Last 12 months
Inside the activity.
0 purchase rows · 17 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 1 |
| Mar 2026 | 0 | 9 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 2 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 5 |
| 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 |
|---|---|---|---|---|---|---|
| August 06, 2019 Filed Aug 8, 2019 21:00 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
PurchaseCommon Stock | 855 | $2.83 | $2,422.04 |
DisclosureSEC source: 0001638599-19-000703 · doc4_6190.xml · nonDerivative · entry 3 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 1,170,550 F3 · price: The price reported in Column 4 is a weighted average price. These shares were traded by 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") in multiple transactions at prices ranging from $2.76 to $2.90, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "Staff"), upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote. F4 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP),LLC, due to Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F10 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. F11 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| August 07, 2018 Filed Aug 9, 2018 23:07 UTC |
Main DavidDirector · President and CEO
|
GrantStock Option (Right to Buy) · Derivative | 415,000 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-18-046098 · doc4.xml · derivative · entry 1 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 415,000 Underlying: Common Stock · 415,000 shares Expires 2028-08-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of August 7, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| August 07, 2018 Filed Aug 9, 2018 23:04 UTC |
MacKenzie LloydChief Operating Officer
|
GrantStock Option (Right to Buy) · Derivative | 145,000 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-18-046095 · doc4.xml · derivative · entry 1 MacKenzie Lloyd · CIK 0001600164 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 Underlying: Common Stock · 145,000 shares Expires 2028-08-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of August 7, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| August 07, 2018 Filed Aug 9, 2018 23:05 UTC |
McCloskey ShelleyVP, HR and Administration
|
GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-18-046097 · doc4.xml · derivative · entry 1 McCloskey Shelley · CIK 0001661906 · VP, HR and Administration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-08-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of August 7, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| August 07, 2018 Filed Aug 9, 2018 23:03 UTC |
Alam KamranCFO, Vice President Finance
|
GrantStock Option (Right to Buy) · Derivative | 195,000 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-18-046094 · doc4.xml · derivative · entry 1 Alam Kamran · CIK 0001600046 · CFO, Vice President Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,000 Underlying: Common Stock · 195,000 shares Expires 2028-08-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of August 7, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 14, 2018 Filed May 16, 2018 23:45 UTC |
LEVITT DANIEL JDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 3,906 | $0.00 Strike: $10.56 | $0.00 |
DisclosureSEC source: 0001209191-18-030711 · doc4.xml · derivative · entry 3 LEVITT DANIEL J · CIK 0001278711 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,906 shares Expires 2018-07-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: All the shares subject to the 3,906 share option were fully vested. Read SEC document |
| May 14, 2018 Filed May 16, 2018 23:45 UTC |
LEVITT DANIEL JDirector
|
SaleCommon Stock | 3,906 | $12.67 | $49,489.02 |
DisclosureSEC source: 0001209191-18-030711 · doc4.xml · nonDerivative · entry 2 LEVITT DANIEL J · CIK 0001278711 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.65 to $12.73, 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 ranges set in this footnote. Read SEC document |
| May 14, 2018 Filed May 16, 2018 23:45 UTC |
LEVITT DANIEL JDirector
|
Exercise / conversionCommon Stock | 3,906 | $10.56 | $41,247.36 |
DisclosureSEC source: 0001209191-18-030711 · doc4.xml · nonDerivative · entry 1 LEVITT DANIEL J · CIK 0001278711 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,906 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 07, 2018 Filed May 9, 2018 20:01 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $13.10 | $0.00 |
DisclosureSEC source: 0001638599-18-000485 · doc4_5383.xml · derivative · entry 1 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 30,000 Underlying: Common Stock · 30,000 shares Expires 2028-05-06 F1 · derivative.exercise_date: 15,000 non-qualified stock options ("Stock Options") exercisable solely for common shares of Aquinox Pharmaceuticals, Inc. (the "Issuer") were granted to Dr. Kelvin M. Neu, an employee and 15,000 Stock Options were granted to Dr. Richard S. Levy, a part-time employee of Baker Bros. Advisors LP (the "Adviser"). The Stock Options granted pursuant to the Issuer's 2014 Equity Incentive Plan have a strike price of $13.10 per share and vest monthly over twelve months commencing on the date of grant. F1 · ownership.nature: 15,000 non-qualified stock options ("Stock Options") exercisable solely for common shares of Aquinox Pharmaceuticals, Inc. (the "Issuer") were granted to Dr. Kelvin M. Neu, an employee and 15,000 Stock Options were granted to Dr. Richard S. Levy, a part-time employee of Baker Bros. Advisors LP (the "Adviser"). The Stock Options granted pursuant to the Issuer's 2014 Equity Incentive Plan have a strike price of $13.10 per share and vest monthly over twelve months commencing on the date of grant. F2 · ownership.nature: Dr. Kelvin M. Neu and Dr. Richard S. Levy serve on the Issuer's Board of Directors (the "Board") as representatives of 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds" and their affiliates). Pursuant to the policies of the Adviser, Dr. Kelvin M. Neu and Dr. Richard S. Levy do not have any right to any of the Issuer's securities issued as part of their service on the Board and the Funds are entitled to receive all the pecuniary interest in the securities issued. The Funds each own an indirect proportionate pecuniary interest in the Stock Options. Solely as a result of Felix J. Baker's and Julian C. Baker's ownership interest in the general partners of the general partners of the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options (i.e. no direct pecuniary interest). F3 · ownership.nature: The Adviser serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are principals of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. F4 · ownership.nature: The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| May 07, 2018 Filed May 9, 2018 22:19 UTC |
SIMPSON TODD EDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $13.10 | $0.00 |
DisclosureSEC source: 0001209191-18-028988 · doc4.xml · derivative · entry 1 SIMPSON TODD E · CIK 0001216477 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 7, 2018 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 07, 2018 Filed May 9, 2018 22:17 UTC |
Pelzer RobertDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $13.10 | $0.00 |
DisclosureSEC source: 0001209191-18-028983 · doc4.xml · derivative · entry 1 Pelzer Robert · CIK 0001297500 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 7, 2018 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 07, 2018 Filed May 9, 2018 22:15 UTC |
Bridger GaryDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $13.10 | $0.00 |
DisclosureSEC source: 0001209191-18-028979 · doc4.xml · derivative · entry 1 Bridger Gary · CIK 0001600049 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 7, 2018 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 07, 2018 Filed May 9, 2018 22:13 UTC |
Nolan Sean P.Director
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $13.10 | $0.00 |
DisclosureSEC source: 0001209191-18-028974 · doc4.xml · derivative · entry 1 Nolan Sean P. · CIK 0001569926 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 7, 2018 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 07, 2018 Filed May 9, 2018 22:11 UTC |
LEVITT DANIEL JDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $13.10 | $0.00 |
DisclosureSEC source: 0001209191-18-028968 · doc4.xml · derivative · entry 1 LEVITT DANIEL J · CIK 0001278711 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 7, 2018 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 21:58 UTC |
MacKenzie LloydChief Operating Officer
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 1,302 | $0.00 Strike: $10.56 | $0.00 |
DisclosureSEC source: 0001209191-18-020680 · doc4.xml · derivative · entry 3 MacKenzie Lloyd · CIK 0001600164 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,302 shares Expires 2018-04-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: All shares subject to the 1,302 share option were fully vested on 3/31/2012. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 21:58 UTC |
MacKenzie LloydChief Operating Officer
|
SaleCommon Stock | 1,302 | $14.63 | $19,048.78 |
DisclosureSEC source: 0001209191-18-020680 · doc4.xml · nonDerivative · entry 2 MacKenzie Lloyd · CIK 0001600164 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.62 to $14.66, 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 ranges set in this footnote. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 21:58 UTC |
MacKenzie LloydChief Operating Officer
|
Exercise / conversionCommon Stock | 1,302 | $10.56 | $13,749.12 |
DisclosureSEC source: 0001209191-18-020680 · doc4.xml · nonDerivative · entry 1 MacKenzie Lloyd · CIK 0001600164 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,302 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 09, 2018 Filed Mar 13, 2018 21:04 UTC |
Troupin BarbaraChief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $16.55 | $0.00 |
DisclosureSEC source: 0001209191-18-019267 · doc4.xml · derivative · entry 1 Troupin Barbara · CIK 0001627886 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-03-08 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 9, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:58 UTC |
McCloskey ShelleyVP, HR and Administration
|
GrantStock Option (Right to Buy) · Derivative | 45,000 | $0.00 Strike: $16.55 | $0.00 |
DisclosureSEC source: 0001209191-18-019260 · doc4.xml · derivative · entry 1 McCloskey Shelley · CIK 0001661906 · VP, HR and Administration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2028-03-08 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 9, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:56 UTC |
Main DavidDirector · President and CEO
|
GrantStock Option (Right to Buy) · Derivative | 225,000 | $0.00 Strike: $16.55 | $0.00 |
DisclosureSEC source: 0001209191-18-019259 · doc4.xml · derivative · entry 1 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2028-03-08 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 9, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:54 UTC |
MacKenzie LloydChief Operating Officer
|
GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $16.55 | $0.00 |
DisclosureSEC source: 0001209191-18-019258 · doc4.xml · derivative · entry 1 MacKenzie Lloyd · CIK 0001600164 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-03-08 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 9, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:53 UTC |
