Last 12 months
Inside the activity.
2 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 2 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 21, 2019 Filed Feb 23, 2019 00:35 UTC |
Friedman Mark JGENERAL COUNSEL
|
GrantEmployee Stock Options (right to buy) · Derivative | 89,254 | $0.00 Strike: $3.84 | $0.00 |
DisclosureSEC source: 0001415889-19-000219 · form4-02222019_040248.xml · derivative · entry 1 Friedman Mark J · CIK 0001590024 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,254 Underlying: Common Stock · 89,254 shares Expires 2029-02-21 F1 · derivative.exercise_date: Options vest 33% on February 21, 2020 and thereafter 1/36th vest each month. Read SEC document |
| February 15, 2019 Filed Feb 14, 2020 21:10 UTC |
Fried Robert NDirector · CEO
|
GiftCommon Stock | 52,001 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-20-000337 · form5-02142020_010232.xml · nonDerivative · entry 2 Fried Robert N · CIK 0001417952 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Fried-Travis Revocable Trust U/A Dated 06/02/1999 Disclosed balance after: 52,001 Read SEC document |
| February 15, 2019 Filed Feb 14, 2020 21:10 UTC |
Fried Robert NDirector · CEO
|
GiftCommon Stock | 52,001 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-20-000337 · form5-02142020_010232.xml · nonDerivative · entry 1 Fried Robert N · CIK 0001417952 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,392,314 Read SEC document |
| December 10, 2018 Filed Dec 12, 2018 00:58 UTC |
Roberts Matthew ACHIEF SCIENTIFIC OFFICER
|
GrantStock Option (right to buy) · Derivative | 350,000 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0001415889-18-001750 · form4-12112018_041214.xml · derivative · entry 1 Roberts Matthew A · CIK 0001761147 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires 2028-12-10 F1 · derivative.exercise_date: One-third of the shares subject to the option vest on December 10, 2019, and the remaining shares subject to the option vest in a series of 24 equal monthly installments thereafter on each such vesting date. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 22:18 UTC |
Fried Robert NDirector · CEO
|
GrantCommon Stock | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-001610 · form4-11092018_021156.xml · nonDerivative · entry 1 Fried Robert N · CIK 0001417952 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,259,908 F1 · shares: These fully-vested shares are awarded to Mr. Fried pursuant to the achievement of the performance criteria detailed in his Executive Employment Agreement, dated March 12, 2017, as amended. Read SEC document |
| September 11, 2018 Filed Sep 11, 2018 16:48 UTC |
FARR KEVIN MCHIEF FINANCIAL OFFICER
|
PurchaseCommon Stock | 5,000 | $3.50 | $17,500.00 |
DisclosureSEC source: 0001415889-18-001357 · form4-09112018_010923.xml · nonDerivative · entry 1 FARR KEVIN M · CIK 0001194262 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 21:20 UTC |
YU Wing Tak WendyDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0001415889-18-001037 · form4-06262018_020640.xml · derivative · entry 1 YU Wing Tak Wendy · CIK 0001713918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-22 F1 · derivative.exercise_date: Options vest 100% on June 22, 2019. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 17:19 UTC |
LAU Tsz Ho TonyDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0001415889-18-001035 · form4-06262018_020646.xml · derivative · entry 1 LAU Tsz Ho Tony · CIK 0001714259 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-22 F1 · derivative.exercise_date: Options vest 100% on June 22, 2019. Read SEC document |
| June 22, 2018 Filed Jun 27, 2018 00:16 UTC |
GUSTAFSON KURT ADirector
|
GrantStock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0001415889-18-001039 · form4-06262018_050655.xml · derivative · entry 1 GUSTAFSON KURT A · CIK 0001462354 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-22 F1 · derivative.exercise_date: Options vest 100% on June 22, 2019. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 21:17 UTC |
Fried Robert NDirector · CEO
|
GrantStock Option (right to buy) · Derivative | 744,097 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0001415889-18-001033 · form4-06262018_020606.xml · derivative · entry 3 Fried Robert N · CIK 0001417952 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,097 Underlying: Common Stock · 744,097 shares Expires 2028-06-22 F3 · shares: Awarded pursuant to his Amended and Restated Executive Employment Agreement dated June 22, 2018, in consideration of his appointment by the Board to CEO. F4 · derivative.exercise_date: 1/3rd of the shares vest on June 22, 2019 and the remaining shares vest in a series of 24 equal monthly installments thereafter. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 21:17 UTC |
