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Nasdaq · USD

MXCT

MAXCYTE, INC.

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6608
SEC CIK
0001287098
Parsed reports
163

Last 12 months

Inside the activity.

0 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202601
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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 02, 2024 Filed Aug 5, 2024 18:57 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionCommon Stock 17,857 $1.64 $29,303.34
Disclosure

SEC source: 0001415889-24-020785 · form4-08052024_100803.xml · nonDerivative · entry 3

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,857

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: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

Read SEC document
August 01, 2024 Filed Aug 5, 2024 18:57 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 15,476 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001415889-24-020785 · form4-08052024_100803.xml · derivative · entry 5

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,858

Underlying: Common Stock · 15,476 shares

Expires 2030-01-20

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.

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

F4 · derivative.exercise_date: The option has fully vested.

Read SEC document
August 01, 2024 Filed Aug 5, 2024 18:57 UTC
Ross Thomas M.EVP, GLOBAL SALES
SaleCommon Stock 15,476 $4.54 $70,261.04
Disclosure

SEC source: 0001415889-24-020785 · form4-08052024_100803.xml · nonDerivative · entry 2

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,000

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.445 to $4.805, 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
August 01, 2024 Filed Aug 5, 2024 18:57 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionCommon Stock 15,476 $1.64 $25,396.12
Disclosure

SEC source: 0001415889-24-020785 · form4-08052024_100803.xml · nonDerivative · entry 1

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 40,476

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: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

Read SEC document
July 26, 2024 Filed Jul 30, 2024 20:39 UTC Exercise / conversionStock Option (right to buy) · Derivative 3,000 $0.00 Strike: $2.93 $0.00
Disclosure

SEC source: 0001415889-24-020343 · form4-07302024_080732.xml · derivative · entry 3

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,396

Underlying: Common Stock · 3,000 shares

Expires 2027-07-14

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: The sales and option exercise reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 19, 2023.

F3 · derivative.exercise_date: This option is fully vested and exercisable.

Read SEC document
July 26, 2024 Filed Jul 30, 2024 20:39 UTC SaleCommon Stock 3,000 $4.75 $14,238.00
Disclosure

SEC source: 0001415889-24-020343 · form4-07302024_080732.xml · nonDerivative · entry 2

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 141,950

F1 · kind: The sales and option exercise reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 19, 2023.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.63 to $4.79, 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
July 26, 2024 Filed Jul 30, 2024 20:39 UTC Exercise / conversionCommon Stock 3,000 $2.93 $8,778.00
Disclosure

SEC source: 0001415889-24-020343 · form4-07302024_080732.xml · nonDerivative · entry 1

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 144,950

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: The sales and option exercise reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 19, 2023.

Read SEC document
July 09, 2024 Filed Jul 10, 2024 16:15 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 13,531 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001415889-24-019463 · form4-07102024_040702.xml · derivative · entry 6

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 13,531 shares

Expires 2030-01-20

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.

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

F4 · derivative.exercise_date: The option has fully vested.

Read SEC document
July 09, 2024 Filed Jul 10, 2024 16:15 UTC
Ross Thomas M.EVP, GLOBAL SALES
SaleCommon Stock 13,531 $4.03 $54,584.05
Disclosure

SEC source: 0001415889-24-019463 · form4-07102024_040702.xml · nonDerivative · entry 4

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,000

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.00 to $4.105, 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
July 09, 2024 Filed Jul 10, 2024 16:15 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionCommon Stock 13,531 $1.64 $22,204.37
Disclosure

SEC source: 0001415889-24-019463 · form4-07102024_040702.xml · nonDerivative · entry 3

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 38,531

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

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

Read SEC document
July 08, 2024 Filed Jul 10, 2024 16:15 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 19,802 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001415889-24-019463 · form4-07102024_040702.xml · derivative · entry 5

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 46,865

Underlying: Common Stock · 19,802 shares

Expires 2030-01-20

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.

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

F4 · derivative.exercise_date: The option has fully vested.

