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Nasdaq · USD

MCRB

Seres Therapeutics, Inc.

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Tapewire entity
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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 15, 2025 Filed Aug 19, 2025 20:07 UTC
DesRosier ThomasSee Remarks
Exercise / conversionCommon Stock 111 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-183436 · ownership.xml · nonDerivative · entry 2

DesRosier Thomas · CIK 0001435744 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,531

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
August 15, 2025 Filed Aug 19, 2025 20:07 UTC
DesRosier ThomasSee Remarks
Exercise / conversionCommon Stock 133 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-183436 · ownership.xml · nonDerivative · entry 1

DesRosier Thomas · CIK 0001435744 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,420

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
August 15, 2025 Filed Aug 19, 2025 20:08 UTC Exercise / conversionRestricted Stock Units · Derivative 333 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-110096 · ownership.xml · derivative · entry 5

Shaff Eric D. · CIK 0001643734 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,320

Underlying: Common Stock · 333 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: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F4 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
August 15, 2025 Filed Aug 19, 2025 20:08 UTC Exercise / conversionRestricted Stock Units · Derivative 391 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-110096 · ownership.xml · derivative · entry 4

Shaff Eric D. · CIK 0001643734 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,344

Underlying: Common Stock · 391 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: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F3 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
August 15, 2025 Filed Aug 19, 2025 20:08 UTC Exercise / conversionCommon Stock 333 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-110096 · ownership.xml · nonDerivative · entry 2

Shaff Eric D. · CIK 0001643734 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,826

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
August 15, 2025 Filed Aug 19, 2025 20:08 UTC Exercise / conversionCommon Stock 391 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-110096 · ownership.xml · nonDerivative · entry 1

Shaff Eric D. · CIK 0001643734 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,493

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
August 15, 2025 Filed Aug 19, 2025 20:07 UTC
Henn Matthew RSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 97 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-110090 · ownership.xml · derivative · entry 5

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 976

Underlying: Common Stock · 97 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: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F4 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
August 15, 2025 Filed Aug 19, 2025 20:07 UTC
Henn Matthew RSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 141 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-110090 · ownership.xml · derivative · entry 4

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 844

Underlying: Common Stock · 141 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: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F3 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
August 15, 2025 Filed Aug 19, 2025 20:07 UTC
Henn Matthew RSee Remarks
Exercise / conversionCommon Stock 97 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-110090 · ownership.xml · nonDerivative · entry 2

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,621

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
August 15, 2025 Filed Aug 19, 2025 20:07 UTC
Henn Matthew RSee Remarks
Exercise / conversionCommon Stock 141 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-110090 · ownership.xml · nonDerivative · entry 1

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,524

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
August 15, 2025 Filed Aug 19, 2025 20:06 UTC
Young Teresa L.See Remarks
Exercise / conversionRestricted Stock Units · Derivative 97 $0.00 $0.00
Disclosure

SEC source: 0001193125-25-183434 · ownership.xml · derivative · entry 5

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 976

Underlying: Common Stock · 97 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: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F4 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
August 15, 2025 Filed Aug 19, 2025 20:06 UTC
Young Teresa L.See Remarks
Exercise / conversionRestricted Stock Units · Derivative 133 $0.00 $0.00
Disclosure

SEC source: 0001193125-25-183434 · ownership.xml · derivative · entry 4

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 796

Underlying: Common Stock · 133 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: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F3 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
August 15, 2025 Filed Aug 19, 2025 20:06 UTC
Young Teresa L.See Remarks
Exercise / conversionCommon Stock 97 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-183434 · ownership.xml · nonDerivative · entry 2

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,274

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
August 15, 2025 Filed Aug 19, 2025 20:06 UTC
Young Teresa L.See Remarks
Exercise / conversionCommon Stock 133 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-183434 · ownership.xml · nonDerivative · entry 1

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,177

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
August 05, 2025 Filed Aug 6, 2025 20:10 UTC GrantStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $14.28 $0.00
Disclosure

SEC source: 0000950170-25-104016 · ownership.xml · derivative · entry 1

Rosiello Robert L. · CIK 0001645041 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2035-08-05

F1 · derivative.exercise_date: The option vests and becomes exercisable in four equal quarterly installments occurring on August 5, 2026, August 5, 2027, August 5, 2028, August 5, 2029, subject to the reporting person continuing in service on the Board as a non-employee director through the applicable vesting date.

