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Nasdaq · USD

OABI

OmniAb, Inc.

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5294
SEC CIK
0001846253
Parsed reports
173

Last 12 months

Inside the activity.

2 purchase rows · 12 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202520
Dec 202503
Jan 202600
Feb 202606
Mar 202600
Apr 202603
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 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
December 07, 2023 Filed Dec 12, 2023 00:24 UTC
FOEHR MATTHEW WDirector · Chief Executive Officer
Tax withholdingCommon Stock 9,184 $4.85 $44,542.40
Disclosure

SEC source: 0002001011-23-000009 · edgardoc.xml · nonDerivative · entry 2

FOEHR MATTHEW W · CIK 0001237556 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,445,442

F3 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of previously reported restricted stock units ("RSUs").

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December 07, 2023 Filed Dec 12, 2023 00:24 UTC
FOEHR MATTHEW WDirector · Chief Executive Officer
Exercise / conversionCommon Stock 26,556 Not disclosed Not disclosed
Disclosure

SEC source: 0002001011-23-000009 · edgardoc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,454,626

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 · price: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on December 07, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F2 · balance_after: The total includes 151 shares acquired on November 30, 2023, through the Issuer's Employee Stock Purchase Plan (ESPP).

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December 07, 2023 Filed Dec 12, 2023 00:21 UTC
Berkman Charles SChief Legal Officer
Exercise / conversionRestricted Stock Units · Derivative 15,622 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0002001011-23-000008 · primary_doc.xml · derivative · entry 8

Berkman Charles S · CIK 0001392266 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,360

Underlying: Common Stock · 15,622 shares

Expires not disclosed

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_price: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on December 07, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on December 07, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on December 07, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

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December 07, 2023 Filed Dec 12, 2023 00:21 UTC
Berkman Charles SChief Legal Officer
Tax withholdingCommon Stock 5,403 $4.85 $26,204.55
Disclosure

SEC source: 0002001011-23-000008 · primary_doc.xml · nonDerivative · entry 2

Berkman Charles S · CIK 0001392266 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 261,956

F3 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of previously reported restricted stock units ("RSUs").

Read SEC document
December 07, 2023 Filed Dec 12, 2023 00:21 UTC
Berkman Charles SChief Legal Officer
Exercise / conversionCommon Stock 15,622 Not disclosed Not disclosed
Disclosure

SEC source: 0002001011-23-000008 · primary_doc.xml · nonDerivative · entry 1

Berkman Charles S · CIK 0001392266 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,359

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 · price: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on December 07, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F2 · balance_after: The Total amount of beneficially held securities includes non-reportable transactions post the reporting person's last ownership report. The balance was increased by 16,695 shares acquired on May 31, 2023, and 4,051 shares acquired on November 30, 2023, from the Issuer's Employee Stock Purchase Plan (ESPP). It was concurrently reduced by the transfer of 41,591 OABI common stock shares to the reporting person's ex-spouse per a domestic relations order. Additionally, the reporting person transferred the option to purchase 50,004 OABI common stock shares, as previously reported in Table II, at varied exercise prices. The reporting person no longer reports as beneficially owned any securities owned by his ex-spouse.

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December 07, 2023 Filed Dec 12, 2023 23:26 UTC Amendment
Berkman Charles SChief Legal Officer
Exercise / conversionRestricted Stock Units · Derivative 15,622 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0002001011-23-000013 · edgardoc.xml · derivative · entry 1

Berkman Charles S · CIK 0001392266 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,360

Underlying: Common Stock · 15,622 shares

Expires not disclosed

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_price: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on December 07, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F2 · shares: This Form 4/A amends a Form 4 originally filed 12/11/2023, which reported the release of 15,622 Restricted Stock Units ("RSUs") as an Acquisition, and is being filed to correct the transaction type to a Disposition of the Derivative Security on Table II.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on December 07, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on December 07, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

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November 10, 2023 Filed Nov 13, 2023 13:00 UTC
FOEHR MATTHEW WDirector · President and CEO
PurchaseCommon Stock 95,000 $4.27 $405,517.00
Disclosure

SEC source: 0000950170-23-062463 · ownership.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,427,919

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.175 to $4.6. The reporting person undertakes to provide 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 purchased at each separate price within the range set forth in this footnote.