Jenkins AbigailChief Commercial Officer
|
GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $16.55 | $0.00 |
DisclosureSEC source: 0001209191-18-019256 · doc4.xml · derivative · entry 1 Jenkins Abigail · CIK 0001676851 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-03-08 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 9, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:51 UTC |
Alam KamranCFO, Vice President Finance
|
GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $16.55 | $0.00 |
DisclosureSEC source: 0001209191-18-019255 · doc4.xml · derivative · entry 1 Alam Kamran · CIK 0001600046 · CFO, Vice President Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-03-08 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 9, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| June 05, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 3,625 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · derivative · entry 9 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,625 shares Expires 2017-06-07 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. F6 · derivative.exercise_date: The option is fully vested. Read SEC document |
| June 05, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
SaleCommon Stock | 3,625 | $13.16 | $47,695.94 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 6 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,530 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.26, 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 ranges set in this footnote. Read SEC document |
| June 05, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
Exercise / conversionCommon Stock | 3,625 | $9.60 | $34,800.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 5 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,155 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 · shares: The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
Exercise / conversionStock Option (Right to Buy( · Derivative | 6,000 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · derivative · entry 8 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,625 Underlying: Common Stock · 6,000 shares Expires 2017-06-07 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. F6 · derivative.exercise_date: The option is fully vested. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
SaleCommon Stock | 6,000 | $13.59 | $81,559.80 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 4 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,530 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.45 to $13.67, 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 ranges set in this footnote. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
Exercise / conversionCommon Stock | 6,000 | $9.60 | $57,600.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 3 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,530 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 · shares: The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · derivative · entry 7 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,625 Underlying: Common Stock · 6,000 shares Expires 2017-06-07 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. F6 · derivative.exercise_date: The option is fully vested. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
SaleCommon Stock | 6,000 | $13.00 | $77,988.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 2 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,530 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.82 to $13.20, 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 ranges set in this footnote. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 23:00 UTC |
Main DavidDirector · President and CEO
|
Exercise / conversionCommon Stock | 6,000 | $9.60 | $57,600.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 1 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,530 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 · shares: The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. Read SEC document |
| May 08, 2017 Filed May 9, 2017 20:44 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 36,000 | $0.00 Strike: $13.74 | $0.00 |
DisclosureSEC source: 0001638599-17-000427 · doc4_4695.xml · derivative · entry 1 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · 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: 36,000 Underlying: Common Stock · 36,000 shares Expires 2027-05-07 F1 · derivative.exercise_date: 18,000 non-qualified stock options ("Stock Options") exercisable solely for common shares of Aquinox Pharmaceuticals, Inc. (the "Issuer") were granted to Dr. Kelvin M. Neu and 18,000 Stock Options were granted to Dr. Richard S. Levy, employees of Baker Bros. Advisors LP (the "Adviser"). The Stock Options granted pursuant to the Issuer's 2014 Equity Incentive Plan have a strike price of $13.74 per share and vest in equal annual installments over three years. F1 · ownership.nature: 18,000 non-qualified stock options ("Stock Options") exercisable solely for common shares of Aquinox Pharmaceuticals, Inc. (the "Issuer") were granted to Dr. Kelvin M. Neu and 18,000 Stock Options were granted to Dr. Richard S. Levy, employees of Baker Bros. Advisors LP (the "Adviser"). The Stock Options granted pursuant to the Issuer's 2014 Equity Incentive Plan have a strike price of $13.74 per share and vest in equal annual installments over three years. F2 · ownership.nature: Dr. Kelvin M. Neu and Dr. Richard S. Levy serve on the Issuer's Board of Directors (the "Board") as representatives of 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds" and their affiliates). Pursuant to the policies of the Adviser, Dr. Kelvin M. Neu and Dr. Richard S. Levy do not have any right to any of the Issuer's securities issued as part of their service on the Board and the Funds are entitled to receive all the pecuniary interest in the securities issued. The Funds each own an indirect proportionate pecuniary interest in the Stock Options. Solely as a result of Felix J. Baker's and Julian C. Baker's ownership interest in the general partners of the general partners of the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options (i.e. no direct pecuniary interest). F3 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are principals of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| May 08, 2017 Filed May 10, 2017 22:47 UTC |
