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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
February 03, 2023 Filed Feb 7, 2023 22:45 UTC
Shaff Eric D.Director · CEO and President
GrantRestricted Stock Units · Derivative 125,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004206 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 22:50 UTC
Ege David S.See Remarks
GrantStock Option (Right to Buy) · Derivative 95,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0000899243-23-004211 · doc4.xml · derivative · entry 2

Ege David S. · CIK 0001829360 · 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.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 22:50 UTC
Ege David S.See Remarks
GrantRestricted Stock Units · Derivative 47,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004211 · doc4.xml · derivative · entry 1

Ege David S. · CIK 0001829360 · 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.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 22:43 UTC
Young Teresa L.See Remarks
GrantStock Option (Right to Buy) · Derivative 85,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0000899243-23-004200 · doc4.xml · derivative · entry 3

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2033-02-02

F4 · 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 22:43 UTC
Young Teresa L.See Remarks
GrantRestricted Stock Units · Derivative 85,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004200 · doc4.xml · derivative · entry 2

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires not disclosed

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

F3 · derivative.exercise_date: The restricted stock units will vest and settle as to 100% of the restricted stock units on August 3, 2024.

F3 · derivative.expiration_date: The restricted stock units will vest and settle as to 100% of the restricted stock units on August 3, 2024.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 22:43 UTC
Young Teresa L.See Remarks
GrantRestricted Stock Units · Derivative 42,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004200 · doc4.xml · derivative · entry 1

Young Teresa L. · CIK 0001814656 · See Remarks

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.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 22:46 UTC
Henn Matthew RSee Remarks
GrantStock Option (Right to Buy) · Derivative 90,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0000899243-23-004208 · doc4.xml · derivative · entry 2

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 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 22:46 UTC
Henn Matthew RSee Remarks
GrantRestricted Stock Units · Derivative 45,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004208 · doc4.xml · derivative · entry 1

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 22:42 UTC
Cloghessy PaulaSee Remarks
GrantStock Option (Right to Buy) · Derivative 95,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0000899243-23-004197 · doc4.xml · derivative · entry 2

Cloghessy Paula · CIK 0001744682 · 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.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 22:42 UTC
Cloghessy PaulaSee Remarks
GrantRestricted Stock Units · Derivative 47,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-004197 · doc4.xml · derivative · entry 1

Cloghessy Paula · CIK 0001744682 · 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.

Read SEC document
January 04, 2023 Filed Jan 5, 2023 16:35 UTC GrantStock Option (right to buy) · Derivative 48,000 $0.00 Strike: $5.47 $0.00
Disclosure

SEC source: 0000899243-23-001007 · doc4.xml · derivative · entry 1

Fraser Claire · CIK 0001382031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The option will vest in four equal installments on each anniversary of January 4, 2023 or in full immediately prior to the occurrence of a change in control.

Read SEC document
October 31, 2022 Filed Oct 31, 2022 23:37 UTC
Ege David S.See Remarks
SaleCommon stock 5,012 $7.93 $39,745.16
Disclosure

SEC source: 0000899243-22-034598 · doc4.xml · nonDerivative · entry 2

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,734

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 instruction solely with the intent to cover taxes in connection with the vesting of the restricted stock units.

Read SEC document
October 27, 2022 Filed Oct 31, 2022 18:05 UTC
Arkowitz DavidChief Financial Officer
GrantCommon stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-034577 · doc4.xml · nonDerivative · entry 2

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,992

F1 · kind: On November 23, 2021, the reporting person was granted an award of 85,000 restricted stock units, which vest in the form of shares of the Issuer's common stock in two equal installments upon the satisfaction of certain performance criteria. On October 27, 2022, the Issuer's Board of Directors determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 42,500 shares.

Read SEC document
October 27, 2022 Filed Oct 31, 2022 23:37 UTC
Ege David S.See Remarks
GrantCommon stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-034598 · doc4.xml · nonDerivative · entry 1

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,746

F1 · kind: On May 3, 2021, the reporting person was granted an award of 40,000 restricted stock units, which vest in the form of shares of the Issuer's common stock in two equal installments upon the satisfaction of certain performance criteria. On October 27, 2022, the Issuer's Board of Directors determined that the performance criteria for the first installment were met, resulting in the vesting and settlement of the award as to 20,000 shares.