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November 01, 2023 Filed Nov 1, 2023 21:51 UTC Exercise / conversionRestricted Stock Units · Derivative 17,770 Not disclosed Not disclosed
Disclosure

SEC source: 0000886163-23-000080 · edgardoc.xml · derivative · entry 2

Bertozzi Carolyn R · CIK 0001698766 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,538

Underlying: Common Stock · 17,770 shares

Expires not disclosed

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_price: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on November 01, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · price: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on November 01, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on November 01, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on November 01, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

Read SEC document
November 01, 2023 Filed Nov 1, 2023 21:51 UTC Exercise / conversionCommon Stock 17,770 Not disclosed Not disclosed
Disclosure

SEC source: 0000886163-23-000080 · edgardoc.xml · nonDerivative · entry 1

Bertozzi Carolyn R · CIK 0001698766 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,770

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 · price: Represents Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three substantially equal annual installments beginning on November 01, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

Read SEC document
November 01, 2023 Filed Nov 2, 2023 23:35 UTC
Love StevenDirector
GrantStock Option (right to buy) · Derivative 80,000 $0.00 Strike: $4.51 $0.00
Disclosure

SEC source: 0001846253-23-000112 · edgardoc.xml · derivative · entry 2

Love Steven · CIK 0001410466 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2033-11-01

F2 · derivative.exercise_date: The Stock Option shall vest and become exercisable in three (3) substantially equal annual installments beginning on November 1, 2024, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

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November 01, 2023 Filed Nov 2, 2023 23:35 UTC
Love StevenDirector
GrantRestricted Stock Units · Derivative 40,000 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000112 · edgardoc.xml · derivative · entry 1

Love Steven · CIK 0001410466 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three (3) substantially equal annual installments beginning on November 1, 2024, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three (3) substantially equal annual installments beginning on November 1, 2024, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three (3) substantially equal annual installments beginning on November 1, 2024, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

Read SEC document
November 01, 2023 Filed Nov 14, 2023 21:47 UTC
Avista Capital Partners V, L.P.Director · 10% owner
Burgstahler David FDirector · 10% owner
Dean ThompsonDirector · 10% owner
Tamaroff Joshua AlexanderDirector · 10% owner
Exercise / conversionRestricted Stock Units · Derivative 17,770 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-23-118341 · tm2330765-1_4seq1.xml · derivative · entry 2

Avista Capital Managing Member V, LLC · CIK 0001957307 · Director · 10% owner

Avista Capital Partners V GP, L.P. · CIK 0001957305 · Director · 10% owner

Avista Capital Partners V, L.P. · CIK 0001774142 · Director · 10% owner

Avista Capital Partners (Offshore) V, L.P. · CIK 0001774143 · Director · 10% owner

Burgstahler David F · CIK 0001374179 · Director · 10% owner

Dean Thompson · CIK 0001069096 · Director · 10% owner

Tamaroff Joshua Alexander · CIK 0001705548 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Notes

Disclosed balance after: 35,538

Underlying: Common stock, par value $0.0001 · 17,770 shares

Expires not disclosed

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_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in three substantially equal annual installments, beginning November 1, 2023.

F3 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Persons.

F4 · price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in three substantially equal annual installments, beginning November 1, 2023.

F4 · derivative.exercise_date: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in three substantially equal annual installments, beginning November 1, 2023.

F10 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted to Mr. Tamaroff in his capacity as a director of the Issuer, which RSUs vest as to the shares underlying the award in three substantially similar annual installments beginning on November 1, 2023, subject to Mr. Tamaroff's continuing service as a director of the Issuer through the applicable vesting date; provided, that the RSUs shall vest in full (i) in the event of a Change of Control (as defined in the Issuer's 2022 Incentive Award Plan), to the extent Mr. Tamaroff is serving as a director at the time of such transaction, or (ii) in the event that Mr. Tamaroff ceases to serve as a director by reason of death or Permanent Disability (as defined in the Issuer's 2022 Incentive Award Plan).

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in three substantially equal annual installments, beginning November 1, 2023.

F10 · derivative.expiration_date: Represents restricted stock units ("RSUs") granted to Mr. Tamaroff in his capacity as a director of the Issuer, which RSUs vest as to the shares underlying the award in three substantially similar annual installments beginning on November 1, 2023, subject to Mr. Tamaroff's continuing service as a director of the Issuer through the applicable vesting date; provided, that the RSUs shall vest in full (i) in the event of a Change of Control (as defined in the Issuer's 2022 Incentive Award Plan), to the extent Mr. Tamaroff is serving as a director at the time of such transaction, or (ii) in the event that Mr. Tamaroff ceases to serve as a director by reason of death or Permanent Disability (as defined in the Issuer's 2022 Incentive Award Plan).

F4 · balance_after: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in three substantially equal annual installments, beginning November 1, 2023.

