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Nasdaq · USD

MCRB

Seres Therapeutics, Inc.

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7191
SEC CIK
0001609809
Parsed reports
301

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.
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MonthPurchasesSales
Nov 202504
Dec 202500
Jan 202600
Feb 202604
Mar 202600
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May 202604
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Aug 202604
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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
July 11, 2018 Filed Jul 12, 2018 21:15 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 1,010 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-019814 · doc4.xml · derivative · entry 3

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 797,536

Underlying: COMMON STOCK · 1,010 shares

Expires 2024-08-07

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_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
July 11, 2018 Filed Jul 12, 2018 21:15 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 1,010 $9.01 $9,098.99
Disclosure

SEC source: 0000899243-18-019814 · doc4.xml · nonDerivative · entry 2

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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 $9.04. 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
July 11, 2018 Filed Jul 12, 2018 21:15 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 1,010 $0.71 $717.10
Disclosure

SEC source: 0000899243-18-019814 · doc4.xml · nonDerivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,314

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
July 10, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 5,989 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · derivative · entry 9

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 798,546

Underlying: COMMON STOCK · 5,989 shares

Expires 2024-08-07

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.

F5 · derivative.exercise_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
July 10, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 5,989 $9.05 $54,207.64
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · nonDerivative · entry 6

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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. The shares were sold in multiple transactions at per share prices ranging from $9.00 to $9.23. 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
July 10, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 5,989 $0.71 $4,252.19
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · nonDerivative · entry 5

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,293

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
July 09, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 10,981 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · derivative · entry 8

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 804,535

Underlying: COMMON STOCK · 10,981 shares

Expires 2024-08-07

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.

F5 · derivative.exercise_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
July 09, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 10,981 $9.14 $100,350.97
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · nonDerivative · entry 4

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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 $9.35. 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
July 09, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 10,981 $0.71 $7,796.51
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · nonDerivative · entry 3

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,285

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
July 06, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 15,366 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · derivative · entry 7

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 815,516

Underlying: COMMON STOCK · 15,366 shares

Expires 2024-08-07

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.

F5 · derivative.exercise_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
July 06, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 15,366 $9.14 $140,506.70
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · nonDerivative · entry 2

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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 $9.23. 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
July 06, 2018 Filed Jul 10, 2018 21:49 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 15,366 $0.71 $10,909.86
Disclosure

SEC source: 0000899243-18-019711 · doc4.xml · nonDerivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,670

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
June 29, 2018 Filed Jun 29, 2018 21:12 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 4,496 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-018742 · doc4.xml · derivative · entry 6

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 830,882

Underlying: COMMON STOCK · 4,496 shares

Expires 2024-08-07

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.

F4 · derivative.exercise_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
June 29, 2018 Filed Jun 29, 2018 21:12 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 4,496 $9.10 $40,915.40
Disclosure

SEC source: 0000899243-18-018742 · doc4.xml · nonDerivative · entry 4

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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 $9.24. 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
June 29, 2018 Filed Jun 29, 2018 21:12 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 4,496 $0.71 $3,192.16
Disclosure

SEC source: 0000899243-18-018742 · doc4.xml · nonDerivative · entry 3

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,800

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
June 28, 2018 Filed Jun 29, 2018 21:12 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 21,560 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-018742 · doc4.xml · derivative · entry 5

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,378

Underlying: COMMON STOCK · 21,560 shares

Expires 2024-08-07

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.

F4 · derivative.exercise_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
June 28, 2018 Filed Jun 29, 2018 21:12 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 21,560 $9.15 $197,375.33
Disclosure

SEC source: 0000899243-18-018742 · doc4.xml · nonDerivative · entry 2

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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 $9.28. 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
June 28, 2018 Filed Jun 29, 2018 21:12 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 21,560 $0.71 $15,307.60
Disclosure

SEC source: 0000899243-18-018742 · doc4.xml · nonDerivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,864

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
June 27, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 16,991 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · derivative · entry 9

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 856,938

Underlying: COMMON STOCK · 16,991 shares

Expires 2024-08-07

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.

F5 · derivative.exercise_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
June 27, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 16,991 $9.03 $153,408.34
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · nonDerivative · entry 6

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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. The shares were sold in multiple transactions at per share prices ranging from $9.00 to $9.16. 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
June 27, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 16,991 $0.71 $12,063.61
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · nonDerivative · entry 5

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,295

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
June 26, 2018 Filed Jun 27, 2018 21:01 UTC
Graves KurtDirector
GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $9.09 $0.00
Disclosure

SEC source: 0000899243-18-018511 · 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 2028-06-25

F1 · derivative.exercise_date: The option vests in full on the earlier of June 26, 2019 or the day immediately prior to the company's 2019 annual meeting of shareholders.

