Tapewire

Nasdaq · USD

PASG

Passage BIO, Inc.

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Tapewire entity
7829
SEC CIK
0001787297
Parsed reports
196

Last 12 months

Inside the activity.

1 purchase rows · 2 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 06, 2025 Filed Jan 8, 2025 23:09 UTC SaleCommon Stock 19,481 $0.77 $15,000.37
Disclosure

SEC source: 0000947871-25-000021 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,385,388

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $0.76 to a high of $0.79 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F4 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F5 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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December 27, 2024 Filed Dec 31, 2024 21:05 UTC PurchaseCommon stock, $0.0001 par value per share 373,645 $0.65 $241,038.39
Disclosure

SEC source: 0000902664-24-007075 · ownership.xml · nonDerivative · entry 1

Lynx1 Capital Management LP · CIK 0001910456 · 10% owner

Nichols Weston · CIK 0001746376 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 9,256,953

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6426 to $0.65 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

F2 · ownership.nature: The securities to which this filing relates are held directly by Lynx1 Master Fund LP to which Lynx1 Capital Management LP (the "Investment Manager") serves as investment manager. Weston Nichols ("Mr. Nichols") is the sole member of Lynx1 Capital Management GP LLC, the general partner of the Investment Manager. Each of the Investment Manager and Mr. Nichols disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.

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December 20, 2024 Filed Dec 26, 2024 21:34 UTC SaleCommon Stock 230,321 $0.60 $138,192.60
Disclosure

SEC source: 0000947871-24-001037 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,404,869

F1 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F2 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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December 11, 2024 Filed Dec 11, 2024 22:32 UTC SaleCommon Stock 80 $0.80 $64.00
Disclosure

SEC source: 0000947871-24-000998 · ownership.xml · nonDerivative · entry 3

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,635,190

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F4 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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December 10, 2024 Filed Dec 11, 2024 22:32 UTC SaleCommon Stock 8,015 $0.80 $6,412.00
Disclosure

SEC source: 0000947871-24-000998 · ownership.xml · nonDerivative · entry 2

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,635,270

F2 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $0.80 to a high of $0.8094 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F4 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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December 09, 2024 Filed Dec 11, 2024 22:32 UTC SaleCommon Stock 54,181 $0.84 $45,512.04
Disclosure

SEC source: 0000947871-24-000998 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,643,285

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $0.80 to a high of $0.87 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F4 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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December 06, 2024 Filed Dec 7, 2024 00:07 UTC SaleCommon Stock 20,903 $0.82 $17,140.46
Disclosure

SEC source: 0000947871-24-000995 · ownership.xml · nonDerivative · entry 2

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,697,466

F2 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $0.81 to a high of $0.83 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F4 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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December 04, 2024 Filed Dec 7, 2024 00:07 UTC SaleCommon Stock 76,200 $0.79 $60,198.00
Disclosure

SEC source: 0000947871-24-000995 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,718,369

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $0.75 to a high of $0.82 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F4 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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November 27, 2024 Filed Nov 27, 2024 23:11 UTC PurchaseCommon Stock 29,300 $0.67 $19,663.23
Disclosure

SEC source: 0000902664-24-006799 · ownership.xml · nonDerivative · entry 3

Lynx1 Capital Management LP · CIK 0001910456 · 10% owner

Nichols Weston · CIK 0001746376 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 8,883,308

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.661 to $0.6838 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

F2 · ownership.nature: The securities to which this filing relates are held directly by Lynx1 Master Fund LP to which Lynx1 Capital Management LP (the "Investment Manager") serves as investment manager. Weston Nichols ("Mr. Nichols") is the sole member of Lynx1 Capital Management GP LLC, the general partner of the Investment Manager. Each of the Investment Manager and Mr. Nichols disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.