Read SEC document
July 08, 2024 Filed Jul 10, 2024 16:15 UTC
Ross Thomas M.EVP, GLOBAL SALES
SaleCommon Stock 19,802 $4.03 $79,782.26
Disclosure

SEC source: 0001415889-24-019463 · form4-07102024_040702.xml · nonDerivative · entry 2

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,000

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.00 to $4.055, 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
July 08, 2024 Filed Jul 10, 2024 16:15 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionCommon Stock 19,802 $1.64 $32,495.08
Disclosure

SEC source: 0001415889-24-019463 · form4-07102024_040702.xml · nonDerivative · entry 1

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 44,802

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: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 21:18 UTC Exercise / conversionStock Option (right to buy) · Derivative 4,956 $0.00 Strike: $2.93 $0.00
Disclosure

SEC source: 0001415889-24-018635 · form4-07012024_090717.xml · derivative · entry 5

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,396

Underlying: Common Stock · 4,956 shares

Expires 2027-07-14

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: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 19, 2023.

F3 · derivative.exercise_date: This option is fully vested and exercisable.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 21:18 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,044 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001415889-24-018635 · form4-07012024_090717.xml · derivative · entry 4

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,121

Underlying: Common Stock · 5,044 shares

Expires 2030-01-20

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.

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 19, 2023.

F3 · derivative.exercise_date: This option is fully vested and exercisable.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 21:18 UTC SaleCommon Stock 10,000 $3.99 $39,900.00
Disclosure

SEC source: 0001415889-24-018635 · form4-07012024_090717.xml · nonDerivative · entry 3

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 141,950

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 19, 2023.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.93 to $4.02, 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
June 27, 2024 Filed Jul 1, 2024 21:18 UTC Exercise / conversionCommon Stock 4,956 $2.93 $14,501.26
Disclosure

SEC source: 0001415889-24-018635 · form4-07012024_090717.xml · nonDerivative · entry 2

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 151,950

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: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 19, 2023.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 21:18 UTC Exercise / conversionCommon Stock 5,044 $1.64 $8,277.20
Disclosure

SEC source: 0001415889-24-018635 · form4-07012024_090717.xml · nonDerivative · entry 1

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 146,994

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: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 19, 2023.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 16:17 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 33,333 $0.00 Strike: $1.64 $0.00
Disclosure

SEC source: 0001415889-24-017956 · form4-06242024_080648.xml · derivative · entry 3

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 66,667

Underlying: Common Stock · 33,333 shares

Expires 2030-01-20

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: The option has fully vested.

Read SEC document
June 20, 2024 Filed Jun 24, 2024 16:17 UTC
Ross Thomas M.EVP, GLOBAL SALES
SaleCommon Stock 33,333 $4.09 $136,465.30
Disclosure

SEC source: 0001415889-24-017956 · form4-06242024_080648.xml · nonDerivative · entry 2

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,000

F1 · kind: The sales and option exercise reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.00 to $4.185, 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
June 20, 2024 Filed Jun 24, 2024 16:17 UTC
Ross Thomas M.EVP, GLOBAL SALES
Exercise / conversionCommon Stock 33,333 $1.64 $54,699.45
Disclosure

SEC source: 0001415889-24-017956 · form4-06242024_080648.xml · nonDerivative · entry 1

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 58,333

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: The sales and option exercise reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 19, 2024.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:39 UTC GrantStock Option (right to buy) · Derivative 40,701 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-016715 · form4-06132024_090638.xml · derivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,701

Underlying: Common Stock · 40,701 shares

Expires 2034-06-10

F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:39 UTC GrantCommon Stock 21,367 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016715 · form4-06132024_090638.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,367

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:31 UTC GrantStock Option (right to buy) · Derivative 40,701 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-016709 · form4-06132024_090639.xml · derivative · entry 2

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,701

Underlying: Common Stock · 40,701 shares

Expires 2034-06-10

F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:31 UTC GrantCommon Stock 21,367 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016709 · form4-06132024_090639.xml · nonDerivative · entry 1

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,950

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 17:41 UTC
Mandell ArtDirector
GrantStock Option (right to buy) · Derivative 40,701 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-016716 · form4-06132024_090602.xml · derivative · entry 2

Mandell Art · CIK 0001874506 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,701

Underlying: Common Stock · 40,701 shares

Expires 2034-06-10

F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 17:41 UTC
Mandell ArtDirector
GrantCommon Stock 21,367 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016716 · form4-06132024_090602.xml · nonDerivative · entry 1