Read SEC document
June 26, 2018 Filed Jun 28, 2018 01:07 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $9.09 $0.00
Disclosure

SEC source: 0000899243-18-018522 · 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 2028-06-25

F1 · derivative.exercise_date: The option will vest in full on the earlier of June 26, 2019 or the day immediately prior to the company's 2019 annual meeting of shareholders.

Read SEC document
June 26, 2018 Filed Jun 28, 2018 01:03 UTC
Afeyan NoubarDirector · 10% owner
GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $9.09 $0.00
Disclosure

SEC source: 0000899243-18-018515 · 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 2028-06-25

F1 · derivative.exercise_date: The option vests in full on the earlier of June 26, 2019 or the day immediately prior to the company's 2019 annual meeting of shareholders.

Read SEC document
June 26, 2018 Filed Jun 27, 2018 21:06 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $9.09 $0.00
Disclosure

SEC source: 0000899243-18-018521 · 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 2028-06-25

F1 · derivative.exercise_date: The option vests in full on the earlier of June 26, 2019 or the day immediately prior to the company's 2019 annual meeting of shareholders.

Read SEC document
June 26, 2018 Filed Jun 28, 2018 01:02 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $9.09 $0.00
Disclosure

SEC source: 0000899243-18-018512 · 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 2028-06-25

F1 · derivative.exercise_date: The option vests in full on the earlier of June 26, 2019 or the day immediately prior to the company's 2019 annual meeting of shareholders.

Read SEC document
June 26, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 21,224 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · derivative · entry 8

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 873,929

Underlying: COMMON STOCK · 21,224 shares

Expires 2024-08-07

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.

F5 · derivative.exercise_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
June 26, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 21,224 $9.19 $195,133.46
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · nonDerivative · entry 4

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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 $9.365. 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
June 26, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 21,224 $0.71 $15,069.04
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · nonDerivative · entry 3

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,528

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
June 26, 2018 Filed Jun 28, 2018 01:05 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $9.09 $0.00
Disclosure

SEC source: 0000899243-18-018518 · 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 2028-06-25

F1 · derivative.exercise_date: The option vests in full on the earlier of June 26, 2019 or the day immediately prior to the company's 2019 annual meeting of shareholders.

Read SEC document
June 26, 2018 Filed Jun 28, 2018 01:02 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $9.09 $0.00
Disclosure

SEC source: 0000899243-18-018513 · 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 2027-06-25

F1 · derivative.exercise_date: The option vests in full on the earlier of June 26, 2019 or the day immediately prior to the company's 2019 annual meeting of shareholders.

Read SEC document
June 25, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative 16,288 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · derivative · entry 7

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 895,153

Underlying: COMMON STOCK · 16,288 shares

Expires 2024-08-07

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.

F5 · derivative.exercise_date: The option vested as to 25% of the shares on June 1, 2015. The remainder of the shares have vested or will vest in 12 equal quarterly installments thereafter.

Read SEC document
June 25, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 26,752 $9.21 $246,503.63
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · nonDerivative · entry 2

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,304

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 $9.08 to $9.52. 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
June 25, 2018 Filed Jun 28, 2018 01:06 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 16,288 $0.71 $11,564.48
Disclosure

SEC source: 0000899243-18-018520 · doc4.xml · nonDerivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,056

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
June 22, 2018 Filed Jun 23, 2018 01:11 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 40,057 $9.36 $374,761.27
Disclosure

SEC source: 0000899243-18-017794 · doc4.xml · nonDerivative · entry 3

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,768

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. The shares were sold in multiple transactions at per share prices ranging from $9.00 to $9.74. 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
June 21, 2018 Filed Jun 23, 2018 01:11 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 18,987 $9.06 $172,094.37
Disclosure

SEC source: 0000899243-18-017794 · doc4.xml · nonDerivative · entry 2

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,825

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 $9.55. 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.

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June 20, 2018 Filed Jun 23, 2018 01:11 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 26,492 $9.33 $247,051.15
Disclosure

SEC source: 0000899243-18-017794 · doc4.xml · nonDerivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,812

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 $9.60. 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.

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June 19, 2018 Filed Jun 19, 2018 21:03 UTC
Aunins John G.Chief Technology Officer & EVP
Exercise / conversionRESTRICTED STOCK UNITS · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017198 · doc4.xml · derivative · entry 2

Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: COMMON STOCK · 5,000 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: These restricted stock units have vested and settled or will vest and settle as to 25% of the restricted stock units on December 19, 2017, 25% on June 19, 2018; and 50% on December 19, 2018.

F2 · derivative.expiration_date: These restricted stock units have vested and settled or will vest and settle as to 25% of the restricted stock units on December 19, 2017, 25% on June 19, 2018; and 50% on December 19, 2018.

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June 19, 2018 Filed Jun 19, 2018 21:03 UTC
Aunins John G.Chief Technology Officer & EVP
Exercise / conversionCOMMON STOCK 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-017198 · doc4.xml · nonDerivative · entry 1

Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,206

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.