Fried Robert NDirector · CEO
|
GrantCommon Stock | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-001033 · form4-06262018_020606.xml · nonDerivative · entry 1 Fried Robert N · CIK 0001417952 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,093,241 F1 · shares: These fully-vested shares are awarded to Mr. Fried pursuant to the achievement of the performance criteria detailed in his Executive Employment Agreement, dated March 12, 2017, as amended. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 17:08 UTC |
BLOCK STEPHEN ADirector
|
GrantStock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0001415889-18-001028 · form4-06262018_020648.xml · derivative · entry 1 BLOCK STEPHEN A · CIK 0001183721 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-22 F1 · derivative.exercise_date: Options vest 100% on June 22, 2019. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 21:06 UTC |
Rubin Steven DDirector
|
GrantStock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0001415889-18-001026 · form4-06262018_020647.xml · derivative · entry 1 Rubin Steven D · CIK 0001381874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-22 F1 · derivative.exercise_date: Options vest 100% on June 22, 2019. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 21:11 UTC |
Baxter JeffDirector
|
GrantStock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0001415889-18-001030 · form4-06262018_020638.xml · derivative · entry 1 Baxter Jeff · CIK 0001615941 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-06-22 F1 · derivative.exercise_date: Options vest 100% on June 22, 2019. Read SEC document |
| June 04, 2018 Filed Jun 6, 2018 20:18 UTC |
Bratkovich LisaCHIEF MARKETING OFFICER
|
GrantStock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $3.45 | $0.00 |
DisclosureSEC source: 0001415889-18-000900 · form4-06062018_050655.xml · derivative · entry 1 Bratkovich Lisa · CIK 0001741628 · CHIEF MARKETING OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2028-06-03 F1 · derivative.exercise_date: One-third of the shares subject to the option vest on June 4, 2019, and the remaining shares subject to the option vest in a series of 24 equal monthly installments thereafter on each such vesting date. Read SEC document |
| May 18, 2018 Filed May 22, 2018 18:46 UTC |
FARR KEVIN MCHIEF FINANCIAL OFFICER
|
PurchaseCommon Stock | 5,000 | $3.83 | $19,150.00 |
DisclosureSEC source: 0001415889-18-000796 · form4-05222018_030523.xml · nonDerivative · entry 1 FARR KEVIN M · CIK 0001194262 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| May 17, 2018 Filed May 17, 2018 22:31 UTC |
Friedman Mark JGENERAL COUNSEL
|
PurchaseCommon Stock | 3,000 | $3.60 | $10,800.00 |
DisclosureSEC source: 0001415889-18-000780 · form4-05172018_030501.xml · nonDerivative · entry 1 Friedman Mark J · CIK 0001590024 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| May 16, 2018 Filed May 16, 2018 20:59 UTC |
Jaksch Frank L JrDirector · CEO
|
PurchaseCommon Stock | 4,300 | $3.56 | $15,308.00 |
DisclosureSEC source: 0001415889-18-000754 · form4-05162018_010520.xml · nonDerivative · entry 2 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,357 Read SEC document |
| May 15, 2018 Filed May 15, 2018 21:34 UTC |
Fried Robert NDirector · PRESIDENT, COO
|
GrantCommon Stock | 10,000 | $3.63 | $36,300.00 |
DisclosureSEC source: 0001415889-18-000738 · form4-05152018_020536.xml · nonDerivative · entry 1 Fried Robert N · CIK 0001417952 · Director · PRESIDENT, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 926,574 Read SEC document |
| May 15, 2018 Filed May 16, 2018 20:59 UTC |
Jaksch Frank L JrDirector · CEO
|
PurchaseCommon Stock | 5,500 | $3.61 | $19,855.00 |
DisclosureSEC source: 0001415889-18-000754 · form4-05162018_010520.xml · nonDerivative · entry 1 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,057 Read SEC document |
| May 15, 2018 Filed May 16, 2018 16:10 UTC Amendment |
Fried Robert NDirector · PRESIDENT, COO
|
PurchaseCommon Stock | 10,000 | $3.63 | $36,300.00 |
DisclosureSEC source: 0001415889-18-000742 · form4a-05162018_090510.xml · nonDerivative · entry 1 Fried Robert N · CIK 0001417952 · Director · PRESIDENT, COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 926,574 F1 · kind: This Form 4 is being amended to correct the transaction code to reflect that the shares were purchased by the Reporting Person on the open market. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 20:39 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 474 | $0.00 Strike: $4.50 | $0.00 |