Read SEC document
September 08, 2022 Filed Sep 9, 2022 20:46 UTC
Henn Matthew RSee Remarks
GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $10.84 $0.00
Disclosure

SEC source: 0000899243-22-030735 · doc4.xml · derivative · entry 1

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2027-07-18

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. Subject to the Reporting Person's continued service to the Issuer through each applicable vesting date, the option vests and becomes exercisable in two equal installments upon the satisfaction of certain performance criteria. On September 8, 2022, the Issuer's Board of Directors determined that the performance criteria for the first installment were met, resulting in vesting of the option as to 35,000 shares.

Read SEC document
July 05, 2022 Filed Jul 6, 2022 23:29 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantCOMMON STOCK 63,492 $3.15 $199,999.80
Disclosure

SEC source: 0000899243-22-025521 · doc4.xml · nonDerivative · entry 1

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,546

Read SEC document
July 05, 2022 Filed Jul 6, 2022 23:22 UTC GrantCOMMON STOCK 31,746 $3.15 $99,999.90
Disclosure

SEC source: 0000899243-22-025513 · doc4.xml · nonDerivative · entry 1

Dere Willard H · CIK 0001311569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,746

Read SEC document
July 05, 2022 Filed Jul 6, 2022 19:23 UTC
Arkowitz DavidChief Financial Officer
GrantCOMMON STOCK 63,492 $3.15 $199,999.80
Disclosure

SEC source: 0000899243-22-025516 · doc4.xml · nonDerivative · entry 1

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,492

Read SEC document
July 05, 2022 Filed Jul 6, 2022 19:23 UTC GrantCOMMON STOCK 63,492 $3.15 $199,999.80
Disclosure

SEC source: 0000899243-22-025515 · doc4.xml · nonDerivative · entry 1

Kender Richard N · CIK 0001381205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,492

Read SEC document
July 05, 2022 Filed Jul 6, 2022 23:27 UTC
Henn Matthew RSee Remarks
GrantCOMMON STOCK 47,619 $3.15 $149,999.85
Disclosure

SEC source: 0000899243-22-025520 · doc4.xml · nonDerivative · entry 1

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,619

Read SEC document
July 05, 2022 Filed Jul 6, 2022 23:25 UTC
Cloghessy PaulaSee Remarks
GrantCOMMON STOCK 31,746 $3.15 $99,999.90
Disclosure

SEC source: 0000899243-22-025518 · doc4.xml · nonDerivative · entry 1

Cloghessy Paula · CIK 0001744682 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,746

Read SEC document
July 05, 2022 Filed Jul 6, 2022 23:22 UTC
Ege David S.See Remarks
GrantCOMMON STOCK 31,746 $3.15 $99,999.90
Disclosure

SEC source: 0000899243-22-025514 · doc4.xml · nonDerivative · entry 1

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,746

Read SEC document
July 05, 2022 Filed Jul 6, 2022 23:21 UTC
Shaff Eric D.Director · CEO and President
GrantCOMMON STOCK 63,492 $3.15 $199,999.80
Disclosure

SEC source: 0000899243-22-025509 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,334

Read SEC document
July 05, 2022 Filed Jul 6, 2022 23:19 UTC GrantCOMMON STOCK 31,746 $3.15 $99,999.90
Disclosure

SEC source: 0000899243-22-025506 · doc4.xml · nonDerivative · entry 1

Zausner Meryl · CIK 0001742142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,746

Read SEC document
July 05, 2022 Filed Jul 6, 2022 23:19 UTC
Biondi PaulDirector
GrantCOMMON STOCK 47,619 $3.15 $149,999.85
Disclosure

SEC source: 0000899243-22-025505 · doc4.xml · nonDerivative · entry 1

Biondi Paul · CIK 0001744508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,619

Read SEC document
July 05, 2022 Filed Jul 7, 2022 17:00 UTC
Afeyan Noubar10% owner
PurchaseCommon Stock 5,825,495 $3.15 $18,350,309.25
Disclosure

SEC source: 0000899243-22-025721 · doc4.xml · nonDerivative · entry 2

Nutritional Health LTP Fund General Partner LLC · CIK 0001780951 · 10% owner

Nutritional Health LTP Fund, L.P. · CIK 0001780956 · 10% owner

Flagship Pioneering Inc. · CIK 0001400240 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Pioneering Fund VII, L.P.