Nolan Sean P.Director
|
GrantStock Option (Right to Buy) · Derivative | 9,000 | $0.00 Strike: $13.74 | $0.00 |
DisclosureSEC source: 0001209191-17-031405 · doc4.xml · derivative · entry 1 Nolan Sean P. · CIK 0001569926 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2027-05-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 8, 2017 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 08, 2017 Filed May 10, 2017 22:52 UTC |
SIMPSON TODD EDirector
|
GrantStock Option (Right to Buy) · Derivative | 9,000 | $0.00 Strike: $13.74 | $0.00 |
DisclosureSEC source: 0001209191-17-031406 · doc4.xml · derivative · entry 1 SIMPSON TODD E · CIK 0001216477 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2027-05-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 8, 2017 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 08, 2017 Filed May 10, 2017 22:36 UTC |
Pelzer RobertDirector
|
GrantStock Option (Right to Buy) · Derivative | 9,000 | $0.00 Strike: $13.74 | $0.00 |
DisclosureSEC source: 0001209191-17-031399 · doc4.xml · derivative · entry 1 Pelzer Robert · CIK 0001297500 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2027-05-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 8, 2017 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 08, 2017 Filed May 10, 2017 22:33 UTC |
LEVITT DANIEL JDirector
|
GrantStock Option (Right to Buy) · Derivative | 9,000 | $0.00 Strike: $13.74 | $0.00 |
DisclosureSEC source: 0001209191-17-031397 · doc4.xml · derivative · entry 1 LEVITT DANIEL J · CIK 0001278711 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2027-05-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 8, 2017 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| May 08, 2017 Filed May 10, 2017 22:29 UTC |
Bridger GaryDirector
|
GrantStock Option (Right to Buy) · Derivative | 9,000 | $0.00 Strike: $13.74 | $0.00 |
DisclosureSEC source: 0001209191-17-031395 · doc4.xml · derivative · entry 1 Bridger Gary · CIK 0001600049 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2027-05-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 1/12th of the total number of shares underlying the options on the one-month anniversary of May 8, 2017 (the "Vesting Commencement Date") and 1/12th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the one-year anniversary of the Vesting Commencement Date. Read SEC document |
| March 08, 2017 Filed Mar 11, 2017 02:22 UTC |
Troupin BarbaraChief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001209191-17-020014 · doc4.xml · derivative · entry 1 Troupin Barbara · CIK 0001627886 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2027-03-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 8, 2017 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 21:20 UTC |
Mitchell David ChiltonVP Global Regulatory & Quality
|
GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001209191-17-020013 · doc4.xml · derivative · entry 1 Mitchell David Chilton · CIK 0001627684 · VP Global Regulatory & Quality 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-03-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 8, 2017 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 08, 2017 Filed Mar 11, 2017 02:18 UTC |
McCloskey ShelleyVP, HR and Administration
|
GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001209191-17-020012 · doc4.xml · derivative · entry 1 McCloskey Shelley · CIK 0001661906 · VP, HR and Administration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-03-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 8, 2017 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 08, 2017 Filed Mar 11, 2017 02:16 UTC |
Main DavidDirector · President and CEO
|
GrantStock Option (Right to Buy) · Derivative | 185,000 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001209191-17-020011 · doc4.xml · derivative · entry 1 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,000 Underlying: Common Stock · 185,000 shares Expires 2027-03-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 8, 2017 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 08, 2017 Filed Mar 11, 2017 02:13 UTC |
MacKenzie LloydVP Technical Operations
|
GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001209191-17-020009 · doc4.xml · derivative · entry 1 MacKenzie Lloyd · CIK 0001600164 · VP Technical Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-03-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 8, 2017 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 08, 2017 Filed Mar 11, 2017 02:10 UTC |
Jenkins AbigailChief Commercial Officer
|
GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001209191-17-020008 · doc4.xml · derivative · entry 1 Jenkins Abigail · CIK 0001676851 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2027-03-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 8, 2017 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| March 08, 2017 Filed Mar 11, 2017 02:08 UTC |
Alam KamranCFO, Vice President Finance
|
GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001209191-17-020007 · doc4.xml · derivative · entry 1 Alam Kamran · CIK 0001600046 · CFO, Vice President Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2027-03-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 8, 2017 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| January 09, 2017 Filed Jan 9, 2017 23:46 UTC |
BAKER BROS. ADVISORS LP10% owner
Baker Bros. Advisors (GP) LLC10% owner
BAKER FELIX10% owner
BAKER JULIAN10% owner
|
PurchaseCommon Stock | 32,051 | $17.76 | $569,225.76 |
DisclosureSEC source: 0001638599-17-000050 · doc4_4466.xml · nonDerivative · entry 22 BAKER BROS. ADVISORS LP · CIK 0001263508 · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 10% owner BAKER FELIX · CIK 0001087940 · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 9,764,459 F5 · ownership.nature: After giving effect to the transactions reported herein, and as a result of their ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Julian C. Baker and Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. F14 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are principals of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| January 09, 2017 Filed Jan 9, 2017 23:46 UTC |
BAKER BROS. ADVISORS LP10% owner
Baker Bros. Advisors (GP) LLC10% owner
BAKER FELIX10% owner
BAKER JULIAN10% owner
|
PurchaseCommon Stock | 3,389 | $17.76 | $60,188.64 |
DisclosureSEC source: 0001638599-17-000050 · doc4_4466.xml · nonDerivative · entry 21 BAKER BROS. ADVISORS LP · CIK 0001263508 · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 10% owner BAKER FELIX · CIK 0001087940 · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 1,169,695 F4 · ownership.nature: After giving effect to the transactions reported herein, and as a result of their ownership interest in Baker Biotech Capital (GP), LLC, Julian C. Baker and Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP), LLC, due to Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F14 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are principals of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| January 09, 2017 Filed Jan 9, 2017 23:46 UTC |
BAKER BROS. ADVISORS LP10% owner
Baker Bros. Advisors (GP) LLC10% owner
BAKER FELIX10% owner
BAKER JULIAN10% owner
|
PurchaseCommon Stock | 235,169 | $17.60 | $4,138,880.33 |
DisclosureSEC source: 0001638599-17-000050 · doc4_4466.xml · nonDerivative · entry 20 BAKER BROS. ADVISORS LP · CIK 0001263508 · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 10% owner BAKER FELIX · CIK 0001087940 · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 9,732,408 F13 · price: The price reported in Column 4 is a weighted average price. These shares were traded by the Funds in multiple transactions at prices ranging from $16.81 to $17.80, inclusive. The reporting persons undertake 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 traded at each separate price within the range set forth in this footnote. F5 · ownership.nature: After giving effect to the transactions reported herein, and as a result of their ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Julian C. Baker and Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. F14 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are principals of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| January 09, 2017 Filed Jan 9, 2017 23:46 UTC |
BAKER BROS. ADVISORS LP10% owner
Baker Bros. Advisors (GP) LLC10% owner
BAKER FELIX10% owner
BAKER JULIAN10% owner
|
PurchaseCommon Stock | 24,871 | $17.60 | $437,719.65 |
DisclosureSEC source: 0001638599-17-000050 · doc4_4466.xml · nonDerivative · entry 19 BAKER BROS. ADVISORS LP · CIK 0001263508 · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 10% owner BAKER FELIX · CIK 0001087940 · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 1,166,306 F13 · price: The price reported in Column 4 is a weighted average price. These shares were traded by the Funds in multiple transactions at prices ranging from $16.81 to $17.80, inclusive. The reporting persons undertake 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 traded at each separate price within the range set forth in this footnote. F4 · ownership.nature: After giving effect to the transactions reported herein, and as a result of their ownership interest in Baker Biotech Capital (GP), LLC, Julian C. Baker and Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP), LLC, due to Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F14 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are principals of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| January 09, 2017 Filed Jan 9, 2017 23:46 UTC |
BAKER BROS. ADVISORS LP10% owner
Baker Bros. Advisors (GP) LLC10% owner
BAKER FELIX10% owner
BAKER JULIAN10% owner
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PurchaseCommon Stock | 35,360 | $16.31 | $576,555.41 |
DisclosureSEC source: 0001638599-17-000050 · doc4_4466.xml · nonDerivative · entry 18 BAKER BROS. ADVISORS LP · CIK 0001263508 · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · 10% owner BAKER FELIX · CIK 0001087940 · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 9,497,239 F12 · price: The price reported in Column 4 is a weighted average price. These shares were traded by the Funds in multiple transactions at prices ranging from $15.81 to $16.80, inclusive. The reporting persons undertake 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 traded at each separate price within the range set forth in this footnote. F5 · ownership.nature: After giving effect to the transactions reported herein, and as a result of their ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Julian C. Baker and Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. F14 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are principals of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. 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.