F10 · balance_after: Represents restricted stock units ("RSUs") granted to Mr. Tamaroff in his capacity as a director of the Issuer, which RSUs vest as to the shares underlying the award in three substantially similar annual installments beginning on November 1, 2023, subject to Mr. Tamaroff's continuing service as a director of the Issuer through the applicable vesting date; provided, that the RSUs shall vest in full (i) in the event of a Change of Control (as defined in the Issuer's 2022 Incentive Award Plan), to the extent Mr. Tamaroff is serving as a director at the time of such transaction, or (ii) in the event that Mr. Tamaroff ceases to serve as a director by reason of death or Permanent Disability (as defined in the Issuer's 2022 Incentive Award Plan).

F1 · ownership.nature: This form is being filed by each of the following Reporting Persons: (i) Avista Capital Partners V, L.P., a Delaware limited partnership ("ACP V Onshore"), (ii) Avista Capital Partners (Offshore) V, L.P., a Bermuda limited partnership ("ACP V Offshore"), (iii) Avista Capital Partners V GP, L.P., a Delaware limited partnership ("ACP V GP"), which is the general partner of ACP V Onshore and ACP V Offshore, (iv) Avista Capital Managing Member V, LLC, a Delaware limited liability company ("Avista Managing Member"), which is the general partner of ACP V GP, (v) each of Thompson Dean and David Burgstahler, who are the managers of Avista Managing Member (together with ACP V GP and Avista Managing Member, the "Avista Affiliates"), and (vi) Joshua Tamaroff, who is a director of OmniAb, Inc. (f/k/a Avista Public Acquisition Corp. II) (the "Issuer").

F2 · ownership.nature: ACP V Onshore directly holds 7,283,484 shares of common stock and 5,224,114 warrants. ACP V Offshore directly holds 8,534,450 shares of common stock and 6,121,375 warrants. Each of the Avista Affiliates may be deemed to beneficially own the securities reported on this line item to the extent of their respective pecuniary interests. Each of the Avista Affiliates disclaims beneficial ownership of the securities reported on this line item, except to the extent of their pecuniary interest therein, if any.

F11 · ownership.nature: Mr. Tamaroff is a partner at an affiliate of the Avista Affiliates and has assigned all rights, title and interest in any securities of the Issuer to an affiliate of the Avista Affiliates controlled by Mr. Dean and Mr. Burgstahler. The Avista Affiliates, ACP V Onshore and ACP V Offshore are each "directors by deputization" for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each of the Avista Affiliates and Mr. Tamaroff may be deemed to beneficially own the securities reported on this line item to the extent of their respective pecuniary interests. Each of the Avista Affiliates, ACP V Onshore and ACP V Offshore and Mr. Tamaroff disclaims beneficial ownership of the securities issued to Mr. Tamaroff, except to the extent of their pecuniary interest therein, if any.

Read SEC document
November 01, 2023 Filed Nov 14, 2023 21:47 UTC
Avista Capital Partners V, L.P.Director · 10% owner
Burgstahler David FDirector · 10% owner
Dean ThompsonDirector · 10% owner
Tamaroff Joshua AlexanderDirector · 10% owner
Exercise / conversionCommon stock, par value $0.0001 per share 17,770 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-23-118341 · tm2330765-1_4seq1.xml · nonDerivative · entry 1

Avista Capital Managing Member V, LLC · CIK 0001957307 · Director · 10% owner

Avista Capital Partners V GP, L.P. · CIK 0001957305 · Director · 10% owner

Avista Capital Partners V, L.P. · CIK 0001774142 · Director · 10% owner

Avista Capital Partners (Offshore) V, L.P. · CIK 0001774143 · Director · 10% owner

Burgstahler David F · CIK 0001374179 · Director · 10% owner

Dean Thompson · CIK 0001069096 · Director · 10% owner

Tamaroff Joshua Alexander · CIK 0001705548 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Notes

Disclosed balance after: 15,835,704

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Persons.

F4 · price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in three substantially equal annual installments, beginning November 1, 2023.

F7 · balance_after: In accordance with the letter agreement, dated March 23, 2022, by and among the Issuer, Avista Acquisition LP II, a Cayman Islands limited partnership ("Avista Sponsor"), and other parties (the "Letter Agreement"), if the Triggering Event (as defined in the Letter Agreement) has not occurred during the Earnout Period (as defined in the Letter Agreement), 1,293,299 shares of common stock will be automatically forfeited to the Issuer for no consideration.

F8 · balance_after: As a result of the liquidation and distribution of all of the assets of the Avista Sponsor to its limited partners, ACP V Onshore and ACP V Offshore (the "Avista Sponsor Liquidating Distribution"), and pursuant to a Joinder to the Letter Agreement entered into on December 9, 2022 between ACP V Onshore, ACP V Offshore, Avista Sponsor and the Issuer, ACP V Onshore directly holds 595,508 of the shares of common stock subject to forfeiture pursuant to the terms of the Letter Agreement, and ACP V Offshore holds 697,791 of the shares of common stock subject to forfeiture pursuant to the terms of the Letter Agreement.

