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Nasdaq · USD

NAUT

Nautilus Biotechnology, Inc.

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6679
SEC CIK
0001808805
Parsed reports
141

Last 12 months

Inside the activity.

2 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202600
Feb 202600
Mar 202610
Apr 202600
May 202600
Jun 202602
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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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
June 14, 2024 Filed Jun 17, 2024 21:24 UTC
NAZEM FARZADDirector
GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $2.56 $0.00
Disclosure

SEC source: 0001808805-24-000048 · wk-form4_1718659469.xml · derivative · entry 1

NAZEM FARZAD · CIK 0001234663 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

Read SEC document
June 14, 2024 Filed Jun 17, 2024 21:03 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $2.56 $0.00
Disclosure

SEC source: 0001808805-24-000045 · wk-form4_1718658225.xml · derivative · entry 1

Posard Matthew L. · CIK 0001543792 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

Read SEC document
March 11, 2024 Filed Mar 12, 2024 00:21 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
PurchaseCommon Stock 12,044 $2.84 $34,215.80
Disclosure

SEC source: 0001808805-24-000026 · wk-form4_1710202909.xml · nonDerivative · entry 2

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,064,488

F2 · price: Represents the weighted average share price of an aggregate total of 12,044 shares purchased in the price range of $2.75 to $3.00 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
March 08, 2024 Filed Mar 12, 2024 00:21 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
PurchaseCommon Stock 2,430 $2.99 $7,262.06
Disclosure

SEC source: 0001808805-24-000026 · wk-form4_1710202909.xml · nonDerivative · entry 1

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,052,444

F1 · price: Represents the weighted average share price of an aggregate total of 2,430 shares purchased in the price range of $2.96 to $3.00 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
March 07, 2024 Filed Mar 8, 2024 00:06 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
PurchaseCommon Stock 18,854 $2.89 $54,423.96
Disclosure

SEC source: 0001628280-24-009754 · wk-form4_1709856399.xml · nonDerivative · entry 3

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,050,014

F3 · price: Represents the weighted average share price of an aggregate total of 18,854 shares purchased in the price range of $2.72 to $3.00 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
March 06, 2024 Filed Mar 8, 2024 00:06 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
PurchaseCommon Stock 9,267 $2.70 $25,033.87
Disclosure

SEC source: 0001628280-24-009754 · wk-form4_1709856399.xml · nonDerivative · entry 2

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,031,160

F2 · price: Represents the weighted average share price of an aggregate total of 9,267 shares purchased in the price range of $2.64 to $2.77 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
March 05, 2024 Filed Mar 8, 2024 00:06 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
PurchaseCommon Stock 7,405 $2.65 $19,596.59
Disclosure

SEC source: 0001628280-24-009754 · wk-form4_1709856399.xml · nonDerivative · entry 1

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,021,893

F1 · price: Represents the weighted average share price of an aggregate total of 7,405 shares purchased in the price range of $2.58 to $2.69 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 16:34 UTC
Murphy Matthew B.General Counsel
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001808805-24-000014 · wk-form4_1709674435.xml · derivative · entry 1

Murphy Matthew B. · CIK 0001865778 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2024.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 21:52 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
GrantStock Option (Right to Buy) · Derivative 650,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001808805-24-000024 · wk-form4_1709675514.xml · derivative · entry 1

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 650,000

Underlying: Common Stock · 650,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2024.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 21:49 UTC
Mallick ParagDirector · Chief Scientist · 10% owner
GrantStock Option (Right to Buy) · Derivative 280,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001808805-24-000022 · wk-form4_1709675334.xml · derivative · entry 1

Mallick Parag · CIK 0001857948 · Director · Chief Scientist · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2024.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 21:46 UTC
Nelson Nicholas A.CBO & Senior VP, Bus. Dev.
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001808805-24-000020 · wk-form4_1709675142.xml · derivative · entry 1

