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Nasdaq · USD

MCRB

Seres Therapeutics, Inc.

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7191
SEC CIK
0001609809
Parsed reports
301

Last 12 months

Inside the activity.

0 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202504
Dec 202500
Jan 202600
Feb 202604
Mar 202600
Apr 202600
May 202604
Jun 202600
Jul 202600
Aug 202604
Sep 202600
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 30, 2023 Filed Nov 1, 2023 01:39 UTC
DesRosier ThomasChief Legal Officer and EVP
SaleCommon Stock 4,156 $1.35 $5,610.60
Disclosure

SEC source: 0000899243-23-020076 · doc4.xml · nonDerivative · entry 2

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 113,891

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on May 4, 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 $1.35 to $1.385, 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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October 30, 2023 Filed Oct 31, 2023 21:39 UTC
Arkowitz DavidChief Financial Officer
SaleCommon Stock 4,066 $1.35 $5,489.10
Disclosure

SEC source: 0000899243-23-020077 · doc4.xml · nonDerivative · entry 2

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 175,756

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 21, 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 $1.35 to $1.365, 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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October 30, 2023 Filed Nov 1, 2023 01:43 UTC
Cloghessy PaulaSee Remarks
SaleCommon Stock 2,904 $1.35 $3,920.40
Disclosure

SEC source: 0000899243-23-020082 · doc4.xml · nonDerivative · entry 2

Cloghessy Paula · CIK 0001744682 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,684

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 17, 2023, solely with the intent to cover taxes in connection with the vesting of the RSUs.

F4 · 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 $1.35 to $1.3614, 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
October 30, 2023 Filed Nov 1, 2023 01:40 UTC
Shaff Eric D.Director · CEO and President
SaleCommon Stock 8,552 $1.35 $11,545.20
Disclosure

SEC source: 0000899243-23-020080 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 115,620

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 4, 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 $1.35 to $1.385, 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
October 30, 2023 Filed Nov 1, 2023 01:40 UTC
Young Teresa L.See Remarks
SaleCommon Stock 2,907 $1.35 $3,924.45
Disclosure

SEC source: 0000899243-23-020079 · doc4.xml · nonDerivative · entry 2

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,454

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 18, 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 $1.3425 to $1.405, 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
October 30, 2023 Filed Nov 1, 2023 01:39 UTC
Ege David S.See Remarks
SaleCommon Stock 4,066 $1.35 $5,489.10
Disclosure

SEC source: 0000899243-23-020075 · doc4.xml · nonDerivative · entry 2

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 66,991

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 17, 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 $1.3425 to $1.405, 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
October 30, 2023 Filed Nov 1, 2023 01:36 UTC
Henn Matthew RSee Remarks
SaleCommon Stock 3,886 $1.35 $5,246.10
Disclosure

SEC source: 0000899243-23-020069 · doc4.xml · nonDerivative · entry 2

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 56,356

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 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 $1.35 to $1.385, 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
October 27, 2023 Filed Nov 1, 2023 01:36 UTC
von Moltke LisaSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 13,745 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020070 · doc4.xml · derivative · entry 4

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,744

Underlying: Common Stock · 13,745 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 27,489 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,745 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,744 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 27,489 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,745 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,744 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:36 UTC
von Moltke LisaSee Remarks
Exercise / conversionCommon Stock 13,745 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020070 · doc4.xml · nonDerivative · entry 1

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,745

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 · kind: On February 3, 2023, the reporting person was granted an award of 27,489 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,745 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,744 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:39 UTC
DesRosier ThomasChief Legal Officer and EVP
Exercise / conversionRestricted Stock Units · Derivative 13,501 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020076 · doc4.xml · derivative · entry 4

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,500

Underlying: Common Stock · 13,501 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 27,001 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,501 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,500 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 27,001 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,501 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,500 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:39 UTC
DesRosier ThomasChief Legal Officer and EVP
Exercise / conversionCommon Stock 13,501 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020076 · doc4.xml · nonDerivative · entry 1

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 118,047

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 · kind: On February 3, 2023, the reporting person was granted an award of 27,001 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,501 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,500 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

Read SEC document
October 27, 2023 Filed Oct 31, 2023 21:39 UTC
Arkowitz DavidChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 13,209 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020077 · doc4.xml · derivative · entry 4

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,209

Underlying: Common Stock · 13,209 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 26,418 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,209 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,209 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 26,418 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,209 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,209 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
October 27, 2023 Filed Oct 31, 2023 21:39 UTC
Arkowitz DavidChief Financial Officer
Exercise / conversionCommon Stock 13,209 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020077 · doc4.xml · nonDerivative · entry 1