F9 · balance_after: Additionally, in connection with the Avista Sponsor Liquidating Distribution, each of ACP V Onshore and ACP V Offshore provided to the Issuer an agreement stating that they will each be bound by the transfer restrictions included in the Amended and Restated Registration and Stockholder Rights Agreement, dated as of November 1, 2022, among the Issuer, the Sponsor and the other signatories thereto (the "A&R RSRA") for the duration of the Founder Shares Lock Up Period (as defined in the A&R RSRA).

F1 · ownership.nature: This form is being filed by each of the following Reporting Persons: (i) Avista Capital Partners V, L.P., a Delaware limited partnership ("ACP V Onshore"), (ii) Avista Capital Partners (Offshore) V, L.P., a Bermuda limited partnership ("ACP V Offshore"), (iii) Avista Capital Partners V GP, L.P., a Delaware limited partnership ("ACP V GP"), which is the general partner of ACP V Onshore and ACP V Offshore, (iv) Avista Capital Managing Member V, LLC, a Delaware limited liability company ("Avista Managing Member"), which is the general partner of ACP V GP, (v) each of Thompson Dean and David Burgstahler, who are the managers of Avista Managing Member (together with ACP V GP and Avista Managing Member, the "Avista Affiliates"), and (vi) Joshua Tamaroff, who is a director of OmniAb, Inc. (f/k/a Avista Public Acquisition Corp. II) (the "Issuer").

F2 · ownership.nature: ACP V Onshore directly holds 7,283,484 shares of common stock and 5,224,114 warrants. ACP V Offshore directly holds 8,534,450 shares of common stock and 6,121,375 warrants. Each of the Avista Affiliates may be deemed to beneficially own the securities reported on this line item to the extent of their respective pecuniary interests. Each of the Avista Affiliates disclaims beneficial ownership of the securities reported on this line item, except to the extent of their pecuniary interest therein, if any.

F11 · ownership.nature: Mr. Tamaroff is a partner at an affiliate of the Avista Affiliates and has assigned all rights, title and interest in any securities of the Issuer to an affiliate of the Avista Affiliates controlled by Mr. Dean and Mr. Burgstahler. The Avista Affiliates, ACP V Onshore and ACP V Offshore are each "directors by deputization" for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each of the Avista Affiliates and Mr. Tamaroff may be deemed to beneficially own the securities reported on this line item to the extent of their respective pecuniary interests. Each of the Avista Affiliates, ACP V Onshore and ACP V Offshore and Mr. Tamaroff disclaims beneficial ownership of the securities issued to Mr. Tamaroff, except to the extent of their pecuniary interest therein, if any.

F13 · ownership.nature: In connection with the Amended and Restated Forward Purchase Agreement, dated March 23, 2022, by and among the Issuer, Avista Sponsor and other parties (the "A&R Forward Purchase Agreement"), Avista Sponsor purchased an aggregate 3,112,156 warrants in private placements from the Issuer, each exercisable to purchase (subject, initially, to the satisfaction of certain material conditions) one share of common stock for $11.50 per share. The material conditions to exercise were satisfied on the Closing, and the warrants by their terms became exercisable (including by cash settlement) December 31, 2022.

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August 14, 2023 Filed Aug 15, 2023 20:56 UTC
FOEHR MATTHEW WDirector · President and CEO
PurchaseCommon Stock 45,000 $5.48 $246,600.00
Disclosure

SEC source: 0001846253-23-000099 · primary_doc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,332,919

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.370 to $5.590. The reporting person undertakes to provide 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 purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: The Reporting Person previously reported certain awards of Restricted Stock Units (RSUs) in Table I of Form 4, but has elected to report the RSUs in Table II going forward. As a result, the total reported in Column 5 of Table I has been updated to subtract 286,090 RSUs outstanding on August 14, 2023.