Nelson Nicholas A. · CIK 0001857944 · CBO & Senior VP, Bus. Dev.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2024.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 21:37 UTC
Weld Gwen EChief People Officer
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001808805-24-000016 · wk-form4_1709674619.xml · derivative · entry 1

Weld Gwen E · CIK 0001378831 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2024.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 21:42 UTC
Mowry AnnaCFO and Treasurer
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001808805-24-000018 · wk-form4_1709674895.xml · derivative · entry 1

Mowry Anna · CIK 0001856938 · CFO and Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2024.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 21:30 UTC
Sankar SubramanianSenior VP, Product Development
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001808805-24-000012 · wk-form4_1709674183.xml · derivative · entry 1

Sankar Subramanian · CIK 0001856744 · Senior VP, Product Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2024.

Read SEC document
March 01, 2024 Filed Mar 5, 2024 21:23 UTC
Godwin Mary E.Senior VP, Operations
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001808805-24-000010 · wk-form4_1709673794.xml · derivative · entry 1

Godwin Mary E. · CIK 0001439716 · Senior VP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2024.

Read SEC document
June 15, 2023 Filed Jun 17, 2023 00:07 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001808805-23-000064 · wf-form4_168696040915626.xml · derivative · entry 1

McIlwain Matthew S · CIK 0001381752 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

Read SEC document
June 15, 2023 Filed Jun 16, 2023 23:52 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001808805-23-000062 · wf-form4_168695955711451.xml · derivative · entry 1

Posard Matthew L. · CIK 0001543792 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

Read SEC document
June 15, 2023 Filed Jun 16, 2023 23:52 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001808805-23-000060 · wf-form4_168695952896084.xml · derivative · entry 1

Pande Vijay Satyanand · CIK 0001840663 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

Read SEC document
June 15, 2023 Filed Jun 16, 2023 23:52 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001808805-23-000059 · wf-form4_168695951498248.xml · derivative · entry 1

Epperly Melissa B, · CIK 0001807359 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

Read SEC document
June 15, 2023 Filed Jun 16, 2023 23:51 UTC
NAZEM FARZADDirector
GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001808805-23-000058 · wf-form4_168695949921353.xml · derivative · entry 1

NAZEM FARZAD · CIK 0001234663 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

Read SEC document
June 15, 2023 Filed Jun 16, 2023 23:51 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0001808805-23-000057 · wf-form4_168695948494043.xml · derivative · entry 1

Akinsanya Karen · CIK 0001797672 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

Read SEC document
June 15, 2023 Filed Jun 21, 2023 01:07 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0000899243-23-016076 · doc4.xml · derivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director

EDELMAN JOSEPH · CIK 0001164426 · Director

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to the continuous status of Mr. Altman as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each vesting date, the shares subject to the Option shall vest on a monthly basis for twelve consecutive months, on the same day of the month as the Grant Date.

F2 · ownership.nature: Consists of options to purchase shares of the Issuer's common stock awarded to Michael Altman in connection with his role as a member of the Issuer's Board of Directors. Mr. Altman is affiliated with the Advisor. The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Altman's board service through a partial management fee offset.

F3 · ownership.nature: Joseph Edelman is the managing member of the Advisor. The Advisor serves as the investment manager of Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Each of Mr. Edelman, the Mater Fund and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of the securities reported on this form, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman, the Master Fund or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

Read SEC document
June 15, 2023 Filed Jun 21, 2023 00:52 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $3.97 $0.00
Disclosure

SEC source: 0000899243-23-016073 · doc4.xml · derivative · entry 1

ALTMAN MICHAEL SETH · CIK 0001746738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date.

Read SEC document
February 27, 2023 Filed Mar 1, 2023 17:19 UTC
Murphy Matthew B.General Counsel
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001808805-23-000030 · wf-form4_167770912315422.xml · derivative · entry 1

Murphy Matthew B. · CIK 0001865778 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2023.

