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NUVB

Nuvation Bio Inc.

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4384
SEC CIK
0001811063
Parsed reports
184

Last 12 months

Inside the activity.

1 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202508
Dec 202501
Jan 202600
Feb 202600
Mar 202600
Apr 202603
May 202600
Jun 202613
Jul 202600
Aug 202601
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 01, 2025 Filed Dec 3, 2025 22:02 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionClass A Common Stock 150,000 $2.93 $439,500.00
Disclosure

SEC source: 0001937915-25-000010 · form4-12032025_101208.xml · nonDerivative · entry 1

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,000

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
November 26, 2025 Filed Nov 26, 2025 22:55 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0001937915-25-000008 · form4-11262025_101117.xml · derivative · entry 6

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 470,000

Underlying: Class A Common Stock · 10,000 shares

Expires 2032-07-14

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

F1 · derivative.exercise_date: Option vested as to 25% on the one year anniversary of 7/15/2022, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
November 26, 2025 Filed Nov 26, 2025 22:55 UTC
Liu DongfangCHIEF MEDICAL OFFICER
SaleClass A Common Stock 10,000 $8.00 $80,000.00
Disclosure

SEC source: 0001937915-25-000008 · form4-11262025_101117.xml · nonDerivative · entry 4

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,000

Read SEC document
November 26, 2025 Filed Nov 26, 2025 22:55 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionClass A Common Stock 10,000 $3.61 $36,100.00
Disclosure

SEC source: 0001937915-25-000008 · form4-11262025_101117.xml · nonDerivative · entry 3

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,000

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
November 25, 2025 Filed Nov 26, 2025 22:55 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $3.61 $0.00
Disclosure

SEC source: 0001937915-25-000008 · form4-11262025_101117.xml · derivative · entry 5

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 480,000

Underlying: Class A Common Stock · 10,000 shares

Expires 2032-07-14

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

F1 · derivative.exercise_date: Option vested as to 25% on the one year anniversary of 7/15/2022, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
November 25, 2025 Filed Nov 26, 2025 22:55 UTC
Liu DongfangCHIEF MEDICAL OFFICER
SaleClass A Common Stock 10,000 $7.50 $75,000.00
Disclosure

SEC source: 0001937915-25-000008 · form4-11262025_101117.xml · nonDerivative · entry 2

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,000

Read SEC document
November 25, 2025 Filed Nov 26, 2025 22:55 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionClass A Common Stock 10,000 $3.61 $36,100.00
Disclosure

SEC source: 0001937915-25-000008 · form4-11262025_101117.xml · nonDerivative · entry 1

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,000

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
November 20, 2025 Filed Nov 24, 2025 21:09 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 300,000 $0.00 Strike: $1.94 $0.00
Disclosure

SEC source: 0001521111-25-000006 · form4-11242025_091137.xml · derivative · entry 6

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Class A Common Stock · 300,000 shares

Expires 2033-02-27

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

F3 · derivative.exercise_date: Options vested as to 25% on the one year anniversary of 2/28/2023, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
November 20, 2025 Filed Nov 24, 2025 21:09 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 69,051 $0.00 Strike: $1.74 $0.00
Disclosure

SEC source: 0001521111-25-000006 · form4-11242025_091137.xml · derivative · entry 5

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 229,884

Underlying: Class A Common Stock · 69,051 shares

Expires 2030-01-21

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

F2 · derivative.exercise_date: Options vested as to 25% on July 1, 2020 and in equal monthly installments thereafter over the following three years.

Read SEC document
November 20, 2025 Filed Nov 24, 2025 21:09 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
SaleClass A Common Stock 300,000 $7.23 $2,168,100.00
Disclosure

SEC source: 0001521111-25-000006 · form4-11242025_091137.xml · nonDerivative · entry 4

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $7.15 to $7.43. The Reporting Person will provide, upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
November 20, 2025 Filed Nov 24, 2025 21:09 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
Exercise / conversionClass A Common Stock 300,000 $1.94 $582,000.00
Disclosure

SEC source: 0001521111-25-000006 · form4-11242025_091137.xml · nonDerivative · entry 3

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

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
November 20, 2025 Filed Nov 24, 2025 21:09 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
SaleClass A Common Stock 69,051 $7.23 $499,031.58
Disclosure