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July 12, 2023 Filed Jul 14, 2023 20:19 UTC Exercise / conversionRestricted Stock Units · Derivative 1,896 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000088 · edgardoc.xml · derivative · entry 2

Cochran Jennifer R. · CIK 0001872349 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,896

Underlying: Common Stock · 1,896 shares

Expires not disclosed

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_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in two equal annual installments, beginning July 12th, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.exercise_date: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in two equal annual installments, beginning July 12th, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

F1 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in two equal annual installments, beginning July 12th, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

Read SEC document
July 12, 2023 Filed Jul 14, 2023 20:19 UTC Exercise / conversionCommon Stock 1,896 Not disclosed Not disclosed
Disclosure

SEC source: 0001846253-23-000088 · edgardoc.xml · nonDerivative · entry 1

Cochran Jennifer R. · CIK 0001872349 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,086

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 · price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in two equal annual installments, beginning July 12th, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 21:46 UTC
Avista Capital Partners V, L.P.Director · 10% owner
Burgstahler David FDirector · 10% owner
Dean ThompsonDirector · 10% owner
Tamaroff Joshua AlexanderDirector · 10% owner
GrantStock Options · Derivative 40,000 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001104659-23-075413 · tm2319845-1_4seq1.xml · derivative · entry 5

Avista Capital Managing Member V, LLC · CIK 0001957307 · Director · 10% owner

Avista Capital Partners V GP, L.P. · CIK 0001957305 · Director · 10% owner

Avista Capital Partners V, L.P. · CIK 0001774142 · Director · 10% owner

Avista Capital Partners (Offshore) V, L.P. · CIK 0001774143 · Director · 10% owner

Burgstahler David F · CIK 0001374179 · Director · 10% owner

Dean Thompson · CIK 0001069096 · Director · 10% owner

Tamaroff Joshua Alexander · CIK 0001705548 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Notes

Disclosed balance after: 40,000

Underlying: Common stock, par value $0.0001 · 40,000 shares

Expires 2033-06-23

F6 · derivative.exercise_date: Represents stock options granted to Mr. Tamaroff in his capacity as a director of the Issuer, which stock options vest and become exercisable in full on the earlier of (i) the date of the next annual meeting of the Company's stockholders following the grant date and (ii) the first anniversary of the grant date.

F6 · derivative.underlying_shares: Represents stock options granted to Mr. Tamaroff in his capacity as a director of the Issuer, which stock options vest and become exercisable in full on the earlier of (i) the date of the next annual meeting of the Company's stockholders following the grant date and (ii) the first anniversary of the grant date.

F6 · balance_after: Represents stock options granted to Mr. Tamaroff in his capacity as a director of the Issuer, which stock options vest and become exercisable in full on the earlier of (i) the date of the next annual meeting of the Company's stockholders following the grant date and (ii) the first anniversary of the grant date.

F1 · ownership.nature: This form is being filed by each of the following Reporting Persons: (i) Avista Capital Partners V, L.P., a Delaware limited partnership ("ACP V Onshore"), (ii) Avista Capital Partners (Offshore) V, L.P., a Bermuda limited partnership ("ACP V Offshore"), (iii) Avista Capital Partners V GP, L.P., a Delaware limited partnership ("ACP V GP"), which is the general partner of ACP V Onshore and ACP V Offshore, (iv) Avista Capital Managing Member V, LLC, a Delaware limited liability company ("Avista Managing Member"), which is the general partner of ACP V GP, (v) each of Thompson Dean and David Burgstahler, who are the managers of Avista Managing Member (together with ACP V GP and Avista Managing Member, the "Avista Affiliates"), and (vi) Joshua Tamaroff, who is a director of OmniAb, Inc. (f/k/a Avista Public Acquisition Corp. II) (the "Issuer").

F6 · ownership.nature: Represents stock options granted to Mr. Tamaroff in his capacity as a director of the Issuer, which stock options vest and become exercisable in full on the earlier of (i) the date of the next annual meeting of the Company's stockholders following the grant date and (ii) the first anniversary of the grant date.

F10 · ownership.nature: Mr. Tamaroff is a partner at an affiliate of the Avista Affiliates and has assigned all rights, title and interest in any securities of the Issuer to an affiliate of the Avista Affiliates controlled by Mr. Dean and Mr. Burgstahler. The Avista Affiliates, ACP V Onshore and ACP V Offshore are each "directors by deputization" for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each of the Avista Affiliates and Mr. Tamaroff may be deemed to beneficially own the securities reported on this line item to the extent of their respective pecuniary interests. Each of the Avista Affiliates, ACP V Onshore and ACP V Offshore and Mr. Tamaroff disclaims beneficial ownership of the securities issued to Mr. Tamaroff, except to the extent of their pecuniary interest therein, if any.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 21:46 UTC
Avista Capital Partners V, L.P.Director · 10% owner
Burgstahler David FDirector · 10% owner
Dean ThompsonDirector · 10% owner
Tamaroff Joshua AlexanderDirector · 10% owner
GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-075413 · tm2319845-1_4seq1.xml · derivative · entry 4

Avista Capital Managing Member V, LLC · CIK 0001957307 · Director · 10% owner

Avista Capital Partners V GP, L.P. · CIK 0001957305 · Director · 10% owner

Avista Capital Partners V, L.P. · CIK 0001774142 · Director · 10% owner

Avista Capital Partners (Offshore) V, L.P. · CIK 0001774143 · Director · 10% owner

Burgstahler David F · CIK 0001374179 · Director · 10% owner

Dean Thompson · CIK 0001069096 · Director · 10% owner

Tamaroff Joshua Alexander · CIK 0001705548 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Notes

Disclosed balance after: 20,000

Underlying: Common stock, par value $0.0001 · 20,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (i) the date of the next annual meeting of the Company's stockholders following the grant date and (ii) the first anniversary of the grant date.