Read SEC document
July 01, 2025 Filed Jul 2, 2025 21:38 UTC GrantStock Option (right to buy) · Derivative 11,470 $0.00 Strike: $10.71 $0.00
Disclosure

SEC source: 0000950170-25-093285 · ownership.xml · derivative · entry 1

Berenson Stephen · CIK 0001760671 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,470

Underlying: Common Stock · 11,470 shares

Expires 2035-07-01

F1 · derivative.exercise_date: The option vests and becomes exercisable in four equal quarterly installments occurring on October 1, 2025, January 1, 2026, April 1, 2026, and July 1, 2026, provided that if the issuer's 2026 annual meeting of stockholders occurs before July 1, 2026, the final quarterly vesting installment will vest on the day immediately prior to the date of such annual meeting, in each case, subject to the reporting person continuing in service on the Board as a non-employee director through the applicable vesting date.

Read SEC document
July 01, 2025 Filed Jul 2, 2025 21:58 UTC GrantStock Option (right to buy) · Derivative 6,452 $0.00 Strike: $10.71 $0.00
Disclosure

SEC source: 0000950170-25-093311 · ownership.xml · derivative · entry 1

Ausiello Dennis A · CIK 0001381994 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,452

Underlying: Common Stock · 6,452 shares

Expires 2035-07-01

F1 · derivative.exercise_date: The option vests and becomes exercisable in four equal quarterly installments occurring on October 1, 2025, January 1, 2026, April 1, 2026, and July 1, 2026, provided that if the issuer's 2026 annual meeting of stockholders occurs before July 1, 2026, the final quarterly vesting installment will vest on the day immediately prior to the date of such annual meeting, in each case, subject to the reporting person continuing in service on the Board as a non-employee director through the applicable vesting date.

Read SEC document
July 01, 2025 Filed Jul 2, 2025 17:34 UTC GrantStock Option (right to buy) · Derivative 6,452 $0.00 Strike: $10.71 $0.00
Disclosure

SEC source: 0000950170-25-093273 · ownership.xml · derivative · entry 1

Fraser Claire · CIK 0001382031 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,452

Underlying: Common Stock · 6,452 shares

Expires 2035-07-01

F1 · derivative.exercise_date: The option vests and becomes exercisable in four equal quarterly installments occurring on October 1, 2025, January 1, 2026, April 1, 2026, and July 1, 2026, provided that if the issuer's 2026 annual meeting of stockholders occurs before July 1, 2026, the final quarterly vesting installment will vest on the day immediately prior to the date of such annual meeting, in each case, subject to the reporting person continuing in service on the Board as a non-employee director through the applicable vesting date.

Read SEC document
May 16, 2025 Filed May 19, 2025 20:05 UTC
Young Teresa L.See Remarks
SaleCommon Stock 63 $7.28 $458.64
Disclosure

SEC source: 0000950170-25-074328 · ownership.xml · nonDerivative · entry 3

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,044

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on March 5, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 16, 2025 Filed May 19, 2025 20:05 UTC
Shaff Eric D.Director · CEO and President
SaleCommon Stock 220 $7.28 $1,601.60
Disclosure

SEC source: 0000950170-25-074327 · ownership.xml · nonDerivative · entry 3

Shaff Eric D. · CIK 0001643734 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,102

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on March 2, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 16, 2025 Filed May 19, 2025 20:05 UTC
Henn Matthew RSee Remarks
SaleCommon Stock 77 $7.28 $560.56
Disclosure

SEC source: 0000950170-25-074323 · ownership.xml · nonDerivative · entry 3

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,383

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on April 13, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
DesRosier ThomasChief Legal Officer and EVP
Exercise / conversionRestricted Stock Units · Derivative 111 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-074325 · ownership.xml · derivative · entry 5

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,224

Underlying: Common Stock · 111 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.

F5 · derivative.exercise_date: The restricted stock units have vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F5 · derivative.expiration_date: The restricted stock units have vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
DesRosier ThomasChief Legal Officer and EVP
Exercise / conversionRestricted Stock Units · Derivative 133 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-074325 · ownership.xml · derivative · entry 4

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 929

Underlying: Common Stock · 133 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: The restricted stock units have vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F4 · derivative.expiration_date: The restricted stock units have vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
DesRosier ThomasChief Legal Officer and EVP
SaleCommon Stock 79 $7.28 $575.12
Disclosure

SEC source: 0000950170-25-074325 · ownership.xml · nonDerivative · entry 3

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,287

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on March 2, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
DesRosier ThomasChief Legal Officer and EVP
Exercise / conversionCommon Stock 111 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-074325 · ownership.xml · nonDerivative · entry 2

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,366

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: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
DesRosier ThomasChief Legal Officer and EVP
Exercise / conversionCommon Stock 133 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-074325 · ownership.xml · nonDerivative · entry 1

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,255

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: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Young Teresa L.See Remarks
Exercise / conversionRestricted Stock Units · Derivative 98 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-074328 · ownership.xml · derivative · entry 5

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,073

Underlying: Common Stock · 98 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.