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November 26, 2024 Filed Nov 27, 2024 23:11 UTC PurchaseCommon Stock 167,055 $0.71 $118,191.41
Disclosure

SEC source: 0000902664-24-006799 · ownership.xml · nonDerivative · entry 2

Lynx1 Capital Management LP · CIK 0001910456 · 10% owner

Nichols Weston · CIK 0001746376 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 8,854,008

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.65 to $0.77 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

F2 · ownership.nature: The securities to which this filing relates are held directly by Lynx1 Master Fund LP to which Lynx1 Capital Management LP (the "Investment Manager") serves as investment manager. Weston Nichols ("Mr. Nichols") is the sole member of Lynx1 Capital Management GP LLC, the general partner of the Investment Manager. Each of the Investment Manager and Mr. Nichols disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.

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November 25, 2024 Filed Nov 27, 2024 23:11 UTC PurchaseCommon stock, $0.0001 par value per share ("Common Stock") 259,998 $0.56 $146,664.87
Disclosure

SEC source: 0000902664-24-006799 · ownership.xml · nonDerivative · entry 1

Lynx1 Capital Management LP · CIK 0001910456 · 10% owner

Nichols Weston · CIK 0001746376 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 8,686,953

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.49 to $0.65 inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

F2 · ownership.nature: The securities to which this filing relates are held directly by Lynx1 Master Fund LP to which Lynx1 Capital Management LP (the "Investment Manager") serves as investment manager. Weston Nichols ("Mr. Nichols") is the sole member of Lynx1 Capital Management GP LLC, the general partner of the Investment Manager. Each of the Investment Manager and Mr. Nichols disclaims beneficial ownership of the securities to which this filing relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his or its pecuniary interest therein, if any.

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September 30, 2024 Filed Oct 2, 2024 20:35 UTC GrantEmployee Stock Option (right to buy) · Derivative 174,139 $0.00 Strike: $0.70 $0.00
Disclosure

SEC source: 0001415889-24-024416 · form4-10022024_081016.xml · derivative · entry 1

Kassberg Thomas Richard · CIK 0001303811 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,139

Underlying: Common Stock · 174,139 shares

Expires 2034-09-30

F1 · derivative.exercise_date: The stock option vests as to 1/36 of the total shares monthly beginning on October 10, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

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September 30, 2024 Filed Oct 2, 2024 20:41 UTC
Cale Edgar B.GC & CORPORATE SECRETARY
GrantEmployee Stock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.70 $0.00
Disclosure

SEC source: 0001415889-24-024433 · form4-10022024_081040.xml · derivative · entry 1

Cale Edgar B. · CIK 0001799783 · GC & CORPORATE SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-09-30

F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares monthly beginning on September 1, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

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September 19, 2024 Filed Sep 23, 2024 20:51 UTC SaleCommon Stock 39,300 $0.71 $27,903.00
Disclosure

SEC source: 0000947871-24-000769 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,794,569

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $0.70 to a high of $0.73 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F3 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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September 18, 2024 Filed Sep 18, 2024 22:38 UTC SaleCommon Stock 25,631 $0.73 $18,710.63
Disclosure

SEC source: 0000947871-24-000763 · ownership.xml · nonDerivative · entry 3

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,833,869

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F4 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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September 17, 2024 Filed Sep 18, 2024 22:38 UTC SaleCommon Stock 111,400 $0.73 $81,322.00
Disclosure

SEC source: 0000947871-24-000763 · ownership.xml · nonDerivative · entry 2

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,859,500

F2 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $0.73 to a high of $0.75 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F4 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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September 16, 2024 Filed Sep 18, 2024 22:38 UTC SaleCommon Stock 63,100 $0.74 $46,694.00
Disclosure

SEC source: 0000947871-24-000763 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,970,900

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $0.73 to a high of $0.78 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F4 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
May 21, 2024 Filed May 23, 2024 20:51 UTC GrantDirector Stock Option (right to buy) · Derivative 47,693 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001415889-24-014309 · form4-05232024_080531.xml · derivative · entry 1

Porter Derrell · CIK 0001706400 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,693

Underlying: Common Stock · 47,693 shares

Expires 2034-05-21

F1 · derivative.exercise_date: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2025 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.