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June 15, 2018 Filed Jun 18, 2018 20:43 UTC
Aunins John G.Chief Technology Officer & EVP
SaleCommon Stock 14,279 $8.57 $122,325.34
Disclosure

SEC source: 0000899243-18-017017 · doc4.xml · nonDerivative · entry 1

Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,206

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 $8.39 to $8.69. 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.

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May 15, 2018 Filed Sep 20, 2018 01:22 UTC
Aunins John G.See Remarks
SaleCOMMON STOCK 14,279 $8.08 $115,400.02
Disclosure

SEC source: 0000899243-18-024819 · doc4.xml · nonDerivative · entry 1

Aunins John G. · CIK 0001643756 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,648

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 $7.8800 to $8.1400. 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.

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May 09, 2018 Filed May 10, 2018 20:44 UTC
Pomerantz RogerDirector · President and CEO
SaleCommon Stock 233 $9.00 $2,097.00
Disclosure

SEC source: 0000899243-18-012352 · doc4.xml · nonDerivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,304

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.

Read SEC document
April 25, 2018 Filed Apr 26, 2018 20:55 UTC
Aunins John G.Chief Technology Officer & EVP
SaleCommon Stock 14,279 $7.58 $108,266.23
Disclosure

SEC source: 0000899243-18-010837 · doc4.xml · nonDerivative · entry 1

Aunins John G. · CIK 0001643756 · Chief Technology Officer & EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,485

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 $7.47 to $7.95. 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.

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January 30, 2018 Filed Jan 31, 2018 01:58 UTC
DesRosier ThomasSee Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 100,000 $0.00 Strike: $10.42 $0.00
Disclosure

SEC source: 0000899243-18-002329 · doc4.xml · derivative · entry 5

DesRosier Thomas · CIK 0001435744 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: COMMON STOCK · 100,000 shares

Expires 2028-01-29

F4 · derivative.exercise_date: This Option will vest as to one third of the shares on January 30, 2019, one third on January 30, 2020 and one third on January 30, 2021.

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January 30, 2018 Filed Jan 31, 2018 01:58 UTC
DesRosier ThomasSee Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 80,000 $0.00 Strike: $10.42 $0.00
Disclosure

SEC source: 0000899243-18-002329 · doc4.xml · derivative · entry 4

DesRosier Thomas · CIK 0001435744 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: COMMON STOCK · 80,000 shares

Expires 2028-01-29

F3 · derivative.exercise_date: This Option will vest as to 25% of the shares on January 30, 2019. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 30, 2018 Filed Jan 30, 2018 20:58 UTC
COOK DAVID NSee Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 75,000 $0.00 Strike: $10.42 $0.00
Disclosure

SEC source: 0000899243-18-002327 · doc4.xml · derivative · entry 4

COOK DAVID N · CIK 0001233684 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: COMMON STOCK · 75,000 shares

Expires 2028-01-29

F3 · derivative.exercise_date: The Option will vest as to 25% of the shares on January 30, 2019. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 30, 2018 Filed Jan 31, 2018 02:03 UTC
Pomerantz RogerDirector · President and CEO
GrantStock Option (right to buy) · Derivative 278,000 $0.00 Strike: $10.42 $0.00
Disclosure

SEC source: 0000899243-18-002335 · doc4.xml · derivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,000

Underlying: Common Stock · 278,000 shares

Expires 2028-01-29

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 30, 2019. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 30, 2018 Filed Jan 31, 2018 02:01 UTC
Aunins John G.See Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 40,000 $0.00 Strike: $10.42 $0.00
Disclosure

SEC source: 0000899243-18-002334 · doc4.xml · derivative · entry 4

Aunins John G. · CIK 0001643756 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: COMMON STOCK · 40,000 shares

Expires 2028-01-29

F3 · derivative.exercise_date: The Option will vest as to 25% of the shares on January 30, 2019. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 30, 2018 Filed Jan 31, 2018 02:01 UTC
Shaff Eric D.See Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 120,000 $0.00 Strike: $10.42 $0.00
Disclosure

SEC source: 0000899243-18-002333 · doc4.xml · derivative · entry 4

Shaff Eric D. · CIK 0001643734 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: COMMON STOCK · 120,000 shares

Expires 2028-01-29

F3 · derivative.exercise_date: The Option will vest as to 25% of the shares on January 30, 2019. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 30, 2018 Filed Jan 31, 2018 01:58 UTC
Trucksis MicheleSee Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 95,000 $0.00 Strike: $10.42 $0.00
Disclosure

SEC source: 0000899243-18-002328 · doc4.xml · derivative · entry 4

Trucksis Michele · CIK 0001643736 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: COMMON STOCK · 95,000 shares

Expires 2028-01-29

F3 · derivative.exercise_date: The Option will vest as to 25% of the shares on January 30, 2019. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

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.