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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.
Monthly counts
MonthPurchasesSales
Nov 202504
Dec 202500
Jan 202600
Feb 202604
Mar 202600
Apr 202600
May 202604
Jun 202600
Jul 202600
Aug 202604
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 26, 2018 Filed Jan 31, 2018 01:58 UTC
DesRosier ThomasSee Remarks
Exercise / conversionRESTRICTED STOCK UNITS · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-002329 · doc4.xml · derivative · entry 3

DesRosier Thomas · CIK 0001435744 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

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.

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, 2018 Filed Jan 31, 2018 01:58 UTC
DesRosier ThomasSee Remarks
SaleCOMMON STOCK 3,475 $11.02 $38,294.50
Disclosure

SEC source: 0000899243-18-002329 · doc4.xml · nonDerivative · entry 2

DesRosier Thomas · CIK 0001435744 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,525

Read SEC document
January 26, 2018 Filed Jan 31, 2018 01:58 UTC
DesRosier ThomasSee Remarks
Exercise / conversionCOMMON STOCK 10,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-002329 · doc4.xml · nonDerivative · entry 1

DesRosier Thomas · CIK 0001435744 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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
January 26, 2018 Filed Jan 30, 2018 20:58 UTC
COOK DAVID NSee Remarks
Exercise / conversionRESTRICTED STOCK UNITS · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-002327 · doc4.xml · derivative · entry 3

COOK DAVID N · CIK 0001233684 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

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 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, 2018 Filed Jan 30, 2018 20:58 UTC
COOK DAVID NSee Remarks
SaleCOMMON STOCK 1,738 $11.02 $19,152.76
Disclosure

SEC source: 0000899243-18-002327 · doc4.xml · nonDerivative · entry 2

COOK DAVID N · CIK 0001233684 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,935

Read SEC document
January 26, 2018 Filed Jan 30, 2018 20:58 UTC
COOK DAVID NSee Remarks
Exercise / conversionCOMMON STOCK 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-002327 · doc4.xml · nonDerivative · entry 1

COOK DAVID N · CIK 0001233684 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,673

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, 2018 Filed Jan 31, 2018 02:01 UTC
Aunins John G.See Remarks
Exercise / conversionRESTRICTED STOCK UNITS · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-002334 · doc4.xml · derivative · entry 3

Aunins John G. · CIK 0001643756 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

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 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, 2018 Filed Jan 31, 2018 02:01 UTC
Aunins John G.See Remarks
SaleCOMMON STOCK 1,738 $11.02 $19,152.76
Disclosure

SEC source: 0000899243-18-002334 · doc4.xml · nonDerivative · entry 2

Aunins John G. · CIK 0001643756 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,764

Read SEC document
January 26, 2018 Filed Jan 31, 2018 02:01 UTC
Aunins John G.See Remarks
Exercise / conversionCOMMON STOCK 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-002334 · doc4.xml · nonDerivative · entry 1

Aunins John G. · CIK 0001643756 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,502

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, 2018 Filed Jan 31, 2018 02:01 UTC
Shaff Eric D.See Remarks
Exercise / conversionRESTRICTED STOCK UNITS · Derivative 8,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-002333 · doc4.xml · derivative · entry 3

Shaff Eric D. · CIK 0001643734 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: COMMON STOCK · 8,000 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 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, 2018 Filed Jan 31, 2018 02:01 UTC
Shaff Eric D.See Remarks
SaleCOMMON STOCK 2,780 $11.02 $30,635.60
Disclosure

SEC source: 0000899243-18-002333 · doc4.xml · nonDerivative · entry 2

Shaff Eric D. · CIK 0001643734 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,220

Read SEC document
January 26, 2018 Filed Jan 31, 2018 02:01 UTC
Shaff Eric D.See Remarks
Exercise / conversionCOMMON STOCK 8,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-002333 · doc4.xml · nonDerivative · entry 1

Shaff Eric D. · CIK 0001643734 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

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
January 26, 2018 Filed Jan 31, 2018 01:58 UTC
Trucksis MicheleSee Remarks
Exercise / conversionRESTRICTED STOCK UNITS · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-002328 · doc4.xml · derivative · entry 3

Trucksis Michele · CIK 0001643736 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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, 2018 Filed Jan 31, 2018 01:58 UTC
Trucksis MicheleSee Remarks
SaleCOMMON STOCK 2,607 $11.02 $28,729.14
Disclosure

SEC source: 0000899243-18-002328 · doc4.xml · nonDerivative · entry 2

Trucksis Michele · CIK 0001643736 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,893

Read SEC document
January 26, 2018 Filed Jan 31, 2018 01:58 UTC
Trucksis MicheleSee Remarks
Exercise / conversionCOMMON STOCK 7,500 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-002328 · doc4.xml · nonDerivative · entry 1

Trucksis Michele · CIK 0001643736 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

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 24, 2018 Filed Jan 25, 2018 21:39 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 40,241 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-18-001894 · doc4.xml · derivative · entry 2

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 911,441

Underlying: Common Stock · 40,241 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.