DisclosureSEC source: 0001415889-18-000499 · form4-04022018_010440.xml · derivative · entry 4 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,503 Underlying: Common Stock · 474 shares Expires 2018-04-21 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. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 20:39 UTC |
Jaksch Frank L JrDirector · CEO
|
SaleCommon Stock | 474 | $4.60 | $2,180.40 |
DisclosureSEC source: 0001415889-18-000499 · form4-04022018_010440.xml · nonDerivative · entry 2 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,557 F1 · acquired: Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted on March 16, 2018. The options exercised and sold were scheduled to expire on April 21, 2018. Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 20:39 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionCommon Stock | 474 | $4.50 | $2,133.00 |
DisclosureSEC source: 0001415889-18-000499 · form4-04022018_010440.xml · nonDerivative · entry 1 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,031 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 |
| March 27, 2018 Filed Mar 29, 2018 21:03 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 24,578 | $0.00 Strike: $4.50 | $0.00 |
DisclosureSEC source: 0001415889-18-000453 · form4-03292018_020309.xml · derivative · entry 4 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,977 Underlying: Common Stock · 24,578 shares Expires 2018-04-21 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. Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 21:03 UTC |
Jaksch Frank L JrDirector · CEO
|
SaleCommon Stock | 24,578 | $4.60 | $113,058.80 |
DisclosureSEC source: 0001415889-18-000453 · form4-03292018_020309.xml · nonDerivative · entry 2 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,557 F1 · acquired: Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted on March 16, 2018. The options exercised and sold were scheduled to expire on April 21, 2018. Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 21:03 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionCommon Stock | 24,578 | $4.50 | $110,601.00 |
DisclosureSEC source: 0001415889-18-000453 · form4-03292018_020309.xml · nonDerivative · entry 1 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,135 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 |
| January 22, 2018 Filed Jan 24, 2018 21:22 UTC |
Friedman Mark JGeneral Counsel
|
GrantStock Option (right to buy) · Derivative | 500,000 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-005110 · doc4.xml · derivative · entry 1 Friedman Mark J · CIK 0001590024 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2028-01-21 F1 · derivative.exercise_date: One-third of the shares subject to the option vest on January 22, 2019, and the remaining shares subject to the option vest in a series of 24 equal monthly installments thereafter on each such vesting date. Read SEC document |
| January 21, 2018 Filed Jan 23, 2018 21:18 UTC |
Jaksch Frank L JrDirector · CEO
|
GrantEmployee Stock Options (right to buy) · Derivative | 50,000 | $0.00 Strike: $5.85 | $0.00 |
DisclosureSEC source: 0001415889-18-000104 · form4-01232018_010152.xml · derivative · entry 1 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-01-21 F1 · derivative.exercise_date: Options vest 25% on January 21, 2019 and thereafter 1/48th vest each month. Read SEC document |
| January 21, 2018 Filed Jan 23, 2018 21:19 UTC |
Fried Robert NDirector · PRESIDENT, COO, CSO
|
GrantEmployee Stock Options (right to buy) · Derivative | 300,000 | $0.00 Strike: $5.85 | $0.00 |
DisclosureSEC source: 0001415889-18-000106 · form4-01232018_010141.xml · derivative · entry 1 Fried Robert N · CIK 0001417952 · Director · PRESIDENT, COO, CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2028-01-21 F1 · derivative.exercise_date: 10/36th of the shares vested on January 21, 2018 and thereafter 1/36th vest on the 12th of each month for the next 26 months. Read SEC document |
| January 21, 2018 Filed Jan 23, 2018 21:22 UTC |
Rhonemus Troy AllenEXECUTIVE VICE PRESIDENT
|
GrantEmployee Stock Options (right to buy) · Derivative | 120,000 | $0.00 Strike: $5.85 | $0.00 |
DisclosureSEC source: 0001415889-18-000108 · form4-01232018_010110.xml · derivative · entry 1 Rhonemus Troy Allen · CIK 0001601604 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 120,000 shares Expires 2028-01-21 F1 · derivative.exercise_date: Options vest 25% on January 21, 2019 and thereafter 1/48th vest each month. Read SEC document |
