respect to all shares held by Flagship Fund VI. Dr. Afeyan disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 16:11 UTC |
Graves KurtDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017016 · doc4.xml · derivative · entry 1 Graves Kurt · CIK 0001406337 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option vests in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:12 UTC |
Dere Willard HDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017019 · doc4.xml · derivative · entry 1 Dere Willard H · CIK 0001311569 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option will vest in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:16 UTC |
Afeyan NoubarDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017029 · doc4.xml · derivative · entry 1 AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option vests in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 16:10 UTC |
Kender Richard NDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017013 · doc4.xml · derivative · entry 1 Kender Richard N · CIK 0001381205 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option vests in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:09 UTC |
Ausiello Dennis ADirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017012 · doc4.xml · derivative · entry 1 Ausiello Dennis A · CIK 0001381994 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option vests in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:19 UTC |
Kim Lorence H.Director
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017038 · doc4.xml · derivative · entry 1 Kim Lorence H. · CIK 0001643746 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option vests in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:12 UTC |
Behar GregoryDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017018 · doc4.xml · derivative · entry 1 Behar Gregory · CIK 0001643766 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option vests in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:19 UTC |
Pomerantz RogerDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017036 · doc4.xml · derivative · entry 1 Pomerantz Roger · CIK 0001614936 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option will vest in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:08 UTC |
Zausner MerylDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.83 | $0.00 |
DisclosureSEC source: 0000899243-19-017010 · doc4.xml · derivative · entry 1 Zausner Meryl · CIK 0001742142 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option will vest in full on the earlier of June 13, 2020 or the day immediately prior to the company's 2020 annual meeting of shareholders. Read SEC document |
| January 28, 2019 Filed Jan 29, 2019 23:55 UTC |
DesRosier ThomasChief Legal Officer and EVP
|
SaleCOMMON STOCK | 5,471 | $5.75 | $31,477.95 |
DisclosureSEC source: 0000899243-19-002141 · doc4.xml · nonDerivative · entry 2 DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,054 F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $5.75 to $5.8435. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 28, 2019 Filed Jan 29, 2019 23:52 UTC |
Shaff Eric D.See Remarks
|
SaleCOMMON STOCK | 4,378 | $5.75 | $25,187.51 |
DisclosureSEC source: 0000899243-19-002138 · doc4.xml · nonDerivative · entry 2 Shaff Eric D. · CIK 0001643734 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,842 F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $5.75 to $5.8321. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 23:55 UTC |
DesRosier ThomasChief Legal Officer and EVP
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-002141 · doc4.xml · derivative · entry 4 DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 15,000 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 Issuer common stock. F4 · derivative.exercise_date: These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020. F4 · derivative.expiration_date: These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020. Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 23:55 UTC |
DesRosier ThomasChief Legal Officer and EVP
|
Exercise / conversionCOMMON STOCK | 15,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-002141 · doc4.xml · nonDerivative · entry 1 DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,525 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 Issuer common stock. Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 18:51 UTC |
COOK DAVID NSee Remarks
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-002136 · doc4.xml · derivative · entry 2 COOK DAVID N · CIK 0001233684 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 7,500 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 Issuer common stock. F2 · derivative.exercise_date: These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020. F2 · derivative.expiration_date: These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020. Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 18:51 UTC |
COOK DAVID NSee Remarks
|
Exercise / conversionCOMMON STOCK | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-002136 · doc4.xml · nonDerivative · entry 1 COOK DAVID N · CIK 0001233684 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,435 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 Issuer common stock. Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 23:52 UTC |