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 179,822

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 · kind: On February 3, 2023, the reporting person was granted an award of 26,418 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,209 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,209 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:43 UTC
Cloghessy PaulaSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 9,418 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020082 · doc4.xml · derivative · entry 4

Cloghessy Paula · CIK 0001744682 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,417

Underlying: Common Stock · 9,418 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.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 18,835 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 9,418 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 9,417 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 18,835 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 9,418 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 9,417 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F5 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:43 UTC
Cloghessy PaulaSee Remarks
Exercise / conversionCommon Stock 9,418 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020082 · doc4.xml · nonDerivative · entry 1

Cloghessy Paula · CIK 0001744682 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 48,588

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 · kind: On February 3, 2023, the reporting person was granted an award of 18,835 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 9,418 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 9,417 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F2 · balance_after: Includes 7,424 shares of common stock acquired under the Issuer's employee stock purchase plan.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:40 UTC
Shaff Eric D.Director · CEO and President
Exercise / conversionRestricted Stock Units · Derivative 27,838 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020080 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,837

Underlying: Common Stock · 27,838 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 55,675 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 27,838 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 27,837 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 55,675 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 27,838 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 27,837 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:40 UTC
Shaff Eric D.Director · CEO and President
Exercise / conversionCommon Stock 27,838 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020080 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 124,172

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 · kind: On February 3, 2023, the reporting person was granted an award of 55,675 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 27,838 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 27,837 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:40 UTC
Young Teresa L.See Remarks
Exercise / conversionRestricted Stock Units · Derivative 11,361 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020079 · doc4.xml · derivative · entry 4

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,360

Underlying: Common Stock · 11,361 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 22,721 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 22,721 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:40 UTC
Young Teresa L.See Remarks
Exercise / conversionCommon Stock 11,361 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020079 · doc4.xml · nonDerivative · entry 1

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,361

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 · kind: On February 3, 2023, the reporting person was granted an award of 22,721 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:39 UTC
Ege David S.See Remarks
Exercise / conversionRestricted Stock Units · Derivative 11,361 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020075 · doc4.xml · derivative · entry 4

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,360

Underlying: Common Stock · 11,361 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 22,721 RSUs, which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 22,721 RSUs, which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:39 UTC
Ege David S.See Remarks
Exercise / conversionCommon Stock 11,361 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020075 · doc4.xml · nonDerivative · entry 1

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 71,057

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 · kind: On February 3, 2023, the reporting person was granted an award of 22,721 RSUs, which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:36 UTC
Henn Matthew RSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 12,623 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020069 · doc4.xml · derivative · entry 4

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,622

Underlying: Common Stock · 12,623 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 25,245 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 12,623 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 12,622 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 25,245 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 12,623 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 12,622 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
October 27, 2023 Filed Nov 1, 2023 01:36 UTC
Henn Matthew RSee Remarks
Exercise / conversionCommon Stock 12,623 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020069 · doc4.xml · nonDerivative · entry 1

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 60,242

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 · kind: On February 3, 2023, the reporting person was granted an award of 25,245 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 12,623 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 12,622 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

Read SEC document
June 22, 2023 Filed Jun 23, 2023 21:25 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0000899243-23-016402 · doc4.xml · derivative · entry 1

Berenson Stephen · CIK 0001760671 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2024 or the day immediately prior to the company's 2024 annual meeting of shareholders.

Read SEC document
June 22, 2023 Filed Jun 23, 2023 17:22 UTC
Graves KurtDirector
GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0000899243-23-016397 · doc4.xml · derivative · entry 1

Graves Kurt · CIK 0001406337 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2024 or the day immediately prior to the company's 2024 annual meeting of shareholders.

Read SEC document
June 22, 2023 Filed Jun 23, 2023 21:21 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0000899243-23-016395 · doc4.xml · derivative · entry 1

Dere Willard H · CIK 0001311569 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option will vest in full on the earlier of June 22, 2024 or the day immediately prior to the company's 2024 annual meeting of shareholders.

Read SEC document
June 22, 2023 Filed Jun 23, 2023 17:21 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0000899243-23-016396 · doc4.xml · derivative · entry 1

Kender Richard N · CIK 0001381205 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2024 or the day immediately prior to the company's 2024 annual meeting of shareholders.

Read SEC document
June 22, 2023 Filed Jun 23, 2023 21:29 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0000899243-23-016406 · doc4.xml · derivative · entry 1

Ausiello Dennis A · CIK 0001381994 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2024 or the day immediately prior to the company's 2024 annual meeting of shareholders.