Read SEC document
May 21, 2024 Filed May 23, 2024 20:56 UTC
GOWEN MAXINEDirector
GrantDirector Stock Option (right to buy) · Derivative 47,693 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001415889-24-014313 · form4-05232024_080547.xml · derivative · entry 1

GOWEN MAXINE · CIK 0001280044 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,693

Underlying: Common Stock · 47,693 shares

Expires 2034-05-21

F1 · derivative.exercise_date: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2025 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.

Read SEC document
May 21, 2024 Filed May 23, 2024 21:43 UTC GrantDirector Stock Option (right to buy) · Derivative 47,693 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001415889-24-014333 · form4-05232024_090550.xml · derivative · entry 1

Countouriotis Athena · CIK 0001571469 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,693

Underlying: Common Stock · 47,693 shares

Expires 2034-05-21

F1 · derivative.exercise_date: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2025 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.

Read SEC document
May 21, 2024 Filed May 23, 2024 20:53 UTC
Islam SaqibDirector
GrantDirector Stock Option (right to buy) · Derivative 47,693 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001415889-24-014311 · form4-05232024_080531.xml · derivative · entry 1

Islam Saqib · CIK 0001575408 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,693

Underlying: Common Stock · 47,693 shares

Expires 2034-05-21

F1 · derivative.exercise_date: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2025 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.

Read SEC document
May 21, 2024 Filed May 23, 2024 20:55 UTC GrantDirector Stock Option (right to buy) · Derivative 47,693 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001415889-24-014312 · form4-05232024_080500.xml · derivative · entry 1

Kapadia Sandip · CIK 0001677141 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,693

Underlying: Common Stock · 47,693 shares

Expires 2034-05-21

F1 · derivative.exercise_date: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2025 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.

Read SEC document
May 21, 2024 Filed May 23, 2024 20:52 UTC
Sondhi DolanDirector
GrantDirector Stock Option (right to buy) · Derivative 39,092 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0001415889-24-014310 · form4-05232024_080524.xml · derivative · entry 1

Sondhi Dolan · CIK 0001986720 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,092

Underlying: Common Stock · 39,092 shares

Expires 2034-05-21

F1 · derivative.exercise_date: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2025 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.

Read SEC document
March 15, 2024 Filed Mar 19, 2024 20:09 UTC
Chou WilliamDirector · PRESIDENT AND CEO
GrantEmployee Stock Option (right to buy) · Derivative 575,000 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001415889-24-008489 · form4-03192024_080351.xml · derivative · entry 1

Chou William · CIK 0001949693 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 575,000

Underlying: Common Stock · 575,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares monthly beginning on April 15, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F1 · derivative.expiration_date: The stock option vests as to 1/48 of the total shares monthly beginning on April 15, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
March 15, 2024 Filed Mar 19, 2024 16:09 UTC
Forman Mark SCHIEF MEDICAL OFFICER
GrantEmployee Stock Option (right to buy) · Derivative 203,000 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001415889-24-008491 · form4-03192024_080347.xml · derivative · entry 1

Forman Mark S · CIK 0001922353 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,000

Underlying: Common Stock · 203,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares monthly beginning on April 15, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F1 · derivative.expiration_date: The stock option vests as to 1/48 of the total shares monthly beginning on April 15, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
March 15, 2024 Filed Mar 19, 2024 20:11 UTC GrantEmployee Stock Option (right to buy) · Derivative 227,000 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001415889-24-008495 · form4-03192024_080352.xml · derivative · entry 1

Borthwick Kathleen · CIK 0001987062 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,000

Underlying: Common Stock · 227,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares monthly beginning on April 15, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F1 · derivative.expiration_date: The stock option vests as to 1/48 of the total shares monthly beginning on April 15, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
March 15, 2024 Filed Mar 19, 2024 20:08 UTC
Cale Edgar B.GC & CORPORATE SECRETARY
GrantEmployee Stock Option (right to buy) · Derivative 203,000 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001415889-24-008487 · form4-03192024_080350.xml · derivative · entry 1

