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Nasdaq · USD

NKTX

Nkarta, Inc.

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6346
SEC CIK
0001787400
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218

Last 12 months

Inside the activity.

0 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202602
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 20, 2023 Filed Jun 22, 2023 20:20 UTC
HASTINGS PAUL JDirector · Chief Executive Officer
SaleCommon Stock 1,704 $4.85 $8,264.40
Disclosure

SEC source: 0001209191-23-039051 · doc4.xml · nonDerivative · entry 1

HASTINGS PAUL J · CIK 0001309702 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,402

F1 · shares: Represents shares sold to satisfy tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes 2,000 shares acquired under the Issuer's 2020 Employee Stock Purchase Plan on May 31, 2023.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 16:23 UTC
Hager Alicia J.Chief Legal Officer
SaleCommon Stock 701 $4.85 $3,399.85
Disclosure

SEC source: 0001209191-23-039057 · doc4.xml · nonDerivative · entry 1

Hager Alicia J. · CIK 0001553354 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,496

F1 · shares: Represents shares sold to satisfy tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units and does not represent a discretionary transaction by the Reporting Person.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 16:05 UTC GrantStock Option (right to buy) · Derivative 22,500 $0.00 Strike: $4.86 $0.00
Disclosure

SEC source: 0001209191-23-035739 · doc4.xml · derivative · entry 1

Azzam Fouad Oscar · CIK 0001816531 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2033-06-06

F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:04 UTC GrantStock Option (right to buy) · Derivative 22,500 $0.00 Strike: $4.86 $0.00
Disclosure

SEC source: 0001209191-23-035733 · doc4.xml · derivative · entry 1

Scheiner Zachary · CIK 0001816523 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2033-06-06

F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

F2 · ownership.direct: Under the Reporting Person's arrangement with RA Capital Management, L.P. (the "Adviser"), the Reporting Person holds the stock option for the benefit of the RA Capital Healthcare Fund, L.P. (the "Fund") and the RA Capital Nexus Fund, L.P. (the "Nexus Fund"). The Reporting Person is obligated to turn over to the Adviser any net cash or stock received upon exercise of the stock option, which will offset advisory fees owed by the Fund and the Nexus Fund. The Reporting Person therefore disclaims beneficial ownership of the stock option and underlying common stock.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:08 UTC GrantStock Option (right to buy) · Derivative 22,500 $0.00 Strike: $4.86 $0.00
Disclosure

SEC source: 0001209191-23-035755 · doc4.xml · derivative · entry 1

Thedinga Angela · CIK 0001804588 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2033-06-06

F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:07 UTC GrantStock Option (right to buy) · Derivative 22,500 $0.00 Strike: $4.86 $0.00
Disclosure

SEC source: 0001209191-23-035750 · doc4.xml · derivative · entry 1

PATTERSON LEONE D · CIK 0001233539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2033-06-06

F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:30 UTC
RA CAPITAL MANAGEMENT, L.P.Director · 10% owner
RA Capital Healthcare Fund LPDirector · 10% owner
RA Capital Nexus Fund, L.P.Director · 10% owner
Kolchinsky PeterDirector · 10% owner
Shah Rajeev M.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 22,500 $0.00 Strike: $4.86 $0.00
Disclosure

SEC source: 0001104659-23-069938 · tm2318317-1_4seq1.xml · derivative · entry 1

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · Director · 10% owner

RA Capital Healthcare Fund LP · CIK 0001315082 · Director · 10% owner

RA Capital Nexus Fund, L.P. · CIK 0001780117 · Director · 10% owner

Kolchinsky Peter · CIK 0001384859 · Director · 10% owner

Shah Rajeev M. · CIK 0001619841 · Director · 10% owner

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: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2033-06-06

F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

F1 · ownership.nature: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

F2 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for RA Capital Healthcare Fund, L.P. (the "Fund") and RA Capital Nexus Fund, L.P. (the "Nexus Fund"). The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah disclaim beneficial ownership of any of the reported securities, except to the extent of their pecuniary interest therein.