Shaff Eric D.See Remarks
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-002138 · doc4.xml · derivative · entry 4 Shaff Eric D. · CIK 0001643734 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 12,000 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 Issuer common stock. F4 · derivative.exercise_date: These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020. F4 · derivative.expiration_date: These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020. Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 23:52 UTC |
Shaff Eric D.See Remarks
|
Exercise / conversionCOMMON STOCK | 12,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-002138 · doc4.xml · nonDerivative · entry 1 Shaff Eric D. · CIK 0001643734 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,220 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 Issuer common stock. Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 23:51 UTC |
Aunins John G.Chief Technology Officer
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-002137 · doc4.xml · derivative · entry 3 Aunins John G. · CIK 0001643756 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 7,500 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 Issuer common stock. F3 · derivative.exercise_date: These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020. F3 · derivative.expiration_date: These restricted stock units have vested and settled or will vest and settle as to 20% of the restricted stock units on January 26, 2018, 30% on January 26, 2019, and 50% on January 26, 2020. Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 23:51 UTC |
Aunins John G.Chief Technology Officer
|
Exercise / conversionCOMMON STOCK | 7,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-002137 · doc4.xml · nonDerivative · entry 1 Aunins John G. · CIK 0001643756 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,750 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 Issuer common stock. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 23:55 UTC |
DesRosier ThomasChief Legal Officer and EVP
|
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 84,800 | $0.00 Strike: $6.01 | $0.00 |
DisclosureSEC source: 0000899243-19-002141 · doc4.xml · derivative · entry 3 DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,800 Underlying: Common Stock · 84,800 shares Expires 2029-01-24 F3 · derivative.exercise_date: The option will vest as to 25% of the shares on January 25, 2020. The remainder of the shares will vest in 12 equal quarterly installments thereafter. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 18:55 UTC |
HORGAN KEVINChief Medical Officer and EVP
|
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 30,000 | $0.00 Strike: $6.01 | $0.00 |
DisclosureSEC source: 0000899243-19-002142 · doc4.xml · derivative · entry 1 HORGAN KEVIN · CIK 0001510614 · Chief Medical Officer and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-01-24 F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 25, 2020. The remainder of the shares will vest in 12 equal quarterly installments thereafter. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 23:52 UTC |
Shaff Eric D.See Remarks
|
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 275,000 | $0.00 Strike: $6.01 | $0.00 |
DisclosureSEC source: 0000899243-19-002138 · doc4.xml · derivative · entry 3 Shaff Eric D. · CIK 0001643734 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,000 Underlying: Common Stock · 275,000 shares Expires 2029-01-24 F3 · derivative.exercise_date: The option will vest as to 25% of the shares on January 25, 2020. The remainder of the shares will vest in 12 equal quarterly installments thereafter. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 23:51 UTC |
Aunins John G.Chief Technology Officer
|
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 60,000 | $0.00 Strike: $6.01 | $0.00 |
DisclosureSEC source: 0000899243-19-002137 · doc4.xml · derivative · entry 2 Aunins John G. · CIK 0001643756 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-01-24 F2 · derivative.exercise_date: The option will vest as to 25% of the shares on January 25, 2020. The remainder of the shares will vest in 12 equal quarterly installments thereafter. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 21:11 UTC |
Aunins John G.Chief Technology Officer & EVP
|
Exercise / conversionRESTRICTED STOCK UNITS · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-031411 · doc4.xml · derivative · entry 3 Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: COMMON STOCK · 10,000 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. F3 · derivative.exercise_price: Each restricted stock unit represents right to receive one share of Issuer common stock. F4 · derivative.exercise_date: These restricted stock units have vested and settled as to 25% of the restricted stock units on December 19, 2017, 25% on June 19, 2018; and 50% on December 19, 2018. F4 · derivative.expiration_date: These restricted stock units have vested and settled as to 25% of the restricted stock units on December 19, 2017, 25% on June 19, 2018; and 50% on December 19, 2018. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 21:11 UTC |
Aunins John G.Chief Technology Officer & EVP
|