SEC source: 0001521111-25-000006 · form4-11242025_091137.xml · nonDerivative · entry 2

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $7.15 to $7.43. The Reporting Person will provide, upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
November 20, 2025 Filed Nov 24, 2025 21:09 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
Exercise / conversionClass A Common Stock 69,051 $1.74 $120,148.74
Disclosure

SEC source: 0001521111-25-000006 · form4-11242025_091137.xml · nonDerivative · entry 1

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,051

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
November 20, 2025 Filed Nov 24, 2025 21:08 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $1.87 $0.00
Disclosure

SEC source: 0001937915-25-000006 · form4-11242025_091135.xml · derivative · entry 3

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Class A Common Stock · 20,000 shares

Expires 2034-02-27

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: Option vested as to 25% on the one year anniversary of 2/29/2024, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
November 20, 2025 Filed Nov 24, 2025 21:08 UTC
Liu DongfangCHIEF MEDICAL OFFICER
SaleClass A Common Stock 20,000 $7.00 $140,074.00
Disclosure

SEC source: 0001937915-25-000006 · form4-11242025_091135.xml · nonDerivative · entry 2

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,000

F1 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $7.00 to $7.005. The Reporting Person will provide, upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
November 20, 2025 Filed Nov 24, 2025 21:08 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionClass A Common Stock 20,000 $1.87 $37,400.00
Disclosure

SEC source: 0001937915-25-000006 · form4-11242025_091135.xml · nonDerivative · entry 1

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,000

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
November 19, 2025 Filed Nov 19, 2025 21:47 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.87 $0.00
Disclosure

SEC source: 0001937915-25-000004 · form4-11192025_091127.xml · derivative · entry 6

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 470,000

Underlying: Class A Common Stock · 15,000 shares

Expires 2034-02-27

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.

F4 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/29/2024, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
November 19, 2025 Filed Nov 19, 2025 21:47 UTC
Liu DongfangCHIEF MEDICAL OFFICER
SaleClass A Common Stock 15,000 $5.10 $76,552.50
Disclosure

SEC source: 0001937915-25-000004 · form4-11192025_091127.xml · nonDerivative · entry 4

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,000

F2 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $5.00 to $5.21. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F3 · balance_after: Includes 3,000 shares acquired on November 19, 2025 under the Issuer's 2021 Employee Stock Purchase Plan.

Read SEC document
November 19, 2025 Filed Nov 19, 2025 21:47 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionClass A Common Stock 15,000 $1.87 $28,050.00
Disclosure

SEC source: 0001937915-25-000004 · form4-11192025_091127.xml · nonDerivative · entry 3

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

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
November 19, 2025 Filed Nov 21, 2025 16:05 UTC
Hanley David C.CHIEF TECHNICAL OPERATIONS
Exercise / conversionStock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $1.87 $0.00
Disclosure

SEC source: 0001865826-25-000004 · form4-11212025_091102.xml · derivative · entry 3

Hanley David C. · CIK 0001865826 · CHIEF TECHNICAL OPERATIONS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Class A Common Stock · 200,000 shares

Expires 2034-02-27

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

F3 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/29/2024, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 16:05 UTC
Hanley David C.CHIEF TECHNICAL OPERATIONS
SaleClass A Common Stock 200,000 $7.14 $1,427,680.00
Disclosure

SEC source: 0001865826-25-000004 · form4-11212025_091102.xml · nonDerivative · entry 2

Hanley David C. · CIK 0001865826 · CHIEF TECHNICAL OPERATIONS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

F2 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $7.045 to $7.260. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 16:05 UTC
Hanley David C.CHIEF TECHNICAL OPERATIONS
Exercise / conversionClass A Common Stock 200,000 $1.87 $374,000.00
Disclosure

SEC source: 0001865826-25-000004 · form4-11212025_091102.xml · nonDerivative · entry 1

Hanley David C. · CIK 0001865826 · CHIEF TECHNICAL OPERATIONS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 224,000

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 · balance_after: Includes 3,000 shares acquired on each of May 19, 2025 and November 19, 2025 under the Issuer's 2021 Employee Stock Purchase Plan.

Read SEC document
November 17, 2025 Filed Nov 19, 2025 21:47 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.87 $0.00
Disclosure

SEC source: 0001937915-25-000004 · form4-11192025_091127.xml · derivative · entry 5

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 485,000

Underlying: Class A Common Stock · 15,000 shares

Expires 2034-02-27

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.