Mandell Art · CIK 0001874506 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 395,851

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:38 UTC GrantStock Option (right to buy) · Derivative 40,701 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-016713 · form4-06132024_090609.xml · derivative · entry 2

Hemrajani Rekha · CIK 0001771213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,701

Underlying: Common Stock · 40,701 shares

Expires 2034-06-10

F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:38 UTC GrantCommon Stock 21,367 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016713 · form4-06132024_090609.xml · nonDerivative · entry 1

Hemrajani Rekha · CIK 0001771213 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,367

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:37 UTC GrantStock Option (right to buy) · Derivative 40,701 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-016711 · form4-06132024_090659.xml · derivative · entry 2

Erck Stanley C · CIK 0001342826 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,701

Underlying: Common Stock · 40,701 shares

Expires 2034-06-10

F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:37 UTC GrantCommon Stock 21,367 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016711 · form4-06132024_090659.xml · nonDerivative · entry 1

Erck Stanley C · CIK 0001342826 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 269,118

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:32 UTC GrantStock Option (right to buy) · Derivative 40,701 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-016710 · form4-06132024_090651.xml · derivative · entry 2

Al-Wakeel Yasir B. · CIK 0001650691 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,701

Underlying: Common Stock · 40,701 shares

Expires 2034-06-10

F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:32 UTC GrantCommon Stock 21,367 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016710 · form4-06132024_090651.xml · nonDerivative · entry 1

Al-Wakeel Yasir B. · CIK 0001650691 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,367

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 21:30 UTC GrantStock Option (right to buy) · Derivative 40,701 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-016708 · form4-06132024_090610.xml · derivative · entry 2

BALTHROP PATRICK J · CIK 0001284839 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,701

Underlying: Common Stock · 40,701 shares

Expires 2034-06-10

F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

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June 11, 2024 Filed Jun 13, 2024 21:30 UTC GrantCommon Stock 21,367 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016708 · form4-06132024_090610.xml · nonDerivative · entry 1

BALTHROP PATRICK J · CIK 0001284839 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,367

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

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June 11, 2024 Filed Jun 13, 2024 21:27 UTC GrantStock Option (right to buy) · Derivative 40,701 $0.00 Strike: $4.68 $0.00
Disclosure

SEC source: 0001415889-24-016706 · form4-06132024_090617.xml · derivative · entry 2

Brooke William W · CIK 0001545337 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,701

Underlying: Common Stock · 40,701 shares

Expires 2034-06-10

F2 · derivative.exercise_date: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

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June 11, 2024 Filed Jun 13, 2024 21:27 UTC GrantCommon Stock 21,367 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016706 · form4-06132024_090617.xml · nonDerivative · entry 1

Brooke William W · CIK 0001545337 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,669

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: This annual grant was made pursuant to the Issuer's Equity Grant Policy for non-employee directors. The shares underlying this grant vest on June 11, 2025, subject to the reporting person's continuous service as of such vesting date.

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June 10, 2024 Filed Jun 10, 2024 17:55 UTC
Masoud MaherDirector · President and CEO
PurchaseCommon Stock 70,443 $4.90 $345,241.14
Disclosure

SEC source: 0001415889-24-016259 · form4-06102024_090649.xml · nonDerivative · entry 2

Masoud Maher · CIK 0001874571 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $4.77 to $5.00, 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.

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June 07, 2024 Filed Jun 10, 2024 17:55 UTC
Masoud MaherDirector · President and CEO
PurchaseCommon Stock 29,557 $4.87 $143,824.36
Disclosure

SEC source: 0001415889-24-016259 · form4-06102024_090649.xml · nonDerivative · entry 1

Masoud Maher · CIK 0001874571 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,557

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $4.84 to $4.95, 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.

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March 26, 2024 Filed Mar 28, 2024 20:31 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001415889-24-009334 · form4-03282024_040349.xml · derivative · entry 3

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 617

Underlying: Common Stock · 5,000 shares

Expires 2029-03-04

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: The shares underlying this option vested monthly in forty-eight (48) equal monthly installments commencing on April 4, 2019.