Exercise / conversionCOMMON STOCK | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-031411 · doc4.xml · nonDerivative · entry 2 Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,250 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each restricted stock unit represents right to receive one share of Issuer common stock. Read SEC document |
| December 17, 2018 Filed Dec 19, 2018 21:11 UTC |
Aunins John G.Chief Technology Officer & EVP
|
SaleCOMMON STOCK | 14,282 | $6.39 | $91,313.40 |
DisclosureSEC source: 0000899243-18-031411 · doc4.xml · nonDerivative · entry 1 Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,250 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $6.2100 to $6.5900. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 21:27 UTC |
Aunins John G.See Remarks
|
SaleCOMMON STOCK | 14,279 | $8.26 | $117,911.70 |
DisclosureSEC source: 0000899243-18-029310 · doc4.xml · nonDerivative · entry 1 Aunins John G. · CIK 0001643756 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,532 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $8.0600 to $8.4200. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| October 23, 2018 Filed Oct 24, 2018 17:58 UTC |
HORGAN KEVINChief Medical Officer and EVP
|
GrantStock Option (right to buy) · Derivative | 225,000 | $0.00 Strike: $6.58 | $0.00 |
DisclosureSEC source: 0000899243-18-027399 · doc4.xml · derivative · entry 1 HORGAN KEVIN · CIK 0001510614 · Chief Medical Officer and EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2028-10-22 F1 · derivative.exercise_date: The Option will vest as to 25% of the shares on October 22, 2019. The remainder of the shares will vest in 12 equal quarterly installments thereafter Read SEC document |
| October 15, 2018 Filed Oct 16, 2018 20:16 UTC |
Aunins John G.See Remarks
|
SaleCOMMON STOCK | 14,279 | $5.94 | $84,800.13 |
DisclosureSEC source: 0000899243-18-026790 · doc4.xml · nonDerivative · entry 1 Aunins John G. · CIK 0001643756 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,811 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $5.6400 to $6.2912. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 17, 2018 Filed Sep 20, 2018 01:22 UTC |
Aunins John G.See Remarks
|
SaleCOMMON STOCK | 14,279 | $7.27 | $103,875.44 |
DisclosureSEC source: 0000899243-18-024819 · doc4.xml · nonDerivative · entry 3 Aunins John G. · CIK 0001643756 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,090 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $7.0914 to $7.5600. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 07, 2018 Filed Sep 11, 2018 20:49 UTC |
Pomerantz RogerDirector · President and CEO
|
SaleCommon Stock | 1,810 | $9.00 | $16,291.27 |
DisclosureSEC source: 0000899243-18-024194 · doc4.xml · nonDerivative · entry 1 Pomerantz Roger · CIK 0001614936 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,976 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $9.00 to $9.03. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 06, 2018 Filed Sep 6, 2018 21:08 UTC |
Pomerantz RogerDirector · President and CEO
|
SaleCommon Stock | 3,013 | $9.04 | $27,235.41 |
DisclosureSEC source: 0000899243-18-023938 · doc4.xml · nonDerivative · entry 2 Pomerantz Roger · CIK 0001614936 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,786 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $9.00 to $9.17. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 05, 2018 Filed Sep 6, 2018 21:08 UTC |
Pomerantz RogerDirector · President and CEO
|
SaleCommon Stock | 9,505 | $9.12 | $86,714.12 |
DisclosureSEC source: 0000899243-18-023938 · doc4.xml · nonDerivative · entry 1 Pomerantz Roger · CIK 0001614936 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,799 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $9.00 to $9.26. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 30, 2018 Filed Sep 4, 2018 20:49 UTC |
Zausner MerylDirector
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $8.47 | $0.00 |
DisclosureSEC source: 0000899243-18-023729 · doc4.xml · derivative · entry 1 Zausner Meryl · CIK 0001742142 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2028-08-29 F1 · derivative.exercise_date: The option will vest in four equal installments on each anniversary of 08/30/2018 or in full immediately prior to the occurrence of a change in control. Read SEC document |
| August 15, 2018 Filed Sep 20, 2018 01:22 UTC |
Aunins John G.See Remarks
|
SaleCOMMON STOCK | 14,279 | $7.57 | $108,069.18 |
DisclosureSEC source: 0000899243-18-024819 · doc4.xml · nonDerivative · entry 2 Aunins John G. · CIK 0001643756 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,369 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $7.2500 to $7.7600. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. This filing is being reported late due to an inadvertent administrative error. Read SEC document |
| July 15, 2018 Filed Jul 18, 2018 20:58 UTC |
Aunins John G.Chief Technology Officer & EVP
|
SaleCOMMON STOCK | 14,279 | $8.10 | $115,725.58 |
DisclosureSEC source: 0000899243-18-020074 · doc4.xml · nonDerivative · entry 1 Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,927 F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 15, 2018. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at per share prices ranging from $7.82 to $8.60. The Reporting Persons undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.