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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

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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
April 04, 2024 Filed Apr 8, 2024 16:45 UTC
Graves KurtDirector
GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0000950170-24-042654 · ownership.xml · derivative · entry 1

Graves Kurt · CIK 0001406337 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-04-03

F1 · derivative.exercise_date: The option vests in full on the earlier of April 4, 2025 or the day immediately prior to the company's 2025 annual meeting of shareholders.

Read SEC document
April 04, 2024 Filed Apr 8, 2024 20:45 UTC GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0000950170-24-042652 · ownership.xml · derivative · entry 1

Dere Willard H · CIK 0001311569 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-04-03

F1 · derivative.exercise_date: The option vests in full on the earlier of April 4, 2025 or the day immediately prior to the company's 2025 annual meeting of shareholders.

Read SEC document
April 04, 2024 Filed Apr 8, 2024 20:45 UTC GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0000950170-24-042656 · ownership.xml · derivative · entry 1

Ausiello Dennis A · CIK 0001381994 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-04-03

F1 · derivative.exercise_date: The option vests in full on the earlier of April 4, 2025 or the day immediately prior to the company's 2025 annual meeting of shareholders.

Read SEC document
April 04, 2024 Filed Apr 8, 2024 16:45 UTC GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0000950170-24-042651 · ownership.xml · derivative · entry 1

Kender Richard N · CIK 0001381205 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-04-03

F1 · derivative.exercise_date: The option vests in full on the earlier of April 4, 2025 or the day immediately prior to the company's 2025 annual meeting of shareholders.

Read SEC document
April 04, 2024 Filed Apr 8, 2024 16:45 UTC GrantStock Option (right to buy · Derivative 60,000 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0000950170-24-042655 · ownership.xml · derivative · entry 1

Fraser Claire · CIK 0001382031 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-04-03

F1 · derivative.exercise_date: The option vests in full on the earlier of April 4, 2025 or the day immediately prior to the company's 2025 annual meeting of shareholders.

Read SEC document
April 04, 2024 Filed Apr 8, 2024 20:45 UTC
Biondi PaulDirector
GrantStock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $0.76 $0.00
Disclosure

SEC source: 0000950170-24-042657 · ownership.xml · derivative · entry 1

Biondi Paul · CIK 0001744508 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-04-03

F1 · derivative.exercise_date: The option vests in full on the earlier of April 4, 2025 or the day immediately prior to the company's 2025 annual meeting of shareholders.

Read SEC document
March 25, 2024 Filed Mar 27, 2024 20:20 UTC
Thorell MarellaSee Remarks
GrantStock Options (right to buy) · Derivative 700,000 $0.00 Strike: $0.79 $0.00
Disclosure

SEC source: 0000950170-24-037213 · ownership.xml · derivative · entry 1

Thorell Marella · CIK 0001826323 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common Stock · 700,000 shares

Expires 2034-03-24

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on March 25, 2025. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 16, 2024 Filed Feb 17, 2024 02:21 UTC
von Moltke LisaSee Remarks
SaleCommon Stock 4,400 $1.08 $4,752.00
Disclosure

SEC source: 0000950170-24-016690 · ownership.xml · nonDerivative · entry 2

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 16,988

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 price. These shares were sold in multiple transactions at prices ranging from $1.08 to $1.115, 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 16, 2024 Filed Feb 17, 2024 02:48 UTC
DesRosier ThomasChief Legal Officer and EVP
SaleCommon Stock 3,939 $1.08 $4,254.12
Disclosure

SEC source: 0000950170-24-016712 · ownership.xml · nonDerivative · entry 2

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 120,577

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 price. These shares were sold in multiple transactions at prices ranging from $1.08 to $1.115, 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 16, 2024 Filed Feb 16, 2024 21:13 UTC
Arkowitz DavidChief Financial Officer
SaleCommon Stock 3,939 $1.08 $4,254.12
Disclosure

SEC source: 0000950170-24-016687 · ownership.xml · nonDerivative · entry 2

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 182,442

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 price. These shares were sold in multiple transactions at prices ranging from $1.08 to $1.115, 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 16, 2024 Filed Feb 17, 2024 02:42 UTC
Shaff Eric D.Director · CEO and President
SaleCommon Stock 11,549 $1.08 $12,472.92
Disclosure

SEC source: 0000950170-24-016710 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 135,321