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March 26, 2024 Filed Mar 28, 2024 20:31 UTC SaleCommon Stock 5,000 $4.41 $22,025.00
Disclosure

SEC source: 0001415889-24-009334 · form4-03282024_040349.xml · nonDerivative · entry 2

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 120,583

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 28, 2023.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.37 to $4.43, 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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March 26, 2024 Filed Mar 28, 2024 20:31 UTC Exercise / conversionCommon Stock 5,000 $2.14 $10,710.00
Disclosure

SEC source: 0001415889-24-009334 · form4-03282024_040349.xml · nonDerivative · entry 1

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 125,583

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: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 28, 2023.

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March 15, 2024 Filed Mar 19, 2024 18:20 UTC
Sandoval David I.GENERAL COUNSEL
GrantEmployee Stock Option (right to buy) · Derivative 15,625 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001415889-24-008638 · form4-03192024_100311.xml · derivative · entry 2

Sandoval David I. · CIK 0002012430 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,625

Underlying: Common Stock · 15,625 shares

Expires 2034-03-14

F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares underlying this option shall vest on March 15, 2025, and the remainder shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date.

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March 15, 2024 Filed Mar 19, 2024 18:20 UTC
Sandoval David I.GENERAL COUNSEL
GrantCommon Stock 3,913 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-008638 · form4-03192024_100311.xml · nonDerivative · entry 1

Sandoval David I. · CIK 0002012430 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,913

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Twenty-five percent (25%) of the RSUs shall vest on March 15, 2025, and the remainder shall vest in three (3) equal annual installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date.

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March 15, 2024 Filed Mar 19, 2024 18:21 UTC
Ross Thomas M.EVP, GLOBAL SALES & MARKETING
GrantEmployee Stock Option (right to buy) · Derivative 100,000 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001415889-24-008640 · form4-03192024_100327.xml · derivative · entry 2

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES & MARKETING

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2034-03-14

F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares underlying this option shall vest on March 15, 2025, and the remainder shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date.

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March 15, 2024 Filed Mar 19, 2024 18:21 UTC
Ross Thomas M.EVP, GLOBAL SALES & MARKETING
GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-008640 · form4-03192024_100327.xml · nonDerivative · entry 1

Ross Thomas M. · CIK 0001874572 · EVP, GLOBAL SALES & MARKETING

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Twenty-five percent (25%) of the RSUs shall vest on March 15, 2025, and the remainder shall vest in three (3) equal annual installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date.

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March 15, 2024 Filed Mar 19, 2024 22:18 UTC
Swirsky Douglas JCHIEF FINANCIAL OFFICER
GrantEmployee Stock Option (right to buy) · Derivative 225,000 $0.00 Strike: $4.31 $0.00
Disclosure

SEC source: 0001415889-24-008636 · form4-03192024_100330.xml · derivative · entry 2

Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 225,000 shares

Expires 2034-03-14

F2 · derivative.exercise_date: Twenty-five percent (25%) of the shares underlying this option shall vest on March 15, 2025, and the remainder shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date.

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March 15, 2024 Filed Mar 19, 2024 22:18 UTC
Swirsky Douglas JCHIEF FINANCIAL OFFICER
GrantCommon Stock 81,250 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-008636 · form4-03192024_100330.xml · nonDerivative · entry 1

Swirsky Douglas J · CIK 0001375884 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,250

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Twenty-five percent (25%) of the RSUs shall vest on March 15, 2025, and the remainder shall vest in three (3) equal annual installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date.

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February 26, 2024 Filed Feb 28, 2024 21:30 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001415889-24-005727 · form4-02282024_040201.xml · derivative · entry 3

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,617

Underlying: Common Stock · 5,000 shares

Expires 2029-03-04

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: The shares underlying this option vested monthly in forty-eight (48) equal monthly installments commencing on April 4, 2019.

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February 26, 2024 Filed Feb 28, 2024 21:30 UTC SaleCommon Stock 5,000 $4.60 $23,005.00
Disclosure

SEC source: 0001415889-24-005727 · form4-02282024_040201.xml · nonDerivative · entry 2

Johnston John Joseph · CIK 0001874850 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 120,583

F1 · kind: The sales and option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 28, 2023.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.51 to $4.625, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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