Cale Edgar B. · CIK 0001799783 · GC & CORPORATE SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,000

Underlying: Common Stock · 203,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares monthly beginning on April 15, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F1 · derivative.expiration_date: The stock option vests as to 1/48 of the total shares monthly beginning on April 15, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
February 13, 2024 Filed Feb 13, 2024 19:34 UTC
Forman Mark SCHIEF MEDICAL OFFICER
SaleCommon Stock 1,638 $0.97 $1,588.86
Disclosure

SEC source: 0001415889-24-003637 · form4-02142024_120249.xml · nonDerivative · entry 2

Forman Mark S · CIK 0001922353 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,631

F2 · kind: The sale reported on this Form 4 represents an Issuer mandated sale by the Reporting Person to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs; it does not represent a discretionary trade by the Reporting Person. Pursuant to the Issuer's equity incentive plan, an award recipient's tax withholding obligations must be funded by a "sell to cover" transaction.

Read SEC document
February 13, 2024 Filed Feb 14, 2024 00:36 UTC
Borthwick KathleenSVP, INTERIM CFO
SaleCommon Stock 1,470 $0.97 $1,425.90
Disclosure

SEC source: 0001415889-24-003640 · form4-02142024_120246.xml · nonDerivative · entry 2

Borthwick Kathleen · CIK 0001987062 · SVP, INTERIM CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,466

F2 · kind: The sale reported on this Form 4 represents an Issuer mandated sale by the Reporting Person to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs; it does not represent a discretionary trade by the Reporting Person. Pursuant to the Issuer's equity incentive plan, an award recipient's tax withholding obligations must be funded by a "sell to cover" transaction.

Read SEC document
February 10, 2024 Filed Feb 13, 2024 19:34 UTC
Forman Mark SCHIEF MEDICAL OFFICER
Exercise / conversionRestricted Stock Unit · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-003637 · form4-02142024_120249.xml · derivative · entry 6

Forman Mark S · CIK 0001922353 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 5,000 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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: 1/3 of the RSUs will vest on February 10, 2024 and 2/3 of the RSUs will vest on February 10, 2025, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F5 · derivative.expiration_date: 1/3 of the RSUs will vest on February 10, 2024 and 2/3 of the RSUs will vest on February 10, 2025, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Read SEC document
February 10, 2024 Filed Feb 13, 2024 19:34 UTC
Forman Mark SCHIEF MEDICAL OFFICER
Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-003637 · form4-02142024_120249.xml · nonDerivative · entry 1

Forman Mark S · CIK 0001922353 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,269

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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

Read SEC document
February 10, 2024 Filed Feb 14, 2024 00:36 UTC
Borthwick KathleenSVP, INTERIM CFO
Exercise / conversionRestricted Stock Unit · Derivative 4,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-003640 · form4-02142024_120246.xml · derivative · entry 3

Borthwick Kathleen · CIK 0001987062 · SVP, INTERIM CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 4,000 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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: 1/3 of the RSUs will vest on February 10, 2024 and 2/3 of the RSUs will vest on February 10, 2025, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F3 · derivative.expiration_date: 1/3 of the RSUs will vest on February 10, 2024 and 2/3 of the RSUs will vest on February 10, 2025, subject to the Reporting Person's continued service to the Issuer on each vesting date.

Read SEC document
February 10, 2024 Filed Feb 14, 2024 00:36 UTC
Borthwick KathleenSVP, INTERIM CFO
Exercise / conversionCommon Stock 4,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-003640 · form4-02142024_120246.xml · nonDerivative · entry 1

Borthwick Kathleen · CIK 0001987062 · SVP, INTERIM CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,936

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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

Read SEC document
January 02, 2024 Filed Jan 3, 2024 16:21 UTC
Forman Mark SChief Medical Officer
SaleCommon Stock 15,813 $0.91 $14,389.83
Disclosure

SEC source: 0001209191-24-000369 · doc4.xml · nonDerivative · entry 2

Forman Mark S · CIK 0001922353 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,269

F3 · kind: The sale reported on this Form 4 represents an Issuer mandated sale by the Reporting Person to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs; it does not represent a discretionary trade by the Reporting Person. Pursuant to the Issuer's equity incentive plan, an award recipient's tax withholding obligations must be funded by a "sell to cover" transaction.