| January 11, 2018 Filed Jan 12, 2018 21:56 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 6,249 | $0.00 Strike: $4.50 | $0.00 |
DisclosureSEC source: 0001415889-18-000047 · form4-01122018_010129.xml · derivative · entry 7 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,555 Underlying: Common Stock · 6,249 shares Expires 2018-04-21 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. Read SEC document |
| January 11, 2018 Filed Jan 12, 2018 21:56 UTC |
Jaksch Frank L JrDirector · CEO
|
SaleCommon Stock | 6,249 | $6.50 | $40,618.50 |
DisclosureSEC source: 0001415889-18-000047 · form4-01122018_010129.xml · nonDerivative · entry 4 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,557 F1 · acquired: Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted on November 17, 2017. The options exercised and sold were scheduled to expire on April 21, 2018 and Mr. Jaksch sold the shares so that the proceeds can be used to cover the exercise payment and applicable withholding taxes due. Read SEC document |
| January 11, 2018 Filed Jan 12, 2018 21:56 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionCommon Stock | 6,249 | $4.50 | $28,120.50 |
DisclosureSEC source: 0001415889-18-000047 · form4-01122018_010129.xml · nonDerivative · entry 3 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,806 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 |
| January 10, 2018 Filed Jan 12, 2018 21:56 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 22,130 | $0.00 Strike: $4.50 | $0.00 |
DisclosureSEC source: 0001415889-18-000047 · form4-01122018_010129.xml · derivative · entry 6 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,804 Underlying: Common Stock · 22,130 shares Expires 2018-04-21 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. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 21:56 UTC |
Jaksch Frank L JrDirector · CEO
|
SaleCommon Stock | 22,130 | $6.52 | $144,287.60 |
DisclosureSEC source: 0001415889-18-000047 · form4-01122018_010129.xml · nonDerivative · entry 2 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,557 F2 · price: The weighted average sale price for the transaction reported was $6.52, and the range of prices were between $6.50 and $6.58. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided. F1 · acquired: Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted on November 17, 2017. The options exercised and sold were scheduled to expire on April 21, 2018 and Mr. Jaksch sold the shares so that the proceeds can be used to cover the exercise payment and applicable withholding taxes due. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 21:56 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionCommon Stock | 22,130 | $4.50 | $99,585.00 |
DisclosureSEC source: 0001415889-18-000047 · form4-01122018_010129.xml · nonDerivative · entry 1 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,687 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 |
| December 21, 2017 Filed Dec 26, 2017 21:34 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 58,400 | $0.00 Strike: $4.50 | $0.00 |
DisclosureSEC source: 0001415889-17-002002 · form4-12262017_011223.xml · derivative · entry 4 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,934 Underlying: Common Stock · 58,400 shares Expires 2018-04-21 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. Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 21:34 UTC |
Jaksch Frank L JrDirector · CEO
|
SaleCommon Stock | 58,400 | $6.19 | $361,496.00 |
DisclosureSEC source: 0001415889-17-002002 · form4-12262017_011223.xml · nonDerivative · entry 2 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,557 F1 · shares: Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted on November 17, 2017. The options exercised and sold were scheduled to expire on April 21, 2018 and Mr. Jaksch sold the shares so that the proceeds can be used to cover the exercise payment and applicable withholding taxes due. Read SEC document |
| December 21, 2017 Filed Dec 26, 2017 21:34 UTC |
Jaksch Frank L JrDirector · CEO
|
Exercise / conversionCommon Stock | 58,400 | $4.50 | $262,800.00 |
DisclosureSEC source: 0001415889-17-002002 · form4-12262017_011223.xml · nonDerivative · entry 1 Jaksch Frank L Jr · CIK 0001437237 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 259,957 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 |
| December 20, 2017 Filed Dec 21, 2017 22:46 UTC |
Fried Robert NDirector · PRESIDENT, CHIEF STRATEGY OFF.