F4 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/29/2024, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
November 17, 2025 Filed Nov 19, 2025 21:47 UTC
Liu DongfangCHIEF MEDICAL OFFICER
SaleClass A Common Stock 15,000 $4.77 $71,475.00
Disclosure

SEC source: 0001937915-25-000004 · form4-11192025_091127.xml · nonDerivative · entry 2

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Read SEC document
November 17, 2025 Filed Nov 19, 2025 21:47 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionClass A Common Stock 15,000 $1.87 $28,050.00
Disclosure

SEC source: 0001937915-25-000004 · form4-11192025_091127.xml · nonDerivative · entry 1

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

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 · balance_after: Includes 3,000 shares acquired on May 19, 2025 under the Issuer's 2021 Employee Stock Purchase Plan.

Read SEC document
October 27, 2025 Filed Oct 29, 2025 20:24 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $1.74 $0.00
Disclosure

SEC source: 0001521111-25-000003 · form4-10292025_081026.xml · derivative · entry 3

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 298,935

Underlying: Class A Common Stock · 100,000 shares

Expires 2030-01-21

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

F3 · derivative.exercise_date: Options vest as to 25% on July 1, 2020 and in equal monthly installments thereafter over the following three years.

Read SEC document
October 27, 2025 Filed Oct 29, 2025 20:24 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
SaleClass A Common Stock 100,000 $5.02 $502,460.00
Disclosure

SEC source: 0001521111-25-000003 · form4-10292025_081026.xml · nonDerivative · entry 2

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Shares sold pursuant to a 10b5-1 plan dated June 24, 2024.

F2 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $5.00 to $5.08. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

Read SEC document
October 27, 2025 Filed Oct 29, 2025 20:24 UTC
Hattersley GaryCHIEF SCIENTIFIC OFFICER
Exercise / conversionClass A Common Stock 100,000 $1.74 $174,000.00
Disclosure

SEC source: 0001521111-25-000003 · form4-10292025_081026.xml · nonDerivative · entry 1

Hattersley Gary · CIK 0001521111 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 100,000

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
August 11, 2025 Filed Aug 13, 2025 20:30 UTC GiftStock Option (Right to buy) · Derivative 350,001 $0.00 Strike: $1.55 $0.00
Disclosure

SEC source: 0001415889-25-021652 · form4-08132025_080809.xml · derivative · entry 2

Mashal Robert · CIK 0002007102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 350,001

Underlying: Class A Common Stock · 350,001 shares

Expires 2034-01-07

F1 · derivative.exercise_date: The shares underlying the option are fully vested.

F2 · ownership.direct: The reported transaction involves the reporting person's transfer of option to his irrevocable trust.

Read SEC document
August 11, 2025 Filed Aug 13, 2025 20:30 UTC GiftStock Option (Right to Buy) · Derivative 350,001 $0.00 Strike: $1.55 $0.00
Disclosure

SEC source: 0001415889-25-021652 · form4-08132025_080809.xml · derivative · entry 1

Mashal Robert · CIK 0002007102 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 391,178

Underlying: Class A Common Stock · 350,001 shares

Expires 2034-01-07

F1 · derivative.exercise_date: The shares underlying the option are fully vested.

F2 · ownership.direct: The reported transaction involves the reporting person's transfer of option to his irrevocable trust.

Read SEC document
June 18, 2025 Filed Jun 18, 2025 20:05 UTC
Markel StacyCHIEF PEOPLE OFFICER
PurchaseClass A Common Stock 10,000 $1.71 $17,100.00
Disclosure

SEC source: 0001415889-25-017660 · form4-06182025_040613.xml · nonDerivative · entry 1

Markel Stacy · CIK 0001734780 · CHIEF PEOPLE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,591

F1 · balance_after: Includes 3,000 shares acquired on May 19, 2025 under the Issuer's 2021 Employee Stock Purchase Plan.

