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Nasdaq · USD

MIST

Milestone Pharmaceuticals Inc.

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6561
SEC CIK
0001408443
Parsed reports
158

Last 12 months

Inside the activity.

0 purchase rows · 13 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202505
Jan 202607
Feb 202600
Mar 202600
Apr 202601
May 202600
Jun 202600
Jul 202600
Aug 202600
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
August 28, 2024 Filed Aug 29, 2024 20:15 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001415889-24-022532 · form4-08292024_040801.xml · derivative · entry 1

Wills Robert James · CIK 0001634189 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Shares · 40,000 shares

Expires 2034-08-28

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on September 28, 2024, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
July 15, 2024 Filed Jul 17, 2024 20:17 UTC
Saik AndrewDirector
GrantStock Option (right to buy) · Derivative 80,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001415889-24-019668 · form4-07172024_080740.xml · derivative · entry 1

Saik Andrew · CIK 0001616284 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Shares · 80,000 shares

Expires 2034-07-15

F1 · derivative.exercise_date: This option will vest in equal monthly installments, beginning on August 15, 2024, over a period of three years, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
July 15, 2024 Filed Jul 17, 2024 20:15 UTC
Duty StuartDirector
GrantStock Option (right to buy) · Derivative 80,000 $0.00 Strike: $1.59 $0.00
Disclosure

SEC source: 0001415889-24-019664 · form4-07172024_080751.xml · derivative · entry 1

Duty Stuart · CIK 0001970274 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Shares · 80,000 shares

Expires 2034-07-15

F1 · derivative.exercise_date: This option will vest in equal monthly installments, beginning on August 15, 2024, over a period of three years, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:23 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $3.86 $0.00
Disclosure

SEC source: 0001209191-23-035844 · doc4.xml · derivative · entry 1

Wills Robert James · CIK 0001634189 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 7, 2023, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:22 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $3.86 $0.00
Disclosure

SEC source: 0001209191-23-035843 · doc4.xml · derivative · entry 1

TOMSICEK MICHAEL JOHN · CIK 0001570392 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 7, 2023, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:22 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $3.86 $0.00
Disclosure

SEC source: 0001209191-23-035841 · doc4.xml · derivative · entry 1

Pasternak Richard C · CIK 0001792810 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 7, 2023, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:21 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $3.86 $0.00
Disclosure

SEC source: 0001209191-23-035838 · doc4.xml · derivative · entry 1

Liebert Debra K. · CIK 0001772891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 7, 2023, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:21 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $3.86 $0.00
Disclosure

SEC source: 0001209191-23-035836 · doc4.xml · derivative · entry 1

Giles Lisa M. · CIK 0001568850 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 7, 2023, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:20 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $3.86 $0.00
Disclosure

SEC source: 0001209191-23-035825 · doc4.xml · derivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 7, 2023, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
March 22, 2023 Filed Mar 24, 2023 20:30 UTC
WONG RODERICK10% owner
OtherCommon Shares, no par value ("Common Shares") 1,059,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000902664-23-002379 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,256,102

F1 · kind: The RTW Funds (as defined below) exchanged 1,059,000 Common Shares for 1,059,000 pre-funded warrants pursuant to an Exchange Agreement, dated as of March 22, 2023, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one Common Share for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date.

F1 · price: The RTW Funds (as defined below) exchanged 1,059,000 Common Shares for 1,059,000 pre-funded warrants pursuant to an Exchange Agreement, dated as of March 22, 2023, by and among the Issuer and the RTW Funds. Each pre-funded warrant represents the right to acquire one Common Share for an exercise price of $0.001 per share. The pre-funded warrants are subject to a 9.99% beneficial ownership limitation and do not have an expiration date.

F2 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser.

Read SEC document
March 21, 2023 Filed Mar 23, 2023 23:33 UTC GrantStock Option (right to buy) · Derivative 42,000 $0.00 Strike: $3.45 $0.00
Disclosure

SEC source: 0001209191-23-020844 · doc4.xml · derivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Shares · 42,000 shares

Expires 2033-03-21

F1 · derivative.exercise_date: This option will vest in equal monthly installments, beginning on April 21, 2023, over a period of three years, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
February 16, 2023 Filed Feb 17, 2023 16:50 UTC
Bharucha DavidChief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 185,000 $0.00 Strike: $3.59 $0.00
Disclosure

SEC source: 0001209191-23-010700 · doc4.xml · derivative · entry 1

Bharucha David · CIK 0001910985 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Shares · 185,000 shares