|
GrantCommon Stock | 333,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-001978 · form4-12212017_021233.xml · nonDerivative · entry 1 Fried Robert N · CIK 0001417952 · Director · PRESIDENT, CHIEF STRATEGY OFF. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 916,574 F1 · shares: On December 20, 2017, ChromaDex Corporation (the "Company") and Robert Fried entered into an amendment (the "Amendment") to Mr. Fried's existing Executive Employment Agreement, dated March 12, 2017. In connection with the Amendment, the Company granted to Mr. Fried 333,333 shares of restricted Common Stock pursuant to the Company's 2017 Equity Incentive Plan, which shares are fully-vested. F2 · balance_after: Includes 166,667 shares of restricted Common Stock previously granted by the Company on March 12, 2017. In connection with the Amendment, the Company accelerated in full the vesting of the 166,667 shares of restricted Common Stock previously granted to Mr. Fried on March 12, 2017. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 12:01 UTC |
Champion River Ventures Ltd10% owner
Prime Tech Global Ltd10% owner
Mayspin Management Ltd10% owner
Li Ka Shing10% owner
|
PurchaseCommon Stock | 731,707 | $4.10 | $2,999,998.70 |
DisclosureSEC source: 0000899243-17-027134 · doc4.xml · nonDerivative · entry 1 Champion River Ventures Ltd · CIK 0001705321 · 10% owner Prime Tech Global Ltd · CIK 0001706084 · 10% owner Mayspin Management Ltd · CIK 0001706083 · 10% owner Li Ka Shing · CIK 0001686621 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500,937 F1 · shares: On November 17, 2017, Champion River Ventures Limited ("Champion River") acquired 731,707 shares of the Issuer's common stock pursuant to the transactions contemplated by the Securities Purchase Agreement, dated November 3, 2017 (the "SPA"), by and among the Issuer, Champion River and various other purchasers named therein. F2 · ownership.direct: The shares are held directly by Champion River. The sole shareholder of Champion River is Prime Tech Global Limited ("Prime Tech"), the sole shareholder of Prime Tech is Mayspin Management Limited ("Mayspin"), and the sole shareholder of Mayspin is Li Ka Shing ("Li Ka Shing"). Each of Prime Tech, Mayspin and Li Ka Shing disclaims Section 16 beneficial ownership of the securities held by Champion River, except to the extent of its or his pecuniary interest therein, if any. F3 · ownership.direct: Winsave Resources Limited, a company organized under the laws of British Virgin Islands ("Winsave"), acquired 1,219,512 shares pursuant to the SPA. All of the equity of Winsave is owned by Li Ka Shing (Overseas) Foundation, a company incorporated under the laws of the Cayman Islands (the "Foundation"). Investment decisions by the Foundation are made by the majority vote of a board of directors currently consisting of 14 persons, of which Li Ka Shing is the Chairman. Investment decisions by Winsave are made by the majority vote of a board of directors currently consisting of five persons. Li Ka Shing is not a director or officer of Winsave. Li Ka Shing disclaims Section 16 beneficial ownership of the securities held by the Foundation, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| October 05, 2017 Filed Oct 10, 2017 16:25 UTC |
FARR KEVIN MChief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 1,000,000 | $0.00 Strike: $4.24 | $0.00 |
DisclosureSEC source: 0001209191-17-056437 · doc4.xml · derivative · entry 1 FARR KEVIN M · CIK 0001194262 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2027-10-04 F1 · derivative.exercise_date: The number of shares subject to the option shall vest in equal monthly installments over three years such that all the shares subject to the option shall have vested on the third anniversary of October 5, 2017. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 00:46 UTC |
Allen Stephen R.Director
|
PurchaseCommon Stock | 2,000 | $3.31 | $6,620.00 |
DisclosureSEC source: 0001415889-17-001429 · form4-08282017_050826.xml · nonDerivative · entry 1 Allen Stephen R. · CIK 0001597090 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 20:27 UTC |
YU Wing Tak WendyDirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.28 | $0.00 |