Read SEC document
February 27, 2023 Filed Mar 1, 2023 22:20 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
GrantStock Option (Right to Buy) · Derivative 650,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001808805-23-000032 · wf-form4_167770917669467.xml · derivative · entry 1

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,000

Underlying: Common Stock · 650,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2023.

Read SEC document
February 27, 2023 Filed Mar 1, 2023 22:19 UTC
Mowry AnnaCFO and Treasurer
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001808805-23-000031 · wf-form4_167770915010174.xml · derivative · entry 1

Mowry Anna · CIK 0001856938 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2023.

Read SEC document
February 27, 2023 Filed Mar 1, 2023 22:18 UTC
Mallick ParagDirector · Chief Scientist · 10% owner
GrantStock Option (Right to Buy) · Derivative 280,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001808805-23-000028 · wf-form4_167770906065515.xml · derivative · entry 1

Mallick Parag · CIK 0001857948 · Director · Chief Scientist · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2023.

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February 27, 2023 Filed Mar 1, 2023 22:18 UTC
Godwin Mary E.Senior VP, Operations
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001808805-23-000029 · wf-form4_167770909041820.xml · derivative · entry 1

Godwin Mary E. · CIK 0001439716 · Senior VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2023.

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February 27, 2023 Filed Mar 1, 2023 22:17 UTC
Weld Gwen EChief People Officer
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001808805-23-000027 · wf-form4_167770904055529.xml · derivative · entry 1

Weld Gwen E · CIK 0001378831 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2023.

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February 27, 2023 Filed Mar 1, 2023 22:17 UTC
Nelson Nicholas A.CBO & Senior VP, Bus. Dev.
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001808805-23-000026 · wf-form4_167770900634743.xml · derivative · entry 1

Nelson Nicholas A. · CIK 0001857944 · CBO & Senior VP, Bus. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2023.

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February 27, 2023 Filed Mar 1, 2023 22:16 UTC
Sankar SubramanianSenior VP, Product Development
GrantStock Option (Right to Buy) · Derivative 160,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001808805-23-000025 · wf-form4_167770896995980.xml · derivative · entry 1

Sankar Subramanian · CIK 0001856744 · Senior VP, Product Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is January 1, 2023.

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September 27, 2022 Filed Sep 28, 2022 20:01 UTC
Sankar SubramanianSenior VP, Product Development
PurchaseCommon Stock 5,000 $2.03 $10,149.00
Disclosure

SEC source: 0001808805-22-000101 · wf-form4_166439528878324.xml · nonDerivative · entry 2

Sankar Subramanian · CIK 0001856744 · Senior VP, Product Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,250

F3 · price: Represents the weighted average share price of an aggregate total of 5,000 shares purchased in the price range of $2.02 to $2.04 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

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September 26, 2022 Filed Sep 28, 2022 20:01 UTC
Sankar SubramanianSenior VP, Product Development
PurchaseCommon Stock 10,000 $2.03 $20,250.00
Disclosure

SEC source: 0001808805-22-000101 · wf-form4_166439528878324.xml · nonDerivative · entry 1

Sankar Subramanian · CIK 0001856744 · Senior VP, Product Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,250

F1 · price: Represents the weighted average share price of an aggregate total of 10,000 shares purchased in the price range of $2.00 to $2.05 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: Includes 1,250 shares of Common Stock acquired on June 1, 2022 through the Issuer's 2021 Employee Stock Purchase Plan.

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September 23, 2022 Filed Sep 27, 2022 01:26 UTC
Weld Gwen EChief People Officer
PurchaseCommon Stock 30,000 $2.03 $60,765.00
Disclosure

SEC source: 0001808805-22-000099 · wf-form4_166424198494990.xml · nonDerivative · entry 1

Weld Gwen E · CIK 0001378831 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · price: Represents the weighted average share price of an aggregate total of 30,000 shares purchased in the price range of $1.97 to $2.0257 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

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September 16, 2022 Filed Sep 19, 2022 21:50 UTC
Sankar SubramanianSenior VP, Product Development
PurchaseCommon Stock 35,000 $2.16 $75,446.00
Disclosure