Disclosed balance after: 5,825,495

F1 · kind: On July 5, 2022, Nutritional Health LTP Fund, L.P. ("Nutritional LTP") and Flagship Pioneering Fund VII, L.P. ("Flagship Fund VII") acquired 2,912,748 shares and 5,825,495 shares, respectively, of the Issuer's Common Stock in a registered direct offering at a price of $3.15 per share.

F3 · ownership.nature: Shares held by Flagship Fund VII. Flagship Pioneering Fund VII General Partner LLC ("Flagship Fund VII GP") is the general partner of Flagship Fund VII. Flagship Pioneering, Inc. ("Flagship Pioneering") is the manager of Flagship Fund VII GP. Dr. Afeyan is the Chief Executive Officer, sole shareholder and director of Flagship Pioneering. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
July 05, 2022 Filed Jul 7, 2022 17:00 UTC
Afeyan Noubar10% owner
PurchaseCommon Stock 2,912,748 $3.15 $9,175,156.20
Disclosure

SEC source: 0000899243-22-025721 · doc4.xml · nonDerivative · entry 1

Nutritional Health LTP Fund General Partner LLC · CIK 0001780951 · 10% owner

Nutritional Health LTP Fund, L.P. · CIK 0001780956 · 10% owner

Flagship Pioneering Inc. · CIK 0001400240 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Nutritional Health LTP Fund, L.P.

Disclosed balance after: 5,875,711

F1 · kind: On July 5, 2022, Nutritional Health LTP Fund, L.P. ("Nutritional LTP") and Flagship Pioneering Fund VII, L.P. ("Flagship Fund VII") acquired 2,912,748 shares and 5,825,495 shares, respectively, of the Issuer's Common Stock in a registered direct offering at a price of $3.15 per share.

F2 · ownership.nature: Shares held by Nutritional LTP. Nutritional Health LTP Fund General Partner LLC ("Nutritional LTP GP") is the general partner of Nutritional LTP. Noubar B. Afeyan, Ph.D. ("Dr. Afeyan") is the sole member and manager of Nutritional LTP GP. Each of the reporting persons except for Nutritional LTP disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 20:30 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-023973 · doc4.xml · derivative · entry 1

Berenson Stephen · CIK 0001760671 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 16:35 UTC
Graves KurtDirector
GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-024008 · doc4.xml · derivative · entry 1

Graves Kurt · CIK 0001406337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 16:32 UTC
Graves KurtDirector
GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-023989 · doc4.xml · derivative · entry 1

Graves Kurt · CIK 0001406337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 20:30 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-023972 · doc4.xml · derivative · entry 1

Dere Willard H · CIK 0001311569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option will vest in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 16:36 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-024013 · doc4.xml · derivative · entry 1

Kender Richard N · CIK 0001381205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 16:32 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-023990 · doc4.xml · derivative · entry 1

Kender Richard N · CIK 0001381205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 20:31 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-023974 · doc4.xml · derivative · entry 1

Ausiello Dennis A · CIK 0001381994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 20:35 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-024010 · doc4.xml · derivative · entry 1

Zausner Meryl · CIK 0001742142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option will vest in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 20:35 UTC
Biondi PaulDirector
GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-024004 · doc4.xml · derivative · entry 1

Biondi Paul · CIK 0001744508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 20:32 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-023992 · doc4.xml · derivative · entry 1

Zausner Meryl · CIK 0001742142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option will vest in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 22, 2022 Filed Jun 24, 2022 20:31 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0000899243-22-023979 · doc4.xml · derivative · entry 1

Behar Gregory · CIK 0001643766 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in full on the earlier of June 22, 2023 or the day immediately prior to the company's 2023 annual meeting of shareholders.

Read SEC document
June 15, 2022 Filed Oct 31, 2022 18:05 UTC
Arkowitz DavidChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-034577 · doc4.xml · derivative · entry 3

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock.

F3 · derivative.exercise_date: On June 1, 2021, the reporting person was granted an award of restricted stock units, 100% of which vested and settled on June 15, 2022.

F3 · derivative.expiration_date: On June 1, 2021, the reporting person was granted an award of restricted stock units, 100% of which vested and settled on June 15, 2022.