F3 · ownership.nature: Under Mr. Scheiner's arrangement with the Adviser, Mr. Scheiner holds the option for the benefit of the Fund and the Nexus Fund. Mr. Scheiner is obligated to turn over to the Adviser any net cash or stock received upon exercise of the option, which will offset advisory fees owed by the Fund and the Nexus Fund to the Adviser. The Reporting Persons therefore disclaim beneficial ownership of the option and underlying common stock except to the extent of their pecuniary interest.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 21:42 UTC GrantStock Option (right to buy) · Derivative 22,500 $0.00 Strike: $4.86 $0.00
Disclosure

SEC source: 0001209191-23-035987 · doc4.xml · derivative · entry 1

George Simeon · CIK 0001595117 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2033-06-06

F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:06 UTC GrantStock Option (right to buy) · Derivative 22,500 $0.00 Strike: $4.86 $0.00
Disclosure

SEC source: 0001209191-23-035743 · doc4.xml · derivative · entry 1

Dybbs Michael · CIK 0001601264 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2033-06-06

F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

Read SEC document
June 07, 2023 Filed Jun 9, 2023 20:50 UTC GrantStock Option (right to buy) · Derivative 22,500 $0.00 Strike: $4.86 $0.00
Disclosure

SEC source: 0001209191-23-035926 · doc4.xml · derivative · entry 1

Behbahani Ali · CIK 0001613867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2033-06-06

F1 · derivative.exercise_date: All shares subject to the option vest 100% on the first to occur of (i) June 7, 2024 or (ii) the day immediately preceding the first annual meeting of the Issuer's stockholders to occur after the date of grant of the award. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Reporting Person's separation from service with the Issuer due to the Reporting Person's death or "disability" (as described in the applicable award agreement).

Read SEC document
January 17, 2023 Filed Jan 19, 2023 00:05 UTC
Shook DavidChief Medical Officer
SaleCommon Stock 175 $5.49 $960.75
Disclosure

SEC source: 0001209191-23-003855 · doc4.xml · nonDerivative · entry 2

Shook David · CIK 0001959742 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,302

F2 · shares: Represents shares sold to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs and does not represent a discretionary transaction by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $5.49 to $5.56. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
January 17, 2023 Filed Jan 18, 2023 19:03 UTC
Brandenberger RalphChief Technical Officer
SaleCommon Stock 491 $5.49 $2,695.59
Disclosure

SEC source: 0001209191-23-003851 · doc4.xml · nonDerivative · entry 2

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,309

F2 · shares: Represents shares sold to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs and does not represent a discretionary transaction by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $5.49 to $5.65. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
January 17, 2023 Filed Jan 18, 2023 19:04 UTC
Mahmood NadirSee Remarks
SaleCommon Stock 1,122 $5.49 $6,159.78
Disclosure

SEC source: 0001209191-23-003854 · doc4.xml · nonDerivative · entry 2

Mahmood Nadir · CIK 0001816598 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,302

F3 · shares: Represents shares sold to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs and does not represent a discretionary transaction by the Reporting Person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $5.49 to $5.65. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes 1,836 shares acquired under the Issuer's 2020 Employee Stock Purchase Plan on November 30, 2022.

Read SEC document
January 17, 2023 Filed Jan 18, 2023 19:05 UTC
Trager JamesChief Scientific Officer
SaleCommon Stock 1,115 $5.49 $6,121.35
Disclosure

SEC source: 0001209191-23-003857 · doc4.xml · nonDerivative · entry 2

Trager James · CIK 0001816549 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,557

F2 · shares: Represents shares sold to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs and does not represent a discretionary transaction by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $5.49 to $5.56. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
January 17, 2023 Filed Jan 19, 2023 00:04 UTC
HASTINGS PAUL JDirector · Chief Executive Officer
SaleCommon Stock 3,691 $5.49 $20,263.59
Disclosure

SEC source: 0001209191-23-003853 · doc4.xml · nonDerivative · entry 2

HASTINGS PAUL J · CIK 0001309702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,106

F3 · shares: Represents shares sold to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs and does not represent a discretionary transaction by the Reporting Person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $5.49 to $5.56. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes 1,836 shares acquired under the Issuer's 2020 Employee Stock Purchase Plan on November 30, 2022.

Read SEC document
January 17, 2023 Filed Jan 18, 2023 19:04 UTC
Hager Alicia J.Chief Legal Officer
SaleCommon Stock 1,103 $5.49 $6,055.47
Disclosure

SEC source: 0001209191-23-003852 · doc4.xml · nonDerivative · entry 2

Hager Alicia J. · CIK 0001553354 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,197

F2 · shares: Represents shares sold to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs and does not represent a discretionary transaction by the Reporting Person.

Read SEC document
January 13, 2023 Filed Jan 19, 2023 00:05 UTC
Shook DavidChief Medical Officer
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $5.57 $0.00
Disclosure

SEC source: 0001209191-23-003855 · doc4.xml · derivative · entry 3

Shook David · CIK 0001959742 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-01-12

F4 · derivative.exercise_date: This option is scheduled to vest and become exercisable in 48 equal monthly installments occurring on the completion of each successive month of the Reporting Person's service to the Issuer following January 14, 2023.