SEC source: 0001808805-22-000097 · wf-form4_166362419701017.xml · nonDerivative · entry 2

Sankar Subramanian · CIK 0001856744 · Senior VP, Product Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

F2 · price: Represents the weighted average share price of an aggregate total of 35,000 shares purchased in the price range of $2.10 to $2.21 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

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September 15, 2022 Filed Sep 19, 2022 21:50 UTC
Sankar SubramanianSenior VP, Product Development
PurchaseCommon Stock 40,000 $2.19 $87,752.00
Disclosure

SEC source: 0001808805-22-000097 · wf-form4_166362419701017.xml · nonDerivative · entry 1

Sankar Subramanian · CIK 0001856744 · Senior VP, Product Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · price: Represents the weighted average share price of an aggregate total of 40,000 shares purchased in the price range of $2.145 to $2.2292 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

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August 19, 2022 Filed Aug 22, 2022 23:40 UTC
Mowry AnnaCFO and Treasurer
PurchaseCommon Stock 17,500 $2.30 $40,218.50
Disclosure

SEC source: 0001808805-22-000095 · wf-form4_166121152658656.xml · nonDerivative · entry 1

Mowry Anna · CIK 0001856938 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,750

F1 · price: Represents the weighted average share price of an aggregate total of 17,500 shares purchased in the price range of $2.29 to $2.30 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

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August 15, 2022 Filed Aug 16, 2022 20:19 UTC
Murphy Matthew B.General Counsel
PurchaseCommon Stock 7,500 $2.84 $21,307.50
Disclosure

SEC source: 0001808805-22-000093 · wf-form4_166069554291105.xml · nonDerivative · entry 2

Murphy Matthew B. · CIK 0001865778 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 54,140

F1 · ownership.nature: Shares held by the Murphy Family Trust. The reporting person is the Trustee of the Murphy Family Trust.

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August 12, 2022 Filed Aug 16, 2022 20:19 UTC
Murphy Matthew B.General Counsel
PurchaseCommon Stock 2,500 $2.85 $7,125.00
Disclosure

SEC source: 0001808805-22-000093 · wf-form4_166069554291105.xml · nonDerivative · entry 1

Murphy Matthew B. · CIK 0001865778 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 46,640

F1 · ownership.nature: Shares held by the Murphy Family Trust. The reporting person is the Trustee of the Murphy Family Trust.

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August 08, 2022 Filed Aug 8, 2022 23:48 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
PurchaseCommon Stock 8,346 $2.93 $24,443.76
Disclosure

SEC source: 0001808805-22-000089 · wf-form4_166000250690193.xml · nonDerivative · entry 2

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,014,488

F2 · price: Represents the weighted average share price of an aggregate total of 8,346 shares purchased in the price range of $2.90 to $3.00 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

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August 05, 2022 Filed Aug 8, 2022 23:48 UTC
Patel Sujal MDirector · CEO, President, and Secretary · 10% owner
PurchaseCommon Stock 41,654 $2.92 $121,646.34
Disclosure

SEC source: 0001808805-22-000089 · wf-form4_166000250690193.xml · nonDerivative · entry 1

Patel Sujal M · CIK 0001378830 · Director · CEO, President, and Secretary · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,006,142

F1 · price: Represents the weighted average share price of an aggregate total of 41,654 shares purchased in the price range of $2.76 to $3.00 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

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August 03, 2022 Filed Aug 4, 2022 01:15 UTC
Godwin Mary E.Senior VP, Operations
GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $2.83 $0.00
Disclosure

SEC source: 0001808805-22-000087 · wf-form4_165957568676746.xml · derivative · entry 1

Godwin Mary E. · CIK 0001439716 · Senior VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-08-03

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the the Issuer's 2021 Equity Incentive Plan) through each vesting date, twenty-five percent (25%) of the shares subject to the Option shall vest on the one (1) year anniversary of the Vesting Commencement Date (as defined below), and one thirty-sixth (1/36th) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). The Vesting Commencement Date is July 1, 2022.