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June 15, 2022 Filed Oct 31, 2022 18:05 UTC
Arkowitz DavidChief Financial Officer
Exercise / conversionCommon stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-034577 · doc4.xml · nonDerivative · entry 1

Arkowitz David · CIK 0001296999 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,492

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 07, 2022 Filed Feb 9, 2022 02:35 UTC
Cloghessy PaulaSee Remarks
GrantStock Options (right to buy) · Derivative 190,000 $0.00 Strike: $7.60 $0.00
Disclosure

SEC source: 0000899243-22-005322 · doc4.xml · derivative · entry 1

Cloghessy Paula · CIK 0001744682 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2032-02-06

F1 · derivative.exercise_date: This option will vest and become exercisable as to 25% of the shares on February 7, 2023. The remainder of the shares will vest and become exercisable in 12 equal quarterly installments thereafter.

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February 04, 2022 Filed Feb 9, 2022 02:30 UTC
von Moltke LisaSee Remarks
GrantStock Option (Right to Buy) · Derivative 175,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0000899243-22-005317 · doc4.xml · derivative · entry 1

von Moltke Lisa · CIK 0001808592 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2032-02-03

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on February 4, 2023. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

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February 04, 2022 Filed Feb 9, 2022 02:30 UTC
DesRosier ThomasChief Legal Officer and EVP
GrantStock Option (Right to Buy) · Derivative 130,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0000899243-22-005314 · doc4.xml · derivative · entry 1

DesRosier Thomas · CIK 0001435744 · Chief Legal Officer and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2032-02-03

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on February 4, 2023. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

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February 04, 2022 Filed Feb 8, 2022 21:30 UTC
Arkowitz DavidSee Remarks
GrantStock Option (Right to Buy) · Derivative 190,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0000899243-22-005316 · doc4.xml · derivative · entry 1

Arkowitz David · CIK 0001296999 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2032-02-03

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on February 4, 2023. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 04, 2022 Filed Feb 9, 2022 02:30 UTC
Ege David S.See Remarks
GrantStock Option (Right to Buy) · Derivative 175,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0000899243-22-005320 · doc4.xml · derivative · entry 1

Ege David S. · CIK 0001829360 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2032-02-03

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on February 4, 2023. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 04, 2022 Filed Feb 9, 2022 02:30 UTC
Shaff Eric D.Director · President, CEO
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0000899243-22-005315 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2032-02-03

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on February 4, 2023. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 04, 2022 Filed Feb 9, 2022 02:30 UTC
Young Teresa L.See Remarks
GrantStock Option (Right to Buy) · Derivative 120,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0000899243-22-005319 · doc4.xml · derivative · entry 1

Young Teresa L. · CIK 0001814656 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2032-02-03

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on February 4, 2023. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
February 04, 2022 Filed Feb 9, 2022 02:30 UTC
Henn Matthew RSee Remarks
GrantStock Option (Right to Buy) · Derivative 175,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0000899243-22-005313 · doc4.xml · derivative · entry 1

Henn Matthew R. · CIK 0001767321 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2032-02-03

F1 · derivative.exercise_date: The option will vest as to 25% of the shares on February 4, 2023. The remainder of the shares will vest in 12 equal quarterly installments thereafter.

Read SEC document
June 16, 2021 Filed Jun 21, 2021 20:30 UTC GrantStock Option (right to buy) · Derivative 23,000 $0.00 Strike: $19.74 $0.00
Disclosure

SEC source: 0000899243-21-024998 · doc4.xml · derivative · entry 1

Berenson Stephen · CIK 0001760671 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2031-06-15

F1 · derivative.exercise_date: The option vests in full on the earlier of June 16, 2022 or the day immediately prior to the company's 2022 annual meeting of shareholders.

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June 16, 2021 Filed Jun 21, 2021 16:30 UTC
Graves KurtDirector
GrantStock Option (right to buy) · Derivative 23,000 $0.00 Strike: $19.74 $0.00
Disclosure

SEC source: 0000899243-21-024995 · doc4.xml · derivative · entry 1

Graves Kurt · CIK 0001406337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2031-06-15

F1 · derivative.exercise_date: The option vests in full on the earlier of June 16, 2022 or the day immediately prior to the company's 2022 annual meeting of shareholders.

Read SEC document

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