F5 · derivative.exercise_date: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (i) the date of the next annual meeting of the Company's stockholders following the grant date and (ii) the first anniversary of the grant date.

F5 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (i) the date of the next annual meeting of the Company's stockholders following the grant date and (ii) the first anniversary of the grant date.

F1 · ownership.nature: This form is being filed by each of the following Reporting Persons: (i) Avista Capital Partners V, L.P., a Delaware limited partnership ("ACP V Onshore"), (ii) Avista Capital Partners (Offshore) V, L.P., a Bermuda limited partnership ("ACP V Offshore"), (iii) Avista Capital Partners V GP, L.P., a Delaware limited partnership ("ACP V GP"), which is the general partner of ACP V Onshore and ACP V Offshore, (iv) Avista Capital Managing Member V, LLC, a Delaware limited liability company ("Avista Managing Member"), which is the general partner of ACP V GP, (v) each of Thompson Dean and David Burgstahler, who are the managers of Avista Managing Member (together with ACP V GP and Avista Managing Member, the "Avista Affiliates"), and (vi) Joshua Tamaroff, who is a director of OmniAb, Inc. (f/k/a Avista Public Acquisition Corp. II) (the "Issuer").

F2 · ownership.nature: ACP V Onshore directly holds 7,283,484 shares of common stock and 5,224,114 warrants. ACP V Offshore directly holds 8,534,450 shares of common stock and 6,121,375 warrants. Each of the Avista Affiliates may be deemed to beneficially own the securities reported on this line item to the extent of their respective pecuniary interests. Each of the Avista Affiliates disclaims beneficial ownership of the securities reported on this line item, except to the extent of their pecuniary interest therein, if any.

F10 · ownership.nature: Mr. Tamaroff is a partner at an affiliate of the Avista Affiliates and has assigned all rights, title and interest in any securities of the Issuer to an affiliate of the Avista Affiliates controlled by Mr. Dean and Mr. Burgstahler. The Avista Affiliates, ACP V Onshore and ACP V Offshore are each "directors by deputization" for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Each of the Avista Affiliates and Mr. Tamaroff may be deemed to beneficially own the securities reported on this line item to the extent of their respective pecuniary interests. Each of the Avista Affiliates, ACP V Onshore and ACP V Offshore and Mr. Tamaroff disclaims beneficial ownership of the securities issued to Mr. Tamaroff, except to the extent of their pecuniary interest therein, if any.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 21:56 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001846253-23-000085 · primary_doc.xml · derivative · entry 4

Cochran Jennifer R. · CIK 0001872349 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-23

F4 · derivative.exercise_date: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the annual meeting of the Company's stockholders next following the grant date and (B) on the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 21:56 UTC GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000085 · primary_doc.xml · derivative · entry 3

Cochran Jennifer R. · CIK 0001872349 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,792

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F3 · derivative.exercise_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F3 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 21:44 UTC
Boyce SarahDirector
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001846253-23-000084 · primary_doc.xml · derivative · entry 2

Boyce Sarah · CIK 0001629383 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-23

F2 · derivative.exercise_date: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the annual meeting of the Company's stockholders next following the grant date and (B) on the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 21:44 UTC
Boyce SarahDirector
GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000084 · primary_doc.xml · derivative · entry 1

Boyce Sarah · CIK 0001629383 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 22:33 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001846253-23-000087 · primary_doc.xml · derivative · entry 5

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-23

F5 · derivative.exercise_date: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the annual meeting of the Company's stockholders next following the grant date and (B) on the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 22:33 UTC GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000087 · primary_doc.xml · derivative · entry 4

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,517

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F4 · derivative.exercise_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F4 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 18:11 UTC
Patel SunilDirector
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001846253-23-000086 · primary_doc.xml · derivative · entry 2

Patel Sunil · CIK 0001503062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-23

F2 · derivative.exercise_date: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the annual meeting of the Company's stockholders next following the grant date and (B) on the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 18:11 UTC
Patel SunilDirector
GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000086 · primary_doc.xml · derivative · entry 1

Patel Sunil · CIK 0001503062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 21:20 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $4.81 $0.00
Disclosure

SEC source: 0001846253-23-000083 · primary_doc.xml · derivative · entry 4

Bertozzi Carolyn R · CIK 0001698766 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-23

F4 · derivative.exercise_date: Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the annual meeting of the Company's stockholders next following the grant date and (B) on the first anniversary of the date of grant.