DisclosureSEC source: 0001209191-17-049710 · doc4.xml · derivative · entry 1 YU Wing Tak Wendy · CIK 0001713918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2027-08-17 F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on August 18, 2018. Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 16:25 UTC |
LAU Tsz Ho TonyDirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.28 | $0.00 |
DisclosureSEC source: 0001209191-17-049708 · doc4.xml · derivative · entry 1 LAU Tsz Ho Tony · CIK 0001714259 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2027-08-17 F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on August 18, 2018. Read SEC document |
| August 18, 2017 Filed Aug 22, 2017 08:34 UTC |
Champion River Ventures Ltd10% owner
Prime Tech Global Ltd10% owner
Mayspin Management Ltd10% owner
Li Ka Shing10% owner
|
PurchaseCommon Stock | 1,179,250 | $2.60 | $3,066,050.00 |
DisclosureSEC source: 0000899243-17-020794 · doc4.xml · nonDerivative · entry 1 Champion River Ventures Ltd · CIK 0001705321 · 10% owner Prime Tech Global Ltd · CIK 0001706084 · 10% owner Mayspin Management Ltd · CIK 0001706083 · 10% owner Li Ka Shing · CIK 0001686621 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,769,230 F1 · shares: Champion River Ventures Limited ("Champion River") acquired 1,179,250 shares of the Issuer's common stock at the closing of the third tranche on August 18, 2017, pursuant to the Securities Purchase Agreement, dated April 26, 2017 (the "SPA"), by and among the Issuer, Champion River and Pioneer Step Holdings Limited ("Pioneer Step"), as amended by the First Amendment to Securities Purchase Agreement, dated May 24, 2017 (the "First Amendment"), by and among the Issuer, Champion River and Pioneer Step. F2 · ownership.direct: The shares are held directly by Champion River. The sole shareholder of Champion River is Prime Tech Global Limited ("Prime Tech"), the sole shareholder of Prime Tech is Mayspin Management Limited ("Mayspin"), and the sole shareholder of Mayspin is Li Ka Shing ("Li Ka Shing"). Each of Prime Tech, Mayspin and Li Ka Shing disclaims Section 16 beneficial ownership of the securities held by Champion River, except to the extent of its pecuniary interest therein, if any. Read SEC document |
| August 18, 2017 Filed Aug 22, 2017 08:34 UTC |
Pioneer Step Holdings Ltd10% owner
Chau Hoi Shuen Solina Holly10% owner
|
PurchaseCommon Stock | 786,167 | $2.60 | $2,044,034.20 |
DisclosureSEC source: 0000899243-17-020793 · doc4.xml · nonDerivative · entry 1 Pioneer Step Holdings Ltd · CIK 0001705335 · 10% owner Chau Hoi Shuen Solina Holly · CIK 0001687026 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,846,155 F1 · shares: Pioneer Step Holdings Limited ("Pioneer Step") acquired 786,167 shares of the Issuer's common stock at the closing of the third tranche on August 18, 2017, pursuant to the Securities Purchase Agreement, dated April 26, 2017 (the "SPA"), by and among the Issuer, Champion River Ventures Limited ("Champion River") and Pioneer Step, as amended by the First Amendment to Securities Purchase Agreement, dated May 24, 2017 (the "First Amendment"), by and among the Issuer, Champion River and Pioneer Step. F2 · ownership.direct: The shares are held directly by Pioneer Step. The sole shareholder and sole director of Pioneer Step is Chau Hoi Shuen Solina Holly ("Solina Chau"). Solina Chau disclaims Section 16 beneficial ownership of the securities held by Pioneer Step, except to the extent of her pecuniary interest therein, if any. Read SEC document |
| August 15, 2017 Filed Aug 16, 2017 20:50 UTC |
Fried Robert NDirector · PRESIDENT, CHIEF STRATEGY OFF.
|
PurchaseCommon Stock | 10,000 | $3.15 | $31,500.00 |
DisclosureSEC source: 0001415889-17-001399 · form4-08162017_010858.xml · nonDerivative · entry 1 Fried Robert N · CIK 0001417952 · Director · PRESIDENT, CHIEF STRATEGY OFF. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 583,241 Read SEC document |
| June 20, 2017 Filed Jul 3, 2017 17:16 UTC |
BLOCK STEPHEN ADirector
|
GrantStock Options (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.59 | $0.00 |
DisclosureSEC source: 0001415889-17-001085 · form4-07032017_020750.xml · derivative · entry 1 BLOCK STEPHEN A · CIK 0001183721 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-20 F1 · derivative.exercise_date: Options vest 100% on June 20, 2018. 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.