Read SEC document
June 27, 2022 Filed Jun 28, 2022 22:17 UTC
Mowry AnnaCFO and Treasurer
PurchaseCommon Stock 5,500 $2.75 $15,124.45
Disclosure

SEC source: 0001808805-22-000075 · wf-form4_165645463634483.xml · nonDerivative · entry 1

Mowry Anna · CIK 0001856938 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,250

F1 · balance_after: Includes 1,250 shares of Common Stock acquired on June 1, 2022 through the Issuer's 2021 Employee Stock Purchase Plan.

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June 15, 2022 Filed Jun 17, 2022 00:05 UTC
NAZEM FARZADDirector
GrantStock Option (Right to Buy) · Derivative 86,467 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0001808805-22-000073 · wf-form4_165542429207145.xml · derivative · entry 1

NAZEM FARZAD · CIK 0001234663 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,467

Underlying: Common Stock · 86,467 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

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June 15, 2022 Filed Jun 17, 2022 00:04 UTC GrantStock Option (Right to Buy) · Derivative 86,467 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0001808805-22-000072 · wf-form4_165542426104251.xml · derivative · entry 1

McIlwain Matthew S · CIK 0001381752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,467

Underlying: Common Stock · 86,467 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

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June 15, 2022 Filed Jun 17, 2022 00:04 UTC GrantStock Option (Right to Buy) · Derivative 86,467 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0001808805-22-000071 · wf-form4_165542423007735.xml · derivative · entry 1

Posard Matthew L. · CIK 0001543792 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,467

Underlying: Common Stock · 86,467 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

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June 15, 2022 Filed Jun 17, 2022 00:03 UTC GrantStock Option (Right to Buy) · Derivative 14,411 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0001808805-22-000069 · wf-form4_165542418669211.xml · derivative · entry 1

Akinsanya Karen · CIK 0001797672 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,411

Underlying: Common Stock · 14,411 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

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June 15, 2022 Filed Jun 17, 2022 00:03 UTC GrantStock Option (Right to Buy) · Derivative 86,467 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0001808805-22-000070 · wf-form4_165542420534044.xml · derivative · entry 1

Epperly Melissa B, · CIK 0001807359 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,467

Underlying: Common Stock · 86,467 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

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June 15, 2022 Filed Jun 17, 2022 00:03 UTC GrantStock Option (Right to Buy) · Derivative 86,467 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0001808805-22-000068 · wf-form4_165542416822735.xml · derivative · entry 1

Pande Vijay Satyanand · CIK 0001840663 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,467

Underlying: Common Stock · 86,467 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to reporting person's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable vesting date, one-twelfth (1/12th) of the shares subject to the Option shall vest on a monthly basis following the date of grant on the same day of the month as such grant date (or on the last day of the month, if there is no corresponding day in such month).

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June 15, 2022 Filed Jun 17, 2022 21:43 UTC
PERCEPTIVE ADVISORS LLCDirector · 10% owner
EDELMAN JOSEPHDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 86,467 $0.00 Strike: $2.70 $0.00
Disclosure

SEC source: 0001062993-22-015186 · form4.xml · derivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 86,467

Underlying: Common Stock · 86,467 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to Michael Altman's continuous status as a "Service Provider" (as defined in the Issuer's 2021 Equity Incentive Plan) through each vesting date, the shares subject to the Option shall vest on a monthly basis for twelve consecutive months, on the same day of the month as the Grant Date. The Grant Date was June 15, 2022.

F2 · ownership.nature: Consists of options to purchase shares of the Issuer's common stock awarded to Michael Altman in connection with his role as a member of the Issuer's Board of Directors. Mr. Altman is affiliated with the Advisor. The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Altman's board service through a partial management fee offset.

F3 · ownership.nature: Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of the securities reported on this form, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

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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.