Read SEC document
June 23, 2023 Filed Jun 27, 2023 21:20 UTC GrantRestricted Stock Units · Derivative 20,000 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000083 · primary_doc.xml · derivative · entry 3

Bertozzi Carolyn R · CIK 0001698766 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,308

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F3 · derivative.exercise_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

F3 · derivative.expiration_date: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant.

Read SEC document
June 09, 2023 Filed Jun 12, 2023 20:47 UTC
FOEHR MATTHEW WDirector · Chief Executive Officer
PurchaseCommon Stock 115,000 $4.52 $519,800.00
Disclosure

SEC source: 0001846253-23-000079 · edgardoc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,574,009

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.495 to $4.560. The reporting person undertakes to provide 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 23, 2023 Filed May 25, 2023 20:45 UTC Exercise / conversionStock Option · Derivative 9,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001846253-23-000078 · edgardoc.xml · derivative · entry 3

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,362

Underlying: Common Stock · 9,000 shares

Expires 2023-06-03

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: The stock option is fully vested and exercisable.

Read SEC document
May 23, 2023 Filed May 25, 2023 20:45 UTC SaleCommon Stock 9,000 $4.05 $36,450.00
Disclosure

SEC source: 0001846253-23-000078 · edgardoc.xml · nonDerivative · entry 2

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,462,686

Read SEC document
May 23, 2023 Filed May 25, 2023 20:45 UTC Exercise / conversionCommon Stock 9,000 $3.68 $33,120.00
Disclosure

SEC source: 0001846253-23-000078 · edgardoc.xml · nonDerivative · entry 1

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,471,686

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 19, 2023 Filed May 23, 2023 20:12 UTC Exercise / conversionStock Option · Derivative 1,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001846253-23-000076 · edgardoc.xml · derivative · entry 3

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,362

Underlying: Common Stock · 1,000 shares

Expires 2023-06-03

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: The stock option is fully vested and exercisable.

Read SEC document
May 19, 2023 Filed May 23, 2023 20:12 UTC SaleCommon Stock 1,000 $4.05 $4,050.00
Disclosure

SEC source: 0001846253-23-000076 · edgardoc.xml · nonDerivative · entry 2

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,462,686

Read SEC document
May 19, 2023 Filed May 23, 2023 20:12 UTC Exercise / conversionCommon Stock 1,000 $3.68 $3,680.00
Disclosure

SEC source: 0001846253-23-000076 · edgardoc.xml · nonDerivative · entry 1

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,463,686

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 18, 2023 Filed May 19, 2023 21:03 UTC Exercise / conversionStock Option · Derivative 50,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001846253-23-000074 · edgardoc.xml · derivative · entry 3

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,362

Underlying: Common Stock · 50,000 shares

Expires 2023-06-03

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: The stock option is fully vested and exercisable.

Read SEC document
May 18, 2023 Filed May 19, 2023 21:03 UTC SaleCommon Stock 50,000 $3.89 $194,500.00
Disclosure

SEC source: 0001846253-23-000074 · edgardoc.xml · nonDerivative · entry 2

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,462,686

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.800 to $3.955. The reporting person undertakes to provide 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 range set forth in this footnote.

Read SEC document
May 18, 2023 Filed May 19, 2023 21:03 UTC Exercise / conversionCommon Stock 50,000 $3.68 $184,000.00
Disclosure

SEC source: 0001846253-23-000074 · edgardoc.xml · nonDerivative · entry 1

HIGGINS JOHN L · CIK 0001208906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,512,686

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 12, 2023 Filed May 15, 2023 20:02 UTC
FOEHR MATTHEW WDirector · Chief Executive Officer
PurchaseCommon Stock 440,000 $3.40 $1,496,000.00
Disclosure

SEC source: 0001846253-23-000072 · edgardoc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,438,414

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.295 to $3.510. The reporting person undertakes to provide 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
April 07, 2023 Filed Apr 11, 2023 23:11 UTC
GUSTAFSON KURT AExecutive VP, Finance & CFO
GrantStock Option · Derivative 243,750 $0.00 Strike: $3.75 $0.00
Disclosure

SEC source: 0001846253-23-000043 · edgardoc.xml · derivative · entry 2

GUSTAFSON KURT A · CIK 0001462354 · Executive VP, Finance & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,750

Underlying: Common Stock · 243,750 shares

Expires 2033-04-07

F2 · derivative.exercise_date: The Stock Option vests and is exercisable as to 12.5% of the underlying shares 6 months after the Grant Date, and in 42 substantially equal monthly installments thereafter.