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 price. These shares were sold in multiple transactions at prices ranging from $1.08 to $1.1101, 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 16, 2024 Filed Feb 17, 2024 02:31 UTC
Henn Matthew RSee Remarks
SaleCommon Stock 4,170 $1.08 $4,503.60
Disclosure

SEC source: 0000950170-24-016695 · ownership.xml · nonDerivative · entry 2

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 63,436

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 price. These shares were sold in multiple transactions at prices ranging from $1.08 to $1.115, 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 16, 2024 Filed Feb 17, 2024 02:29 UTC
Young Teresa L.See Remarks
SaleCommon Stock 3,374 $1.08 $3,643.92
Disclosure

SEC source: 0000950170-24-016694 · ownership.xml · nonDerivative · entry 2

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,705

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 price. These shares were sold in multiple transactions at prices ranging from $1.08 to $1.115, 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 16, 2024 Filed Feb 17, 2024 02:15 UTC
Ege David S.See Remarks
SaleCommon Stock 5,010 $1.08 $5,410.80
Disclosure

SEC source: 0000950170-24-016688 · ownership.xml · nonDerivative · entry 2

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 73,856

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 price. These shares were sold in multiple transactions at prices ranging from $1.08 to $1.115, 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 15, 2024 Filed Feb 17, 2024 02:21 UTC
von Moltke LisaSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 11,875 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016690 · ownership.xml · derivative · entry 6

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,625

Underlying: Common Stock · 11,875 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.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 15, 2024 Filed Feb 17, 2024 02:21 UTC
von Moltke LisaSee Remarks
Exercise / conversionCommon Stock 11,875 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-016690 · ownership.xml · nonDerivative · entry 1

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 21,388

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
February 15, 2024 Filed Feb 17, 2024 02:48 UTC
DesRosier ThomasChief Legal Officer and EVP
Exercise / conversionRestricted Stock Units · Derivative 10,625 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016712 · ownership.xml · derivative · entry 6

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,875

Underlying: Common Stock · 10,625 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.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 15, 2024 Filed Feb 17, 2024 02:48 UTC
DesRosier ThomasChief Legal Officer and EVP
Exercise / conversionCommon Stock 10,625 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-016712 · ownership.xml · nonDerivative · entry 1

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 124,516

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
February 15, 2024 Filed Feb 16, 2024 21:13 UTC
Arkowitz DavidChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 10,625 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016687 · ownership.xml · derivative · entry 6

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,875

Underlying: Common Stock · 10,625 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.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 15, 2024 Filed Feb 16, 2024 21:13 UTC
Arkowitz DavidChief Financial Officer
Exercise / conversionCommon Stock 10,625 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-016687 · ownership.xml · nonDerivative · entry 1

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 186,381

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
February 15, 2024 Filed Feb 17, 2024 02:42 UTC
Shaff Eric D.Director · CEO and President
Exercise / conversionRestricted Stock Units · Derivative 31,250 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016710 · ownership.xml · derivative · entry 6

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 93,750

Underlying: Common Stock · 31,250 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.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 15, 2024 Filed Feb 17, 2024 02:42 UTC
Shaff Eric D.Director · CEO and President
Exercise / conversionCommon Stock 31,250 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-016710 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 146,870

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
February 15, 2024 Filed Feb 17, 2024 02:31 UTC
Henn Matthew RSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 11,250 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016695 · ownership.xml · derivative · entry 6

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 33,750

Underlying: Common Stock · 11,250 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.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 15, 2024 Filed Feb 17, 2024 02:31 UTC
Henn Matthew RSee Remarks
Exercise / conversionCommon Stock 11,250 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-016695 · ownership.xml · nonDerivative · entry 1

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 67,606

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
February 15, 2024 Filed Feb 17, 2024 02:29 UTC
Young Teresa L.See Remarks
Exercise / conversionRestricted Stock Units · Derivative 10,625 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016694 · ownership.xml · derivative · entry 6

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,875

Underlying: Common Stock · 10,625 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.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 15, 2024 Filed Feb 17, 2024 02:29 UTC
Young Teresa L.See Remarks
Exercise / conversionCommon Stock 10,625 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-016694 · ownership.xml · nonDerivative · entry 1

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 19,079

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
February 15, 2024 Filed Feb 17, 2024 02:15 UTC
Ege David S.See Remarks
Exercise / conversionRestricted Stock Units · Derivative 11,875 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016688 · ownership.xml · derivative · entry 6