Read SEC document
June 22, 2023 Filed Jun 23, 2023 17:25 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0000899243-23-016401 · doc4.xml · derivative · entry 1

Fraser Claire · CIK 0001382031 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option will vest in full on the earlier of June 22, 2024 or the day immediately prior to the company's 2024 annual meeting of shareholders.

Read SEC document
June 22, 2023 Filed Jun 23, 2023 21:35 UTC
Biondi PaulDirector
GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0000899243-23-016412 · doc4.xml · derivative · entry 1

Biondi Paul · CIK 0001744508 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2024 or the day immediately prior to the company's 2024 annual meeting of shareholders.

Read SEC document
June 22, 2023 Filed Jun 23, 2023 21:24 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0000899243-23-016398 · doc4.xml · derivative · entry 1

Behar Gregory · CIK 0001643766 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2024 or the day immediately prior to the company's 2024 annual meeting of shareholders.

Read SEC document
April 28, 2023 Filed May 1, 2023 20:46 UTC
Ege David S.See Remarks
SaleCommon stock 7,038 $5.19 $36,527.22
Disclosure

SEC source: 0000899243-23-011945 · doc4.xml · nonDerivative · entry 2

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,696

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction adopted by the reporting person on May 3, 2021, 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 price. These shares were sold in multiple transactions at prices ranging from $5.0350 to $5.1900, 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
April 27, 2023 Filed May 1, 2023 16:43 UTC
Arkowitz DavidChief Financial Officer
GrantCommon stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-011944 · doc4.xml · nonDerivative · entry 1

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,613

F1 · kind: On November 23, 2021, the reporting person was granted an award of 85,000 restricted stock units, which vested in the form of shares of the Issuer's common stock in two equal installments upon the satisfaction of certain performance criteria. On April 27, 2023, the Issuer's Board of Directors determined that the performance criteria for the second installment were met, resulting in the vesting and settlement of the award as to 42,500 shares.

F2 · balance_after: Includes 11,121 shares of common stock acquired under the Issuer's employee stock purchase plan.

Read SEC document
April 27, 2023 Filed May 1, 2023 20:46 UTC
Ege David S.See Remarks
GrantCommon stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-011945 · doc4.xml · nonDerivative · entry 1

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,734

F1 · kind: On May 3, 2021, the reporting person was granted an award of 40,000 restricted stock units, which vested in the form of shares of the Issuer's common stock in two equal installments upon the satisfaction of certain performance criteria. On April 27, 2023, the Issuer's Board of Directors determined that the performance criteria for the second installment were met, resulting in the vesting and settlement of the award as to 20,000 shares.

Read SEC document
April 27, 2023 Filed May 1, 2023 20:41 UTC
Henn Matthew RSee Remarks
GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $10.84 $0.00
Disclosure

SEC source: 0000899243-23-011942 · doc4.xml · derivative · entry 1

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 35,000 shares

Expires 2027-06-18

F1 · balance_after: On June 19, 2017, the Reporting Person was granted an option to purchase 70,000 shares of the Issuer's common stock. The option vested and became exercisable in two equal installments upon the satisfaction of certain performance criteria. On April 27, 2023, the Issuer's Board of Directors determined that the performance criteria for the second installment were met, resulting in vesting of the option as to 35,000 shares.

Read SEC document
April 27, 2023 Filed Nov 1, 2023 01:36 UTC
von Moltke LisaSee Remarks
GrantRestricted Stock Units · Derivative 27,489 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020070 · doc4.xml · derivative · entry 3

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,489

Underlying: Common Stock · 27,489 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 27,489 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,745 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,744 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 27,489 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,745 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,744 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
April 27, 2023 Filed Nov 1, 2023 01:39 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantRestricted Stock Units · Derivative 27,001 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020076 · doc4.xml · derivative · entry 3

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,001

Underlying: Common Stock · 27,001 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 27,001 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,501 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,500 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 27,001 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,501 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,500 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
April 27, 2023 Filed Oct 31, 2023 21:39 UTC
Arkowitz DavidChief Financial Officer
GrantRestricted Stock Units · Derivative 26,418 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020077 · doc4.xml · derivative · entry 3

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,418

Underlying: Common Stock · 26,418 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 26,418 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,209 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,209 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 26,418 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 13,209 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 13,209 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
April 27, 2023 Filed Nov 1, 2023 01:43 UTC
Cloghessy PaulaSee Remarks
GrantRestricted Stock Units · Derivative 18,835 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020082 · doc4.xml · derivative · entry 3