Expires 2033-02-16

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on February 16, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

Read SEC document
February 16, 2023 Filed Feb 17, 2023 21:49 UTC
Oliveto JosephDirector · President and CEO
GrantEmployee Stock Option (right to buy) · Derivative 360,000 $0.00 Strike: $3.59 $0.00
Disclosure

SEC source: 0001209191-23-010697 · doc4.xml · derivative · entry 1

Oliveto Joseph · CIK 0001437782 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,000

Underlying: Common Shares · 360,000 shares

Expires 2033-02-16

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on February 16, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

Read SEC document
February 16, 2023 Filed Feb 17, 2023 21:52 UTC
Muller LorenzChief Commercial Officer
GrantEmployee Stock Option (right to buy) · Derivative 105,000 $0.00 Strike: $3.59 $0.00
Disclosure

SEC source: 0001209191-23-010707 · doc4.xml · derivative · entry 1

Muller Lorenz · CIK 0001771207 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Shares · 105,000 shares

Expires 2033-02-16

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on February 16, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

Read SEC document
February 16, 2023 Filed Feb 17, 2023 21:51 UTC
Nelson Jeffrey EdwardChief Operating Officer
GrantEmployee Stock Option (right to buy) · Derivative 105,000 $0.00 Strike: $3.59 $0.00
Disclosure

SEC source: 0001209191-23-010705 · doc4.xml · derivative · entry 1

Nelson Jeffrey Edward · CIK 0001943112 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Shares · 105,000 shares

Expires 2033-02-16

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on February 16, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

Read SEC document
February 16, 2023 Filed Feb 17, 2023 21:51 UTC
Hasija AmitCFO & EVP of Corp. Development
GrantEmployee Stock Option (right to buy) · Derivative 130,000 $0.00 Strike: $3.59 $0.00
Disclosure

SEC source: 0001209191-23-010703 · doc4.xml · derivative · entry 1

Hasija Amit · CIK 0001787700 · CFO & EVP of Corp. Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Shares · 130,000 shares

Expires 2033-02-16

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on February 16, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

Read SEC document
December 05, 2022 Filed Dec 5, 2022 16:48 UTC
Bharucha DavidChief Medical Officer
PurchaseCommon Shares 7,000 $4.69 $32,830.00
Disclosure

SEC source: 0001209191-22-059720 · doc4.xml · nonDerivative · entry 2

Bharucha David · CIK 0001910985 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
December 01, 2022 Filed Dec 5, 2022 16:48 UTC
Bharucha DavidChief Medical Officer
PurchaseCommon Shares 3,000 $4.86 $14,580.00
Disclosure

SEC source: 0001209191-22-059720 · doc4.xml · nonDerivative · entry 1

Bharucha David · CIK 0001910985 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Read SEC document
October 21, 2022 Filed Oct 21, 2022 23:02 UTC PurchaseCommon Shares 4,000 $5.26 $21,040.00
Disclosure

SEC source: 0001209191-22-054326 · doc4.xml · nonDerivative · entry 2

Liebert Debra K. · CIK 0001772891 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Trust

Disclosed balance after: 4,000

F2 · ownership.nature: These shares are held in a trust for the benefit of several including the Reporting Person's spouse. The Reporting Person's spouse is a co-executor of the trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

Read SEC document
October 20, 2022 Filed Oct 21, 2022 23:02 UTC PurchaseCommon Shares 10,000 $5.20 $52,000.00
Disclosure

SEC source: 0001209191-22-054327 · doc4.xml · nonDerivative · entry 1

Pasternak Richard C · CIK 0001792810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.065 to $5.24 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
October 20, 2022 Filed Oct 21, 2022 23:02 UTC PurchaseCommon Shares 10,000 $5.29 $52,900.00
Disclosure

SEC source: 0001209191-22-054326 · doc4.xml · nonDerivative · entry 1

Liebert Debra K. · CIK 0001772891 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: The Rodriguez and Liebert Revocable Trust

Disclosed balance after: 10,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.24 to $5.30 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
October 19, 2022 Filed Oct 21, 2022 23:03 UTC PurchaseCommon Shares 15,000 $4.93 $73,950.00
Disclosure

SEC source: 0001209191-22-054328 · doc4.xml · nonDerivative · entry 1

Wills Robert James · CIK 0001634189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.89 to $4.9494 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
October 19, 2022 Filed Oct 21, 2022 23:01 UTC PurchaseCommon Shares 15,000 $5.32 $79,800.00
Disclosure

SEC source: 0001209191-22-054325 · doc4.xml · nonDerivative · entry 1

TOMSICEK MICHAEL JOHN · CIK 0001570392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions within a one dollar range. 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
September 14, 2022 Filed Sep 15, 2022 20:30 UTC OtherCommon Shares 127 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-050075 · doc4.xml · nonDerivative · entry 1

Liebert Debra K. · CIK 0001772891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127

F1 · kind: Represents a pro rata distribution without additional consideration to the Reporting Person from a limited liability company in which the Reporting Person is a member.