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,625

Underlying: Common Stock · 11,875 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.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F7 · 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 will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 15, 2024 Filed Feb 17, 2024 02:15 UTC
Ege David S.See Remarks
Exercise / conversionCommon Stock 11,875 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-016688 · ownership.xml · nonDerivative · entry 1

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 78,866

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
February 14, 2024 Filed Feb 17, 2024 02:21 UTC
von Moltke LisaSee Remarks
GrantRestricted Stock Units · Derivative 35,625 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016690 · ownership.xml · derivative · entry 5

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,625

Underlying: Common Stock · 35,625 shares

Expires not disclosed

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

F6 · derivative.exercise_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F6 · derivative.expiration_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:21 UTC
von Moltke LisaSee Remarks
GrantStock Option (Right to Buy) · Derivative 287,905 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016690 · ownership.xml · derivative · entry 4

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 287,905

Underlying: Common Stock · 287,905 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option will vest, if at all, in two substantially equal installments upon achievement of a 30-day trailing average public market closing price per share of the Issuer's common stock greater than or equal to $3.00 and $5.00, respectively.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:21 UTC
von Moltke LisaSee Remarks
GrantStock Option (Right to Buy) · Derivative 213,750 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016690 · ownership.xml · derivative · entry 3

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 213,750

Underlying: Common Stock · 213,750 shares

Expires 2034-02-13

F4 · derivative.exercise_date: The option will vest as to 25% of the shares on February 14, 2025. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:48 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantRestricted Stock Units · Derivative 35,625 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016712 · ownership.xml · derivative · entry 5

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,625

Underlying: Common Stock · 35,625 shares

Expires not disclosed

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

F6 · derivative.exercise_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F6 · derivative.expiration_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

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February 14, 2024 Filed Feb 17, 2024 02:48 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantStock Option (Right to Buy) · Derivative 287,905 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016712 · ownership.xml · derivative · entry 4

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 287,905

Underlying: Common Stock · 287,905 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option will vest, if at all, in two substantially equal installments upon achievement of a 30-day trailing average public market closing price per share of the Issuer's common stock greater than or equal to $3.00 and $5.00, respectively.

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February 14, 2024 Filed Feb 17, 2024 02:48 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantStock Option (Right to Buy) · Derivative 213,750 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016712 · ownership.xml · derivative · entry 3

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 213,750

Underlying: Common Stock · 213,750 shares

Expires 2034-02-13

F4 · derivative.exercise_date: The option will vest as to 25% of the shares on February 14, 2025. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

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February 14, 2024 Filed Feb 16, 2024 21:13 UTC
Arkowitz DavidChief Financial Officer
GrantRestricted Stock Units · Derivative 35,625 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016687 · ownership.xml · derivative · entry 5

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,625

Underlying: Common Stock · 35,625 shares

Expires not disclosed

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

F6 · derivative.exercise_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F6 · derivative.expiration_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:13 UTC
Arkowitz DavidChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 287,905 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016687 · ownership.xml · derivative · entry 4

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 287,905

Underlying: Common Stock · 287,905 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option will vest, if at all, in two substantially equal installments upon achievement of a 30-day trailing average public market closing price per share of the Issuer's common stock greater than or equal to $3.00 and $5.00, respectively.

Read SEC document
February 14, 2024 Filed Feb 16, 2024 21:13 UTC
Arkowitz DavidChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 213,750 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016687 · ownership.xml · derivative · entry 3

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 213,750

Underlying: Common Stock · 213,750 shares

Expires 2034-02-13

F4 · derivative.exercise_date: The option will vest as to 25% of the shares on February 14, 2025. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:42 UTC
Shaff Eric D.Director · CEO and President
GrantRestricted Stock Units · Derivative 106,250 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016710 · ownership.xml · derivative · entry 5

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 106,250

Underlying: Common Stock · 106,250 shares

Expires not disclosed

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

F6 · derivative.exercise_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F6 · derivative.expiration_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:42 UTC
Shaff Eric D.Director · CEO and President
GrantStock Option (Right to Buy) · Derivative 822,580 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016710 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 822,580

Underlying: Common Stock · 822,580 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option will vest, if at all, in two substantially equal installments upon achievement of a 30-day trailing average public market closing price per share of the Issuer's common stock greater than or equal to $3.00 and $5.00, respectively.