Read SEC document
April 07, 2023 Filed Apr 11, 2023 23:11 UTC
GUSTAFSON KURT AExecutive VP, Finance & CFO
GrantCommon Stock 40,625 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000043 · edgardoc.xml · nonDerivative · entry 1

GUSTAFSON KURT A · CIK 0001462354 · Executive VP, Finance & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,416

F1 · shares: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three equal annual installments beginning on each anniversary following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

Read SEC document
April 07, 2023 Filed Apr 11, 2023 23:11 UTC
FOEHR MATTHEW WDirector · Chief Executive Officer
GrantStock Option · Derivative 656,250 $0.00 Strike: $3.75 $0.00
Disclosure

SEC source: 0001846253-23-000042 · edgardoc.xml · derivative · entry 2

FOEHR MATTHEW W · CIK 0001237556 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 656,250

Underlying: Common Stock · 656,250 shares

Expires 2033-04-07

F2 · derivative.exercise_date: The Stock Option vests and is exercisable as to 12.5% of the underlying shares 6 months after the Grant Date, and in 42 substantially equal monthly installments thereafter.

Read SEC document
April 07, 2023 Filed Apr 11, 2023 23:11 UTC
FOEHR MATTHEW WDirector · Chief Executive Officer
GrantCommon Stock 109,375 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000042 · edgardoc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,998,414

F1 · shares: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three equal annual installments beginning on each anniversary following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

Read SEC document
April 07, 2023 Filed Apr 11, 2023 23:11 UTC
Berkman Charles SChief Legal Officer
GrantStock Option · Derivative 243,750 $0.00 Strike: $3.75 $0.00
Disclosure

SEC source: 0001846253-23-000041 · edgardoc.xml · derivative · entry 2

Berkman Charles S · CIK 0001392266 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,750

Underlying: Common Stock · 243,750 shares

Expires 2033-04-07

F2 · derivative.exercise_date: The Stock Option vests and is exercisable as to 12.5% of the underlying shares 6 months after the Grant Date, and in 42 substantially equal monthly installments thereafter.

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April 07, 2023 Filed Apr 11, 2023 23:11 UTC
Berkman Charles SChief Legal Officer
GrantCommon Stock 40,625 $0.00 $0.00
Disclosure

SEC source: 0001846253-23-000041 · edgardoc.xml · nonDerivative · entry 1

Berkman Charles S · CIK 0001392266 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 414,564

F1 · shares: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in three equal annual installments beginning on each anniversary following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

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April 01, 2023 Filed Apr 4, 2023 20:57 UTC
GUSTAFSON KURT AEVP, Finance and CFO
Tax withholdingCommon Stock 8,042 $3.68 $29,594.56
Disclosure

SEC source: 0001846253-23-000035 · edgardoc.xml · nonDerivative · entry 1

GUSTAFSON KURT A · CIK 0001462354 · EVP, Finance and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 294,791

F1 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of previously reported restricted stock units.

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February 15, 2023 Filed Feb 18, 2023 00:28 UTC
FOEHR MATTHEW WDirector · President & CEO
Tax withholdingCommon Stock 4,177 $3.80 $15,872.60
Disclosure

SEC source: 0001846253-23-000013 · edgardoc.xml · nonDerivative · entry 3

FOEHR MATTHEW W · CIK 0001237556 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,889,039

F1 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of previously reported restricted stock units.

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February 15, 2023 Filed Feb 18, 2023 00:28 UTC
FOEHR MATTHEW WDirector · President & CEO
Tax withholdingCommon Stock 3,725 $3.80 $14,155.00
Disclosure

SEC source: 0001846253-23-000013 · edgardoc.xml · nonDerivative · entry 2

FOEHR MATTHEW W · CIK 0001237556 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,893,216

F1 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of previously reported restricted stock units.

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February 15, 2023 Filed Feb 18, 2023 00:28 UTC
FOEHR MATTHEW WDirector · President & CEO
Tax withholdingCommon Stock 9,184 $3.80 $34,899.20
Disclosure

SEC source: 0001846253-23-000013 · edgardoc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,896,941

F1 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of previously reported restricted stock units.

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February 15, 2023 Filed Feb 18, 2023 00:50 UTC
Berkman Charles SChief Legal Officer
Tax withholdingCommon Stock 2,166 $3.80 $8,230.80
Disclosure

SEC source: 0001846253-23-000016 · edgardoc.xml · nonDerivative · entry 3

Berkman Charles S · CIK 0001392266 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,939

F1 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of previously reported restricted stock units.

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.