Read SEC document
January 02, 2024 Filed Jan 3, 2024 21:20 UTC
Borthwick KathleenSVP, Interim CFO
SaleCommon Stock 10,672 $0.91 $9,711.52
Disclosure

SEC source: 0001209191-24-000367 · doc4.xml · nonDerivative · entry 2

Borthwick Kathleen · CIK 0001987062 · SVP, Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,936

F3 · kind: The sale reported on this Form 4 represents an Issuer mandated sale by the Reporting Person to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs; it does not represent a discretionary trade by the Reporting Person. Pursuant to the Issuer's equity incentive plan, an award recipient's tax withholding obligations must be funded by a "sell to cover" transaction.

Read SEC document
January 02, 2024 Filed Jan 3, 2024 21:19 UTC
Cale Edgar B.GC & Corporate Secretary
SaleCommon Stock 15,813 $0.91 $14,389.83
Disclosure

SEC source: 0001209191-24-000365 · doc4.xml · nonDerivative · entry 2

Cale Edgar B. · CIK 0001799783 · GC & Corporate Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,995

F3 · kind: The sale reported on this Form 4 represents an Issuer mandated sale by the Reporting Person to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs; it does not represent a discretionary trade by the Reporting Person. Pursuant to the Issuer's equity incentive plan, an award recipient's tax withholding obligations must be funded by a "sell to cover" transaction.

Read SEC document
December 31, 2023 Filed Jan 3, 2024 16:21 UTC
Forman Mark SChief Medical Officer
Exercise / conversionRestricted Stock Unit · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000369 · doc4.xml · derivative · entry 3

Forman Mark S · CIK 0001922353 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 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 Issuer's common stock.

F5 · derivative.exercise_date: 100% of the total restricted stock units vested on December 31, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F5 · derivative.expiration_date: 100% of the total restricted stock units vested on December 31, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
December 31, 2023 Filed Jan 3, 2024 16:21 UTC
Forman Mark SChief Medical Officer
Exercise / conversionCommon Stock 50,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-24-000369 · doc4.xml · nonDerivative · entry 1

Forman Mark S · CIK 0001922353 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,082

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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F2 · balance_after: Includes 3,082 shares acquired on May 13, 2022, 4,000 shares acquired on May 15, 2023, and 4,000 shares acquired on November 15, 2023 under the 2020 Employee Stock Purchase Plan.

Read SEC document
December 31, 2023 Filed Jan 3, 2024 21:20 UTC
Borthwick KathleenSVP, Interim CFO
Exercise / conversionRestricted Stock Unit · Derivative 30,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000367 · doc4.xml · derivative · entry 3

Borthwick Kathleen · CIK 0001987062 · SVP, Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 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 Issuer's common stock.

F5 · derivative.exercise_date: 100% of the total restricted stock units vested on December 31, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F5 · derivative.expiration_date: 100% of the total restricted stock units vested on December 31, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
December 31, 2023 Filed Jan 3, 2024 21:20 UTC
Borthwick KathleenSVP, Interim CFO
Exercise / conversionCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-24-000367 · doc4.xml · nonDerivative · entry 1

Borthwick Kathleen · CIK 0001987062 · SVP, Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,608

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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F2 · balance_after: Includes 3,082 shares acquired on May 13, 2022 and 3,526 shares acquired on November 15, 2023 under the 2020 Employee Stock Purchase Plan.

Read SEC document
December 31, 2023 Filed Jan 3, 2024 21:19 UTC
Cale Edgar B.GC & Corporate Secretary
Exercise / conversionRestricted Stock Unit · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000365 · doc4.xml · derivative · entry 3

Cale Edgar B. · CIK 0001799783 · GC & Corporate Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 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 Issuer's common stock.