F1 · 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
January 24, 2018 Filed Jan 25, 2018 21:39 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 40,241 $0.71 $28,571.11
Disclosure

SEC source: 0000899243-18-001894 · doc4.xml · nonDerivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,537

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
December 19, 2017 Filed Dec 20, 2017 21:56 UTC
Aunins John G.Chief Technology Officer & EVP
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-029325 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

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 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 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.

Read SEC document
December 19, 2017 Filed Dec 20, 2017 21:56 UTC
Aunins John G.Chief Technology Officer & EVP
SaleCommon Stock 1,623 $10.14 $16,457.22
Disclosure

SEC source: 0000899243-17-029325 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,437

Read SEC document
December 19, 2017 Filed Dec 20, 2017 21:56 UTC
Aunins John G.Chief Technology Officer & EVP
Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-029325 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,060

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
December 19, 2017 Filed Jan 31, 2018 01:54 UTC Amendment
Aunins John G.See Remarks
SaleCOMMON STOCK 1,623 $10.14 $16,457.22
Disclosure

SEC source: 0000899243-18-002323 · doc4a.xml · nonDerivative · entry 2

Aunins John G. · CIK 0001643756 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,502

F2 · balance_after: Due to a clerical error, the reporting person's original Form 4 filed on December 20, 2017 set forth an incorrect amount of common stock beneficially owned by the reporting person following the reported transaction. This Form 4/A corrects the error and presents the correct number of common stock beneficially owned by the reporting person following the reported transaction.

Read SEC document
December 19, 2017 Filed Jan 31, 2018 01:54 UTC Amendment
Aunins John G.See Remarks
Exercise / conversionCOMMON STOCK 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-002323 · doc4a.xml · nonDerivative · entry 1

Aunins John G. · CIK 0001643756 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,125

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.

F2 · balance_after: Due to a clerical error, the reporting person's original Form 4 filed on December 20, 2017 set forth an incorrect amount of common stock beneficially owned by the reporting person following the reported transaction. This Form 4/A corrects the error and presents the correct number of common stock beneficially owned by the reporting person following the reported transaction.

Read SEC document
July 18, 2017 Filed Jul 20, 2017 20:36 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 100,604 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0000899243-17-018635 · doc4.xml · derivative · entry 2

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 951,682

Underlying: Common Stock · 100,604 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.

F1 · 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 18, 2017 Filed Jul 20, 2017 20:36 UTC
Pomerantz RogerDirector · President and CEO
Exercise / conversionCommon Stock 100,604 $0.71 $71,428.84
Disclosure

SEC source: 0000899243-17-018635 · doc4.xml · nonDerivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,296

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 07, 2017 Filed Jul 10, 2017 20:42 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $11.14 $0.00
Disclosure

SEC source: 0000899243-17-018146 · doc4.xml · derivative · entry 1

Dere Willard H · CIK 0001311569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-07-06

F1 · derivative.exercise_date: The option will vest in four equal installments on each anniversary of 07/07/2017 or in full immediately prior to the occurrence of a change in control.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 17:15 UTC
Graves KurtDirector
GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $11.21 $0.00
Disclosure

SEC source: 0000899243-17-016860 · 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 2027-06-19

F1 · derivative.exercise_date: The option vests in full on the earlier of June 20, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 21:18 UTC
Afeyan NoubarDirector · 10% owner
GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $11.21 $0.00
Disclosure

SEC source: 0000899243-17-016863 · 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 2027-06-19

F1 · derivative.exercise_date: The option vests in full on the earlier of June 20, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 21:10 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $11.21 $0.00
Disclosure

SEC source: 0000899243-17-016855 · 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 2027-06-19

F1 · derivative.exercise_date: The option vests in full on the earlier of June 20, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 17:19 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $11.21 $0.00
Disclosure

SEC source: 0000899243-17-016865 · 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 2027-06-19

F1 · derivative.exercise_date: The option vests in full on the earlier of June 20, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 21:15 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $11.21 $0.00
Disclosure

SEC source: 0000899243-17-016859 · 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 2027-06-19

F1 · derivative.exercise_date: The option vests in full on the earlier of June 20, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 20, 2017 Filed Jun 21, 2017 21:09 UTC GrantStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $11.21 $0.00
Disclosure