Read SEC document
September 07, 2022 Filed Sep 9, 2022 20:15 UTC
WONG RODERICK10% owner
SaleCommon Shares 1,557,346 $8.71 $13,564,483.66
Disclosure

SEC source: 0000902664-22-004219 · ownership.xml · nonDerivative · entry 2

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,315,102

F1 · balance_after: Ordinary course rebalancing transactions in which certain RTW Funds (as defined below) rebalance holdings of the Issuer among the RTW Funds. After the transactions reported herein, the amount of Common Shares of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser.

Read SEC document
September 07, 2022 Filed Sep 9, 2022 20:15 UTC
WONG RODERICK10% owner
PurchaseCommon Shares, no par value ("Common Shares") 1,557,346 $8.71 $13,564,483.66
Disclosure

SEC source: 0000902664-22-004219 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,315,102

F1 · balance_after: Ordinary course rebalancing transactions in which certain RTW Funds (as defined below) rebalance holdings of the Issuer among the RTW Funds. After the transactions reported herein, the amount of Common Shares of the Issuer beneficially owned in the aggregate by the Reporting Persons did not change.

F2 · ownership.nature: This Form 4 is being filed by each of (i) RTW Investments, LP (the "Adviser") with respect to Common Shares held by certain investment funds managed by the Adviser (the "RTW Funds"), and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of the Adviser.

Read SEC document
July 05, 2022 Filed Aug 11, 2022 22:05 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $6.07 $0.00
Disclosure

SEC source: 0001209191-22-045475 · doc4.xml · derivative · entry 1

Pasternak Richard C · CIK 0001792810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2032-07-05

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on August 5, 2022, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
July 05, 2022 Filed Aug 11, 2022 22:03 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $6.07 $0.00
Disclosure

SEC source: 0001209191-22-045474 · doc4.xml · derivative · entry 1

TOMSICEK MICHAEL JOHN · CIK 0001570392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2032-07-05

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on August 5, 2022, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
July 05, 2022 Filed Aug 11, 2022 22:02 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $6.07 $0.00
Disclosure

SEC source: 0001209191-22-045472 · doc4.xml · derivative · entry 1

Wills Robert James · CIK 0001634189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2032-07-05

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on August 5, 2022, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
July 05, 2022 Filed Aug 11, 2022 22:01 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $6.07 $0.00
Disclosure

SEC source: 0001209191-22-045471 · doc4.xml · derivative · entry 1

Giles Lisa M. · CIK 0001568850 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2032-07-05

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on August 5, 2022, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
July 05, 2022 Filed Aug 11, 2022 22:00 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $6.07 $0.00
Disclosure

SEC source: 0001209191-22-045468 · doc4.xml · derivative · entry 1

Liebert Debra K. · CIK 0001772891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2032-07-05

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on August 5, 2022, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

Read SEC document
May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
Exercise / conversionStock Option (right to buy) · Derivative 822 $0.00 Strike: $2.66 $0.00
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · derivative · entry 9

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117

Underlying: Common Shares · 822 shares

Expires 2028-11-20

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.

F3 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option shall vest on November 21, 2019, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

Read SEC document
May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
Exercise / conversionStock Option (right to buy) · Derivative 22,870 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · derivative · entry 8

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,659

Underlying: Common Shares · 22,870 shares

Expires 2028-10-15

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_date: Twenty-five percent (25%) of the shares subject to the option shall vest on October 15, 2019, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

Read SEC document
May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
Exercise / conversionStock Option (right to buy) · Derivative 45,072 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · derivative · entry 7

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 45,072 shares

Expires 2027-07-21

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

F1 · derivative.exercise_date: Fully vested and exercisable.

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May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
Exercise / conversionStock Option (right to buy) · Derivative 8,016 $0.00 Strike: $1.12 $0.00
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · derivative · entry 6

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 8,016 shares

Expires 2025-08-26

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

F1 · derivative.exercise_date: Fully vested and exercisable.