Read SEC document
January 13, 2023 Filed Jan 19, 2023 00:05 UTC
Shook DavidChief Medical Officer
GrantCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-003855 · doc4.xml · nonDerivative · entry 1

Shook David · CIK 0001959742 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,477

F1 · shares: Represents Restricted Stock Units ("RSUs") which vest in four equal annual installments beginning on January 14, 2024. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 19:03 UTC
Brandenberger RalphChief Technical Officer
GrantStock Option (right to buy) · Derivative 42,000 $0.00 Strike: $5.57 $0.00
Disclosure

SEC source: 0001209191-23-003851 · doc4.xml · derivative · entry 3

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Stock · 42,000 shares

Expires 2033-01-12

F4 · derivative.exercise_date: This option is scheduled to vest and become exercisable in 48 equal monthly installments occurring on the completion of each successive month of the Reporting Person's service to the Issuer following January 14, 2023.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 19:03 UTC
Brandenberger RalphChief Technical Officer
GrantCommon Stock 21,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-003851 · doc4.xml · nonDerivative · entry 1

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,800

F1 · shares: Represents Restricted Stock Units ("RSUs") which vest in four equal annual installments beginning on January 14, 2024. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 19:04 UTC
Mahmood NadirSee Remarks
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $5.57 $0.00
Disclosure

SEC source: 0001209191-23-003854 · doc4.xml · derivative · entry 3

Mahmood Nadir · CIK 0001816598 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-01-12

F5 · derivative.exercise_date: This option is scheduled to vest and become exercisable in 48 equal monthly installments occurring on the completion of each successive month of the Reporting Person's service to the Issuer following January 14, 2023.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 19:04 UTC
Mahmood NadirSee Remarks
GrantCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-003854 · doc4.xml · nonDerivative · entry 1

Mahmood Nadir · CIK 0001816598 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,424

F1 · shares: Represents Restricted Stock Units ("RSUs") which vest in four equal annual installments beginning on January 14, 2024. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

F2 · balance_after: Includes 1,836 shares acquired under the Issuer's 2020 Employee Stock Purchase Plan on November 30, 2022.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 19:05 UTC
Trager JamesChief Scientific Officer
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $5.57 $0.00
Disclosure

SEC source: 0001209191-23-003857 · doc4.xml · derivative · entry 3

Trager James · CIK 0001816549 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-01-12

F4 · derivative.exercise_date: This option is scheduled to vest and become exercisable in 48 equal monthly installments occurring on the completion of each successive month of the Reporting Person's service to the Issuer following January 14, 2023.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 19:05 UTC
Trager JamesChief Scientific Officer
GrantCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-003857 · doc4.xml · nonDerivative · entry 1

Trager James · CIK 0001816549 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,672

F1 · shares: Represents Restricted Stock Units ("RSUs") which vest in four equal annual installments beginning on January 14, 2024. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

Read SEC document
January 13, 2023 Filed Jan 19, 2023 00:04 UTC
HASTINGS PAUL JDirector · Chief Executive Officer
GrantStock Option (right to buy) · Derivative 386,500 $0.00 Strike: $5.57 $0.00
Disclosure

SEC source: 0001209191-23-003853 · doc4.xml · derivative · entry 3

HASTINGS PAUL J · CIK 0001309702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 386,500

Underlying: Common Stock · 386,500 shares

Expires 2033-01-12

F5 · derivative.exercise_date: This option is scheduled to vest and become exercisable in 48 equal monthly installments occurring on the completion of each successive month of the Reporting Person's service to the Issuer following January 14, 2023.

Read SEC document
January 13, 2023 Filed Jan 19, 2023 00:04 UTC
HASTINGS PAUL JDirector · Chief Executive Officer
GrantCommon Stock 64,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-003853 · doc4.xml · nonDerivative · entry 1

HASTINGS PAUL J · CIK 0001309702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,797

F1 · shares: Represents Restricted Stock Units ("RSUs") which vest in four equal annual installments beginning on January 14, 2024. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

F2 · balance_after: Includes 1,836 shares acquired under the Issuer's 2020 Employee Stock Purchase Plan on November 30, 2022.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 19:04 UTC
Hager Alicia J.Chief Legal Officer
GrantStock Option (right to buy) · Derivative 75,000 $0.00 Strike: $5.57 $0.00
Disclosure

SEC source: 0001209191-23-003852 · doc4.xml · derivative · entry 3

Hager Alicia J. · CIK 0001553354 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-01-12