F5 · derivative.exercise_date: The restricted stock units have vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F5 · derivative.expiration_date: The restricted stock units have vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Young Teresa L.See Remarks
Exercise / conversionRestricted Stock Units · Derivative 133 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-074328 · ownership.xml · derivative · entry 4

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 929

Underlying: Common Stock · 133 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: The restricted stock units have vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F4 · derivative.expiration_date: The restricted stock units have vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Young Teresa L.See Remarks
Exercise / conversionCommon Stock 98 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-074328 · ownership.xml · nonDerivative · entry 2

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,107

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: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Young Teresa L.See Remarks
Exercise / conversionCommon Stock 133 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-074328 · ownership.xml · nonDerivative · entry 1

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,009

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: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Shaff Eric D.Director · CEO and President
Exercise / conversionRestricted Stock Units · Derivative 331 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-074327 · ownership.xml · derivative · entry 5

Shaff Eric D. · CIK 0001643734 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,653

Underlying: Common Stock · 331 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.

F5 · derivative.exercise_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F5 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

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May 15, 2025 Filed May 19, 2025 20:05 UTC
Shaff Eric D.Director · CEO and President
Exercise / conversionRestricted Stock Units · Derivative 390 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-074327 · ownership.xml · derivative · entry 4

Shaff Eric D. · CIK 0001643734 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,735

Underlying: Common Stock · 390 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: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F4 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Shaff Eric D.Director · CEO and President
Exercise / conversionCommon Stock 331 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-074327 · ownership.xml · nonDerivative · entry 2

Shaff Eric D. · CIK 0001643734 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,322

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: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Shaff Eric D.Director · CEO and President
Exercise / conversionCommon Stock 390 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-074327 · ownership.xml · nonDerivative · entry 1

Shaff Eric D. · CIK 0001643734 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,991

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: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Henn Matthew RSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 98 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-074323 · ownership.xml · derivative · entry 5

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,073

Underlying: Common Stock · 98 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.

F5 · derivative.exercise_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F5 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Henn Matthew RSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 140 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-074323 · ownership.xml · derivative · entry 4

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 985

Underlying: Common Stock · 140 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: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F4 · derivative.expiration_date: The restricted stock units vested and settled as to 25% of the restricted stock units on February 15, 2024. The remainder of the restricted stock units have vested and settled or will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F2 · balance_after: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Henn Matthew RSee Remarks
Exercise / conversionCommon Stock 98 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-074323 · ownership.xml · nonDerivative · entry 2

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,460

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: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
May 15, 2025 Filed May 19, 2025 20:05 UTC
Henn Matthew RSee Remarks
Exercise / conversionCommon Stock 140 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-074323 · ownership.xml · nonDerivative · entry 1

Henn Matthew R · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,362

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: Reflects a 1-for-20 reverse stock split effected on April 21, 2025.

Read SEC document
April 10, 2025 Filed Apr 11, 2025 20:05 UTC GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $0.58 $0.00
Disclosure

SEC source: 0000950170-25-053247 · ownership.xml · derivative · entry 1

Berenson Stephen · CIK 0001760671 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-04-09

F1 · derivative.exercise_date: The option vests in full on the earlier of April 10, 2026 or the day immediately prior to the company's 2026 annual meeting of shareholders.

Read SEC document
April 10, 2025 Filed Apr 11, 2025 16:05 UTC
Graves KurtDirector
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $0.58 $0.00
Disclosure

SEC source: 0000950170-25-053248 · ownership.xml · derivative · entry 1

Graves Kurt · CIK 0001406337 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-04-09

F1 · derivative.exercise_date: The option vests in full on the earlier of April 10, 2026 or the day immediately prior to the company's 2026 annual meeting of shareholders.