Read SEC document
June 17, 2025 Filed Jun 18, 2025 20:05 UTC
Sauvage PhilippeChief Financial Officer
PurchaseClass A Common Stock 4,000 $1.79 $7,160.00
Disclosure

SEC source: 0001415889-25-017659 · form4-06182025_040610.xml · nonDerivative · entry 2

Sauvage Philippe · CIK 0002039891 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,902

Read SEC document
June 16, 2025 Filed Jun 18, 2025 20:05 UTC
Sauvage PhilippeChief Financial Officer
PurchaseClass A Common Stock 3,300 $1.84 $6,055.50
Disclosure

SEC source: 0001415889-25-017659 · form4-06182025_040610.xml · nonDerivative · entry 1

Sauvage Philippe · CIK 0002039891 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,902

F1 · balance_after: Includes 2,602 shares acquired on May 19, 2025 under the Issuer's 2021 Employee Stock Purchase Plan.

Read SEC document
June 16, 2025 Filed Jun 18, 2025 16:05 UTC
Sjogren ColleenChief Commercial Officer
PurchaseClass A Common Stock 50,000 $1.81 $90,350.00
Disclosure

SEC source: 0001415889-25-017658 · form4-06182025_040607.xml · nonDerivative · entry 1

Sjogren Colleen · CIK 0002017751 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,000

F1 · price: The price reported is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $1.795 to $1.82, inclusive. The Reporting Person will provide upon request to the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: Includes 3,000 shares acquired on May 19, 2025 under the Issuer's 2021 Employee Stock Purchase Plan.

Read SEC document
June 16, 2025 Filed Jun 18, 2025 20:05 UTC
Wentworth KerryCHIEF REGULATORY OFFICER
PurchaseClass A Common Stock 24,000 $1.80 $43,200.00
Disclosure

SEC source: 0001415889-25-017657 · form4-06182025_040604.xml · nonDerivative · entry 2

Wentworth Kerry · CIK 0001369453 · CHIEF REGULATORY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Read SEC document
June 16, 2025 Filed Jun 18, 2025 20:05 UTC
Wentworth KerryCHIEF REGULATORY OFFICER
PurchaseClass A Common Stock 26,000 $1.79 $46,540.00
Disclosure

SEC source: 0001415889-25-017657 · form4-06182025_040604.xml · nonDerivative · entry 1

Wentworth Kerry · CIK 0001369453 · CHIEF REGULATORY OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,000

Read SEC document
June 16, 2025 Filed Jun 18, 2025 20:05 UTC
Hung DavidDirector · PRESIDENT AND CEO · 10% owner
PurchaseClass A Common Stock 500,000 $1.79 $893,500.00
Disclosure

SEC source: 0001415889-25-017656 · form4-06182025_040601.xml · nonDerivative · entry 1

Hung David · CIK 0001310880 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,281,054

F1 · price: ) The price reported is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $1.64 to $1.88, inclusive. The Reporting Person will provide upon request to the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

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May 21, 2025 Filed May 23, 2025 20:05 UTC GrantStock Option (Right to Buy) · Derivative 292,983 $0.00 Strike: $2.03 $0.00
Disclosure

SEC source: 0001415889-25-014420 · form4-05232025_040508.xml · derivative · entry 1

Mashal Robert · CIK 0002007102 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,983

Underlying: Class A Common Stock · 292,983 shares

Expires 2035-05-20

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 21, 2025); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

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May 21, 2025 Filed May 23, 2025 20:05 UTC GrantStock Option (Right to Buy) · Derivative 292,983 $0.00 Strike: $2.03 $0.00
Disclosure

SEC source: 0001415889-25-014418 · form4-05232025_040506.xml · derivative · entry 1

FALBERG KATHRYN E · CIK 0001206977 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,983

Underlying: Class A Common Stock · 292,983 shares

Expires 2035-05-20

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 21, 2025); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

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May 21, 2025 Filed May 23, 2025 20:05 UTC GrantStock Option (Right to Buy) · Derivative 292,983 $0.00 Strike: $2.03 $0.00
Disclosure

SEC source: 0001415889-25-014421 · form4-05232025_040510.xml · derivative · entry 1

VERNON W ANTHONY · CIK 0001369091 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,983

Underlying: Class A Common Stock · 292,983 shares

Expires 2035-05-20

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 21, 2025); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

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May 21, 2025 Filed May 23, 2025 20:05 UTC GrantStock Option (Right to Buy) · Derivative 292,983 $0.00 Strike: $2.03 $0.00
Disclosure

SEC source: 0001415889-25-014417 · form4-05232025_040503.xml · derivative · entry 1

BLICKENSTAFF KIM D · CIK 0001238913 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,983