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February 14, 2024 Filed Feb 17, 2024 02:42 UTC
Shaff Eric D.Director · CEO and President
GrantStock Option (Right to Buy) · Derivative 637,500 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016710 · ownership.xml · derivative · entry 3

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 637,500

Underlying: Common Stock · 637,500 shares

Expires 2034-02-13

F4 · derivative.exercise_date: The option will vest as to 25% of the shares on February 14, 2025. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:31 UTC
Henn Matthew RSee Remarks
GrantRestricted Stock Units · Derivative 31,250 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016695 · ownership.xml · derivative · entry 5

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common Stock · 31,250 shares

Expires not disclosed

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

F6 · derivative.exercise_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F6 · derivative.expiration_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:31 UTC
Henn Matthew RSee Remarks
GrantStock Option (Right to Buy) · Derivative 287,905 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016695 · ownership.xml · derivative · entry 4

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 287,905

Underlying: Common Stock · 287,905 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option will vest, if at all, in two substantially equal installments upon achievement of a 30-day trailing average public market closing price per share of the Issuer's common stock greater than or equal to $3.00 and $5.00, respectively.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:31 UTC
Henn Matthew RSee Remarks
GrantStock Option (Right to Buy) · Derivative 187,500 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016695 · ownership.xml · derivative · entry 3

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 187,500

Underlying: Common Stock · 187,500 shares

Expires 2034-02-13

F4 · derivative.exercise_date: The option will vest as to 25% of the shares on February 14, 2025. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:29 UTC
Young Teresa L.See Remarks
GrantRestricted Stock Units · Derivative 31,250 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016694 · ownership.xml · derivative · entry 5

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common Stock · 31,250 shares

Expires not disclosed

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

F6 · derivative.exercise_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F6 · derivative.expiration_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:29 UTC
Young Teresa L.See Remarks
GrantStock Option (Right to Buy) · Derivative 287,905 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016694 · ownership.xml · derivative · entry 4

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 287,905

Underlying: Common Stock · 287,905 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option will vest, if at all, in two substantially equal installments upon achievement of a 30-day trailing average public market closing price per share of the Issuer's common stock greater than or equal to $3.00 and $5.00, respectively.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:29 UTC
Young Teresa L.See Remarks
GrantStock Option (Right to Buy) · Derivative 187,500 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016694 · ownership.xml · derivative · entry 3

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 187,500

Underlying: Common Stock · 187,500 shares

Expires 2034-02-13

F4 · derivative.exercise_date: The option will vest as to 25% of the shares on February 14, 2025. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:15 UTC
Ege David S.See Remarks
GrantRestricted Stock Units · Derivative 31,250 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-016688 · ownership.xml · derivative · entry 5

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common Stock · 31,250 shares

Expires not disclosed

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

F6 · derivative.exercise_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

F6 · derivative.expiration_date: The restricted stock units will vest and settle as to 25% of the restricted stock units on February 15, 2025. The remainder of the restricted stock units will vest and settle in 12 equal quarterly installments thereafter. The restricted stock units have no expiration date.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:15 UTC
Ege David S.See Remarks
GrantStock Option (Right to Buy) · Derivative 287,905 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016688 · ownership.xml · derivative · entry 4

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 287,905

Underlying: Common Stock · 287,905 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option will vest, if at all, in two substantially equal installments upon achievement of a 30-day trailing average public market closing price per share of the Issuer's common stock greater than or equal to $3.00 and $5.00, respectively.

Read SEC document
February 14, 2024 Filed Feb 17, 2024 02:15 UTC
Ege David S.See Remarks
GrantStock Option (Right to Buy) · Derivative 187,500 $0.00 Strike: $1.10 $0.00
Disclosure

SEC source: 0000950170-24-016688 · ownership.xml · derivative · entry 3

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 187,500

Underlying: Common Stock · 187,500 shares

Expires 2034-02-13

F4 · derivative.exercise_date: The option will vest as to 25% of the shares on February 14, 2025. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
October 30, 2023 Filed Nov 1, 2023 01:36 UTC
von Moltke LisaSee Remarks
SaleCommon Stock 4,232 $1.35 $5,713.20
Disclosure

SEC source: 0000899243-23-020070 · doc4.xml · nonDerivative · entry 2

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,513

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

F3 · price: The price reported in column 4 is a weighted average of the price. These shares were sold in multiple transactions at prices ranging from $1.3406 to $1.4115, 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.