Read SEC document
April 10, 2025 Filed Apr 11, 2025 20:05 UTC GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $0.58 $0.00
Disclosure

SEC source: 0000950170-25-053243 · ownership.xml · derivative · entry 1

Dere Willard H · CIK 0001311569 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-04-09

F1 · derivative.exercise_date: The option vests in full on the earlier of April 10, 2026 or the day immediately prior to the company's 2026 annual meeting of shareholders.

Read SEC document
April 10, 2025 Filed Apr 11, 2025 20:05 UTC GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $0.58 $0.00
Disclosure

SEC source: 0000950170-25-053245 · ownership.xml · derivative · entry 1

Ausiello Dennis A · CIK 0001381994 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-04-09

F1 · derivative.exercise_date: The option vests in full on the earlier of April 10, 2026 or the day immediately prior to the company's 2026 annual meeting of shareholders.

Read SEC document
April 10, 2025 Filed Apr 11, 2025 16:05 UTC GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $0.58 $0.00
Disclosure

SEC source: 0000950170-25-053246 · ownership.xml · derivative · entry 1

Kender Richard N · CIK 0001381205 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-04-09

F1 · derivative.exercise_date: The option vests in full on the earlier of April 10, 2026 or the day immediately prior to the company's 2026 annual meeting of shareholders.

Read SEC document
April 10, 2025 Filed Apr 11, 2025 16:05 UTC GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $0.58 $0.00
Disclosure

SEC source: 0000950170-25-053249 · ownership.xml · derivative · entry 1

Fraser Claire · CIK 0001382031 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-04-09

F1 · derivative.exercise_date: The option vests in full on the earlier of April 10, 2026 or the day immediately prior to the company's 2026 annual meeting of shareholders.

Read SEC document
April 10, 2025 Filed Apr 11, 2025 20:05 UTC
Biondi PaulDirector
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $0.58 $0.00
Disclosure

SEC source: 0000950170-25-053250 · ownership.xml · derivative · entry 1

Biondi Paul · CIK 0001744508 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-04-09

F1 · derivative.exercise_date: The option vests in full on the earlier of April 10, 2026 or the day immediately prior to the company's 2026 annual meeting of shareholders.

Read SEC document
February 18, 2025 Filed Feb 20, 2025 01:05 UTC
von Moltke LisaSee Remarks
SaleCommon Stock 4,416 $0.81 $3,579.17
Disclosure

SEC source: 0000950170-25-023569 · ownership.xml · nonDerivative · entry 3

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,875

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on March 11, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F3 · price: The price reported in column 4 is a weighted average of the sale prices. These shares were sold in multiple transactions at prices ranging from $0.81 to $0.8376, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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
February 18, 2025 Filed Feb 20, 2025 01:07 UTC
DesRosier ThomasChief Legal Officer and EVP
SaleCommon Stock 4,300 $0.81 $3,485.15
Disclosure

SEC source: 0000950170-25-023573 · ownership.xml · nonDerivative · entry 3

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 142,456

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on March 2, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F3 · price: The price reported in column 4 is a weighted average of the sale prices. These shares were sold in multiple transactions at prices ranging from $0.81 to $0.8385, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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
February 18, 2025 Filed Feb 20, 2025 01:11 UTC
Young Teresa L.See Remarks
SaleCommon Stock 3,338 $0.81 $2,704.45
Disclosure

SEC source: 0000950170-25-023584 · ownership.xml · nonDerivative · entry 3

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 97,536

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on March 5, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F3 · price: The price reported in column 4 is a weighted average of the sale prices. These shares were sold in multiple transactions at prices ranging from $0.81 to $0.832001, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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
February 18, 2025 Filed Feb 20, 2025 01:10 UTC
Henn Matthew RSee Remarks
SaleCommon Stock 3,953 $0.81 $3,203.51
Disclosure

SEC source: 0000950170-25-023580 · ownership.xml · nonDerivative · entry 3

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 84,443

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on April 13, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F3 · price: The price reported in column 4 is a weighted average of the sale prices. These shares were sold in multiple transactions at prices ranging from $0.81 to $0.8349, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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
February 18, 2025 Filed Feb 20, 2025 01:08 UTC
Shaff Eric D.Director · CEO and President
SaleCommon Stock 12,726 $0.81 $10,314.42
Disclosure

SEC source: 0000950170-25-023575 · ownership.xml · nonDerivative · entry 3

Shaff Eric D. · CIK 0001643734 · Director · CEO and President

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 192,039

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on March 2, 2023, solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

F3 · price: The price reported in column 4 is a weighted average of the sale prices. These shares were sold in multiple transactions at prices ranging from $0.81 to $0.8354, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.