F3 · derivative.exercise_date: This option is scheduled to vest and become exercisable in 48 equal monthly installments occurring on the completion of each successive month of the Reporting Person's service to the Issuer following January 14, 2023.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 19:04 UTC
Hager Alicia J.Chief Legal Officer
GrantCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-003852 · doc4.xml · nonDerivative · entry 1

Hager Alicia J. · CIK 0001553354 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,300

F1 · shares: Represents Restricted Stock Units ("RSUs") which vest in four equal annual installments beginning on January 14, 2024. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

Read SEC document
October 06, 2022 Filed Oct 7, 2022 18:44 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionStock Option (right to buy) · Derivative 842 $0.00 Strike: $3.89 $0.00
Disclosure

SEC source: 0000899243-22-033306 · doc4.xml · derivative · entry 3

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,584

Underlying: Common Stock · 842 shares

Expires 2029-09-05

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F2 · derivative.exercise_date: The options exercised were fully vested. Unvested options will vest and become exercisable ratably in monthly installments until fully vested on July 1, 2024.

Read SEC document
October 06, 2022 Filed Oct 7, 2022 18:44 UTC
Brandenberger RalphChief Technical Officer
SaleCommon Stock 842 $14.02 $11,804.84
Disclosure

SEC source: 0000899243-22-033306 · doc4.xml · nonDerivative · entry 2

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

Read SEC document
October 06, 2022 Filed Oct 7, 2022 18:44 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionCommon Stock 842 $3.89 $3,275.38
Disclosure

SEC source: 0000899243-22-033306 · doc4.xml · nonDerivative · entry 1

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,642

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

Read SEC document
September 29, 2022 Filed Sep 30, 2022 20:30 UTC
HASTINGS PAUL JDirector · Chief Executive Officer
SaleCommon Stock 498 $13.00 $6,474.00
Disclosure

SEC source: 0000899243-22-032306 · doc4.xml · nonDerivative · entry 2

HASTINGS PAUL J · CIK 0001309702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,461

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the trade date.

Read SEC document
September 28, 2022 Filed Sep 30, 2022 20:30 UTC
HASTINGS PAUL JDirector · Chief Executive Officer
SaleCommon Stock 23,376 $13.03 $304,614.99
Disclosure

SEC source: 0000899243-22-032306 · doc4.xml · nonDerivative · entry 1

HASTINGS PAUL J · CIK 0001309702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,959

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the trade date.

F2 · price: This transaction was executed in multiple trades at prices ranging from $13.00 to $13.09. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
September 21, 2022 Filed Sep 22, 2022 21:32 UTC
HASTINGS PAUL JDirector · Chief Executive Officer
SaleCommon Stock 6,126 $13.01 $79,717.03
Disclosure

SEC source: 0000899243-22-031711 · doc4.xml · nonDerivative · entry 1

HASTINGS PAUL J · CIK 0001309702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,335

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the trade date.

F2 · price: This transaction was executed in multiple trades at prices ranging from $13.00 to $13.07. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:20 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionStock Option (right to buy) · Derivative 11,000 $0.00 Strike: $3.89 $0.00
Disclosure

SEC source: 0000899243-22-028988 · doc4.xml · derivative · entry 3

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,253

Underlying: Common Stock · 11,000 shares

Expires 2029-09-05

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F3 · derivative.exercise_date: The options exercised were fully vested. Unvested options will vest and become exercisable ratably in monthly installments until fully vested on September 5, 2023.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:20 UTC
Brandenberger RalphChief Technical Officer
SaleCommon Stock 11,000 $17.64 $194,052.10
Disclosure

SEC source: 0000899243-22-028988 · doc4.xml · nonDerivative · entry 2

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F2 · price: This transaction was executed in multiple trades at prices ranging from $17.50 to $18.00. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:20 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionCommon Stock 11,000 $3.89 $42,790.00
Disclosure

SEC source: 0000899243-22-028988 · doc4.xml · nonDerivative · entry 1

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,800

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:17 UTC
Mahmood NadirSee Remarks
Exercise / conversionStock Option (right to buy) · Derivative 2,681 $0.00 Strike: $3.89 $0.00
Disclosure

SEC source: 0000899243-22-028981 · doc4.xml · derivative · entry 4

Mahmood Nadir · CIK 0001816598 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,062

Underlying: Common Stock · 2,681 shares

Expires 2029-09-05

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the trade date.

F4 · derivative.exercise_date: The options exercised were fully vested. Unvested options will vest and become exercisable ratably in monthly installments until fully vested on September 5, 2023.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:17 UTC
Mahmood NadirSee Remarks
Exercise / conversionStock Option (right to buy) · Derivative 4,819 $0.00 Strike: $3.89 $0.00
Disclosure

SEC source: 0000899243-22-028981 · doc4.xml · derivative · entry 3

Mahmood Nadir · CIK 0001816598 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,703

Underlying: Common Stock · 4,819 shares

Expires 2029-09-05

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the trade date.