Cloghessy Paula · CIK 0001744682 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 18,835

Underlying: Common Stock · 18,835 shares

Expires not disclosed

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 18,835 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 9,418 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 9,417 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 18,835 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 9,418 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 9,417 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F5 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
April 27, 2023 Filed Nov 1, 2023 01:40 UTC
Shaff Eric D.Director · CEO and President
GrantRestricted Stock Units · Derivative 55,675 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020080 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 55,675

Underlying: Common Stock · 55,675 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 55,675 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 27,838 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 27,837 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 55,675 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 27,838 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 27,837 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
April 27, 2023 Filed Nov 1, 2023 01:40 UTC
Young Teresa L.See Remarks
GrantRestricted Stock Units · Derivative 22,721 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020079 · doc4.xml · derivative · entry 3

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,721

Underlying: Common Stock · 22,721 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 22,721 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 22,721 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
April 27, 2023 Filed Nov 1, 2023 01:39 UTC
Ege David S.See Remarks
GrantRestricted Stock Units · Derivative 22,721 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020075 · doc4.xml · derivative · entry 3

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,721

Underlying: Common Stock · 22,721 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 22,721 RSUs, which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 22,721 RSUs, which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 11,361 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 11,360 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

Read SEC document
April 27, 2023 Filed Nov 1, 2023 01:36 UTC
Henn Matthew RSee Remarks
GrantRestricted Stock Units · Derivative 25,245 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-020069 · doc4.xml · derivative · entry 3

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,245

Underlying: Common Stock · 25,245 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

F1 · shares: On February 3, 2023, the reporting person was granted an award of 25,245 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 12,623 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 12,622 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F1 · derivative.exercise_date: On February 3, 2023, the reporting person was granted an award of 25,245 restricted stock units ("RSUs"), which vest in the form of shares of the Issuer's common stock in two substantially equal installments upon the satisfaction of certain performance criteria. On April 27, 2023 (the "Initial Milestone Date"), the Issuer's Administrator determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 12,623 RSUs on October 27, 2023, the date that was six months from the Initial Milestone Date. The remaining 12,622 RSUs shall vest on October 27, 2024, the date that is eighteen months from the Initial Milestone Date.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of Issuer common stock. The RSUs do not have an expiration date.

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February 03, 2023 Filed Feb 7, 2023 22:48 UTC
von Moltke LisaSee Remarks
GrantStock Option (Right to Buy) · Derivative 95,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0000899243-23-004210 · doc4.xml · derivative · entry 2

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2033-02-02

F3 · derivative.exercise_date: The option will vest as to 25% of the shares on February 3, 2024. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

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February 03, 2023 Filed Feb 7, 2023 22:48 UTC
von Moltke LisaSee Remarks
GrantRestricted Stock Units · Derivative 47,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004210 · doc4.xml · derivative · entry 1

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,500

Underlying: Common Stock · 47,500 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The restricted stock units will vest and settle 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.

F2 · derivative.expiration_date: The restricted stock units will vest and settle 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.

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February 03, 2023 Filed Feb 7, 2023 22:45 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantStock Option (Right to Buy) · Derivative 85,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0000899243-23-004207 · doc4.xml · derivative · entry 2

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2033-02-02

F3 · derivative.exercise_date: The option will vest as to 25% of the shares on February 3, 2024. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

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February 03, 2023 Filed Feb 7, 2023 22:45 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantRestricted Stock Units · Derivative 42,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004207 · doc4.xml · derivative · entry 1

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The restricted stock units will vest and settle 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.

F2 · derivative.expiration_date: The restricted stock units will vest and settle 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.

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February 03, 2023 Filed Feb 7, 2023 17:44 UTC
Arkowitz DavidChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 85,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0000899243-23-004204 · doc4.xml · derivative · entry 2

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2033-02-02

F3 · derivative.exercise_date: The option will vest as to 25% of the shares on February 3, 2024. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 17:44 UTC
Arkowitz DavidChief Financial Officer
GrantRestricted Stock Units · Derivative 42,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004204 · doc4.xml · derivative · entry 1

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The restricted stock units will vest and settle 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.

F2 · derivative.expiration_date: The restricted stock units will vest and settle 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.

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February 03, 2023 Filed Feb 7, 2023 22:45 UTC
Shaff Eric D.Director · CEO and President
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0000899243-23-004206 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-02-02

F3 · derivative.exercise_date: The option will vest as to 25% of the shares on February 3, 2024. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

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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.