SEC source: 0000899243-17-016854 · 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 2027-06-19

F1 · derivative.exercise_date: The option vests in full on the earlier of June 20, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 19, 2017 Filed Jun 21, 2017 21:24 UTC
Aunins John G.Chief Technology Officer & EVP
GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-016868 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

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 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 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.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:57 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantRestricted Stock Units · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-002129 · doc4.xml · derivative · entry 2

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F2 · 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 vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

F3 · derivative.expiration_date: These restricted stock units vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:57 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $9.89 $0.00
Disclosure

SEC source: 0000899243-17-002129 · doc4.xml · derivative · entry 1

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2027-01-25

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 26, 2018. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 17:50 UTC
COOK DAVID NChief Scientific Officer & EVP
GrantRestricted Stock Units · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-002119 · doc4.xml · derivative · entry 2

COOK DAVID N · CIK 0001233684 · Chief Scientific Officer & EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F2 · 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 vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

F3 · derivative.expiration_date: These restricted stock units vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 17:50 UTC
COOK DAVID NChief Scientific Officer & EVP
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $9.89 $0.00
Disclosure

SEC source: 0000899243-17-002119 · doc4.xml · derivative · entry 1

COOK DAVID N · CIK 0001233684 · Chief Scientific Officer & EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-01-25

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 26, 2018. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:51 UTC
Trucksis MicheleChief Medical Officer and EVP
GrantRestricted Stock Units · Derivative 37,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-002121 · doc4.xml · derivative · entry 2

Trucksis Michele · CIK 0001643736 · Chief Medical Officer and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires not disclosed

F2 · 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 vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

F3 · derivative.expiration_date: These restricted stock units vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:51 UTC
Trucksis MicheleChief Medical Officer and EVP
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $9.89 $0.00
Disclosure

SEC source: 0000899243-17-002121 · doc4.xml · derivative · entry 1

Trucksis Michele · CIK 0001643736 · Chief Medical Officer and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-01-25

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 26, 2018. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:56 UTC
Aunins John G.Chief Technology Officer & EVP
GrantRestricted Stock Units · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-002128 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F2 · 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 vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

F3 · derivative.expiration_date: These restricted stock units vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:56 UTC
Aunins John G.Chief Technology Officer & EVP
GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $9.89 $0.00
Disclosure

SEC source: 0000899243-17-002128 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-01-25

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 26, 2018. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:51 UTC
Pomerantz RogerDirector · President and CEO
GrantStock Option (right to buy) · Derivative 261,000 $0.00 Strike: $9.89 $0.00
Disclosure

SEC source: 0000899243-17-002120 · doc4.xml · derivative · entry 1

Pomerantz Roger · CIK 0001614936 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,000

Underlying: Common Stock · 261,000 shares

Expires 2027-01-25

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 26, 2018. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:56 UTC
Hashad WaelEVP & Chief Commercial Officer
GrantRestricted Stock Units · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-002127 · doc4.xml · derivative · entry 2

Hashad Wael · CIK 0001663009 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F2 · 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 vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

F3 · derivative.expiration_date: These restricted stock units vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:56 UTC
Hashad WaelEVP & Chief Commercial Officer
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $9.89 $0.00
Disclosure

SEC source: 0000899243-17-002127 · doc4.xml · derivative · entry 1

Hashad Wael · CIK 0001663009 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-01-25

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 26, 2018. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:55 UTC
Shaff Eric D.CFO and EVP
GrantRestricted Stock Units · Derivative 40,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-002126 · doc4.xml · derivative · entry 2

Shaff Eric D. · CIK 0001643734 · CFO and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires not disclosed

F2 · 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 vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

F3 · derivative.expiration_date: These restricted stock units vest as to 20% on January 26, 2018, 30% on January 26, 2019 and 50% on January 26, 2020.

Read SEC document
January 26, 2017 Filed Jan 27, 2017 22:55 UTC
Shaff Eric D.CFO and EVP
GrantStock Option (right to buy) · Derivative 105,000 $0.00 Strike: $9.89 $0.00
Disclosure

SEC source: 0000899243-17-002126 · doc4.xml · derivative · entry 1

Shaff Eric D. · CIK 0001643734 · CFO and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 105,000 shares

Expires 2027-01-25

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on January 26, 2018. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
September 19, 2016 Filed Sep 20, 2016 20:59 UTC
Aunins John G.Chief Technology Officer & EVP
GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $12.55 $0.00
Disclosure

SEC source: 0000899243-16-029446 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2026-09-18

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on September 19, 2017. 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.