F3 · derivative.exercise_date: The options exercised were fully vested. Unvested options will vest and become exercisable ratably in monthly installments until fully vested on July 1, 2024.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:17 UTC
Mahmood NadirSee Remarks
SaleCommon Stock 7,500 $18.03 $135,215.25
Disclosure

SEC source: 0000899243-22-028981 · doc4.xml · nonDerivative · entry 2

Mahmood Nadir · CIK 0001816598 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,088

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the trade date.

F2 · price: This transaction was executed in multiple trades at prices ranging from $18.00 to $18.16. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:17 UTC
Mahmood NadirSee Remarks
Exercise / conversionCommon Stock 7,500 $3.89 $29,175.00
Disclosure

SEC source: 0000899243-22-028981 · doc4.xml · nonDerivative · entry 1

Mahmood Nadir · CIK 0001816598 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,588

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the trade date.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:21 UTC
Trager JamesChief Scientific Officer
Exercise / conversionStock Option (right to buy) · Derivative 5,000 $0.00 Strike: $3.89 $0.00
Disclosure

SEC source: 0000899243-22-028991 · doc4.xml · derivative · entry 3

Trager James · CIK 0001816549 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,243

Underlying: Common Stock · 5,000 shares

Expires 2029-09-05

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F3 · derivative.exercise_date: The options exercised were fully vested. Unvested options will vest and become exercisable ratably in monthly installments until fully vested on September 5, 2023.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:21 UTC
Trager JamesChief Scientific Officer
SaleCommon Stock 5,000 $17.53 $87,655.50
Disclosure

SEC source: 0000899243-22-028991 · doc4.xml · nonDerivative · entry 2

Trager James · CIK 0001816549 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,172

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F2 · price: This transaction was executed in multiple trades at prices ranging from $17.50 to $17.62. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 15, 2022 Filed Aug 17, 2022 16:21 UTC
Trager JamesChief Scientific Officer
Exercise / conversionCommon Stock 5,000 $3.89 $19,450.00
Disclosure

SEC source: 0000899243-22-028991 · doc4.xml · nonDerivative · entry 1

Trager James · CIK 0001816549 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,172

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:05 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionStock Option (right to buy) · Derivative 340 $0.00 Strike: $4.77 $0.00
Disclosure

SEC source: 0000899243-22-028291 · doc4.xml · derivative · entry 7

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,445

Underlying: Common Stock · 340 shares

Expires 2029-05-10

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F5 · derivative.exercise_date: The options exercised were fully vested. Unvested options will vest and become exercisable ratably in monthly installments until fully vested on December 6, 2022.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:05 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionStock Option (right to buy) · Derivative 6,886 $0.00 Strike: $3.89 $0.00
Disclosure

SEC source: 0000899243-22-028291 · doc4.xml · derivative · entry 6

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,253

Underlying: Common Stock · 6,886 shares

Expires 2029-09-05

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F4 · derivative.exercise_date: The options exercised were fully vested. Unvested options will vest and become exercisable ratably in monthly installments until fully vested on September 5, 2023.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:05 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionStock Option (right to buy) · Derivative 4,367 $0.00 Strike: $0.41 $0.00
Disclosure

SEC source: 0000899243-22-028291 · doc4.xml · derivative · entry 5

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,367 shares

Expires 2028-07-18

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F3 · derivative.exercise_date: This stock option is fully vested.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:05 UTC
Brandenberger RalphChief Technical Officer
SaleCommon Stock 11,593 $15.51 $179,783.08
Disclosure

SEC source: 0000899243-22-028291 · doc4.xml · nonDerivative · entry 4

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

F2 · price: This transaction was executed in multiple trades at prices ranging from $15.00 to $16.00. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:05 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionCommon Stock 340 $4.77 $1,621.80
Disclosure

SEC source: 0000899243-22-028291 · doc4.xml · nonDerivative · entry 3

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,393

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 19:05 UTC
Brandenberger RalphChief Technical Officer
Exercise / conversionCommon Stock 6,886 $3.89 $26,786.54
Disclosure

SEC source: 0000899243-22-028291 · doc4.xml · nonDerivative · entry 2

Brandenberger Ralph · CIK 0001853197 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,053

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

F1 · kind: The transactions reported in this Form 4 were effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person at least 30 days prior to the trade date.

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.