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May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
PurchaseCommon Shares 5,000 $5.60 $28,000.00
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · nonDerivative · entry 5

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,780

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May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
Exercise / conversionCommon Shares 822 $2.66 $2,186.52
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · nonDerivative · entry 4

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,780

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.

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May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
Exercise / conversionCommon Shares 22,870 $1.54 $35,219.80
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · nonDerivative · entry 3

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,958

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.

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May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
Exercise / conversionCommon Shares 45,072 $1.54 $69,410.88
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · nonDerivative · entry 2

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,088

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
May 31, 2022 Filed Jun 1, 2022 21:32 UTC
TRUEX PAUL FDirector
Exercise / conversionCommon Shares 8,016 $1.12 $8,977.92
Disclosure

SEC source: 0001209191-22-033336 · doc4.xml · nonDerivative · entry 1

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,016

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.

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March 21, 2022 Filed Mar 24, 2022 01:47 UTC
Oliveto JosephDirector · President and CEO
GrantEmployee Stock Option Grant (right to buy) · Derivative 500,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0001209191-22-020840 · doc4.xml · derivative · entry 1

Oliveto Joseph · CIK 0001437782 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Shares · 500,000 shares

Expires 2032-03-21

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on March 23, 2023, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

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March 21, 2022 Filed Mar 24, 2022 01:47 UTC
Hasija AmitCFO & EVP of Corp. Development
GrantEmployee Stock Option Grant (right to buy) · Derivative 175,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0001209191-22-020839 · doc4.xml · derivative · entry 1

Hasija Amit · CIK 0001787700 · CFO & EVP of Corp. Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Shares · 175,000 shares

Expires 2032-03-21

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on March 23, 2023, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

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March 21, 2022 Filed Mar 24, 2022 01:46 UTC
Muller LorenzChief Commercial Officer
GrantEmployee Stock Option Grant (right to buy) · Derivative 160,000 $0.00 Strike: $5.46 $0.00
Disclosure

SEC source: 0001209191-22-020838 · doc4.xml · derivative · entry 1

Muller Lorenz · CIK 0001771207 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Shares · 160,000 shares

Expires 2032-03-21

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on March 23, 2023, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

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February 15, 2022 Filed Feb 17, 2022 16:48 UTC
Bharucha DavidChief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 330,000 $0.00 Strike: $6.47 $0.00
Disclosure

SEC source: 0001209191-22-010812 · doc4.xml · derivative · entry 1

Bharucha David · CIK 0001910985 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Shares · 330,000 shares

Expires 2032-02-15

F1 · derivative.exercise_date: One-fourth (1/4th) of the shares subject to the option vest on February 15, 2023, and one thirty-sixth (1/36th) of the remaining shares subject to this option shall vest each month thereafter, subject to the Reporting Person continuing to provide service through each such date.

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June 14, 2021 Filed Jul 29, 2021 17:40 UTC
TRUEX PAUL FDirector
GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $5.54 $0.00
Disclosure

SEC source: 0001209191-21-048575 · doc4.xml · derivative · entry 1

TRUEX PAUL F · CIK 0001120362 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 14, 2021, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

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June 14, 2021 Filed Jul 29, 2021 21:39 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $5.54 $0.00
Disclosure

SEC source: 0001209191-21-048573 · doc4.xml · derivative · entry 1

TOMSICEK MICHAEL JOHN · CIK 0001570392 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 14, 2021, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

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June 14, 2021 Filed Jul 29, 2021 21:38 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $5.54 $0.00
Disclosure

SEC source: 0001209191-21-048570 · doc4.xml · derivative · entry 1

Pasternak Richard C · CIK 0001792810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 14, 2021, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

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June 14, 2021 Filed Jul 29, 2021 21:37 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $5.54 $0.00
Disclosure

SEC source: 0001209191-21-048567 · doc4.xml · derivative · entry 1

Liebert Debra K. · CIK 0001772891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 14, 2021, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

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June 14, 2021 Filed Jul 29, 2021 21:34 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $5.54 $0.00
Disclosure

SEC source: 0001209191-21-048563 · doc4.xml · derivative · entry 1

Wills Robert James · CIK 0001634189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 14, 2021, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

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June 14, 2021 Filed Jul 29, 2021 21:35 UTC GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $5.54 $0.00
Disclosure

SEC source: 0001209191-21-048565 · doc4.xml · derivative · entry 1

Giles Lisa M. · CIK 0001568850 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 14, 2021, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

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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.