Underlying: Class A Common Stock · 292,983 shares

Expires 2035-05-20

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 21, 2025); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

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May 21, 2025 Filed May 23, 2025 20:05 UTC GrantStock Option (Right to Buy) · Derivative 292,983 $0.00 Strike: $2.03 $0.00
Disclosure

SEC source: 0001415889-25-014416 · form4-05232025_040501.xml · derivative · entry 1

Bazemore Robert B · CIK 0001620152 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,983

Underlying: Class A Common Stock · 292,983 shares

Expires 2035-05-20

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 21, 2025); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

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May 02, 2025 Filed May 6, 2025 20:05 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionStock Option (Right to Buy) · Derivative 20,000 $1.94 Strike: $1.94 $38,800.00
Disclosure

SEC source: 0001415889-25-012096 · form4-05062025_040501.xml · derivative · entry 3

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 480,000

Underlying: Class A Common Stock · 20,000 shares

Expires 2033-02-27

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

F3 · derivative.exercise_date: Option vests as to 25% on 2/28/2024, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date

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May 02, 2025 Filed May 6, 2025 20:05 UTC
Liu DongfangCHIEF MEDICAL OFFICER
SaleClass A Common Stock 20,000 $2.50 $50,024.00
Disclosure

SEC source: 0001415889-25-012096 · form4-05062025_040501.xml · nonDerivative · entry 2

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,000

F1 · kind: Shares sold pursuant to a 10b5-1 plan dated October 10, 2024.

F2 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $2.50 to $2.505. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

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May 02, 2025 Filed May 6, 2025 20:05 UTC
Liu DongfangCHIEF MEDICAL OFFICER
Exercise / conversionClass A Common Stock 20,000 $1.94 $38,800.00
Disclosure

SEC source: 0001415889-25-012096 · form4-05062025_040501.xml · nonDerivative · entry 1

Liu Dongfang · CIK 0001937915 · CHIEF MEDICAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 32,000

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.

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April 07, 2025 Filed Apr 9, 2025 01:30 UTC
Hung DavidDirector · PRESIDENT AND CEO · 10% owner
PurchaseClass A Common Stock 300,000 $1.63 $487,500.00
Disclosure

SEC source: 0001415889-25-010446 · form4-04092025_010447.xml · nonDerivative · entry 2

Hung David · CIK 0001310880 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,781,054

F2 · price: ) The price reported is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $1.54 to $1.78, inclusive. The Reporting Person will provide upon request to the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

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April 04, 2025 Filed Apr 9, 2025 01:30 UTC
Hung DavidDirector · PRESIDENT AND CEO · 10% owner
PurchaseClass A Common Stock 200,000 $1.66 $332,720.00
Disclosure

SEC source: 0001415889-25-010446 · form4-04092025_010447.xml · nonDerivative · entry 1

Hung David · CIK 0001310880 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,481,054

F1 · price: The price reported is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $1.6499 to $1.6699, inclusive. The Reporting Person will provide upon request to the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

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April 01, 2025 Filed Apr 3, 2025 20:05 UTC PurchaseClass A Common Stock 98,900 $1.67 $165,153.11
Disclosure

SEC source: 0001415889-25-009908 · form4-04032025_040403.xml · nonDerivative · entry 2

Mashal Robert · CIK 0002007102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 200,000

F1 · ownership.nature: Shares are owned directly by the Robert D. Mashal 2020 Revocable Trust, of which Reporting Person is the sole trustee.

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April 01, 2025 Filed Apr 3, 2025 20:05 UTC PurchaseClass A Common Stock 1,100 $1.67 $1,832.05
Disclosure

SEC source: 0001415889-25-009908 · form4-04032025_040403.xml · nonDerivative · entry 1

Mashal Robert · CIK 0002007102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 101,100

F1 · ownership.nature: Shares are owned directly by the Robert D. Mashal 2020 Revocable Trust, of which Reporting Person is the sole trustee.

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February 28, 2025 Filed Mar 4, 2025 23:35 UTC
Sauvage PhilippeChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $1.97 $0.00
Disclosure

SEC source: 0001415889-25-006701 · form4-03042025_110353.xml · derivative · entry 1

Sauvage Philippe · CIK 0002039891 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Class A Common Stock · 500,000 shares

Expires 2035-02-27

F1 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/28/2025, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

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