F5 · derivative.exercise_date: 100% of the total restricted stock units vested on December 31, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F5 · derivative.expiration_date: 100% of the total restricted stock units vested on December 31, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
December 31, 2023 Filed Jan 3, 2024 21:19 UTC
Cale Edgar B.GC & Corporate Secretary
Exercise / conversionCommon Stock 50,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-24-000365 · doc4.xml · nonDerivative · entry 1

Cale Edgar B. · CIK 0001799783 · GC & Corporate Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,808

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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F2 · balance_after: Includes 1,024 shares acquired on May 14, 2021, 531 shares acquired on November 15, 2021, 3,082 shares acquired on May 13, 2022, and 3,967 shares acquired under the 2020 Employee Stock Purchase Plan.

Read SEC document
July 28, 2023 Filed Jul 28, 2023 22:34 UTC
Borthwick KathleenSVP, Interim CFO
GrantEmployee Stock Option (right to buy) · Derivative 20,000 $0.00 Strike: $0.88 $0.00
Disclosure

SEC source: 0001209191-23-043725 · doc4.xml · derivative · entry 1

Borthwick Kathleen · CIK 0001987062 · SVP, Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-07-27

F1 · derivative.exercise_date: The stock option vested as to 25% of the total shares on July 28, 2024, and thereafter vests as to 1/48 of the total shares monthly until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
July 28, 2023 Filed Aug 1, 2023 16:36 UTC
King SimonaChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 31,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-043998 · doc4.xml · derivative · entry 3

King Simona · CIK 0001879312 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,250 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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: Represents accelerated vesting of RSUs previously granted pursuant to the 2020 Equity Incentive Plan pursuant to a separation agreement between the Reporting Person and the Issuer.

F3 · derivative.expiration_date: Represents accelerated vesting of RSUs previously granted pursuant to the 2020 Equity Incentive Plan pursuant to a separation agreement between the Reporting Person and the Issuer.

Read SEC document
July 28, 2023 Filed Aug 1, 2023 16:36 UTC
King SimonaChief Financial Officer
SaleCommon Stock 11,453 $0.88 $10,078.64
Disclosure

SEC source: 0001209191-23-043998 · doc4.xml · nonDerivative · entry 2

King Simona · CIK 0001879312 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,994

F2 · kind: The sale reported on this Form 4 represents an Issuer mandated sale by the Reporting Person to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs; it does not represent a discretionary trade by the Reporting Person. Pursuant to the Issuer's equity incentive plan, an award recipient's tax withholding obligations must be funded by a "sell to cover" transaction.

Read SEC document
July 28, 2023 Filed Aug 1, 2023 16:36 UTC
King SimonaChief Financial Officer
Exercise / conversionCommon Stock 31,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-043998 · doc4.xml · nonDerivative · entry 1

King Simona · CIK 0001879312 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,447

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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

Read SEC document
July 27, 2023 Filed Jul 31, 2023 21:34 UTC
Sondhi DolanDirector
GrantDirector Stock Option (right to buy) · Derivative 48,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001209191-23-043872 · doc4.xml · derivative · entry 1

Sondhi Dolan · CIK 0001986720 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2033-07-27

F1 · derivative.exercise_date: The stock option vests as to 1/36 of the total shares on August 28, 2023, and thereafter vests as to 1/36 of the total shares monthly until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
June 28, 2023 Filed Jun 29, 2023 20:42 UTC PurchaseCommon Stock 575,195 $0.84 $483,163.80
Disclosure

SEC source: 0000947871-23-000712 · ownership.xml · nonDerivative · entry 2

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 8,034,000

F1 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F2 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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June 27, 2023 Filed Jun 29, 2023 20:42 UTC PurchaseCommon Stock 617,382 $0.84 $518,600.88
Disclosure

SEC source: 0000947871-23-000712 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VII LLC · CIK 0001760648 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,458,805

F1 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("GP VII") is the general partner of OPI VII, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP VII. By virtue of such relationships, GP VII and OrbiMed Advisors may be deemed to have voting and investment power over the shares of common stock held by OPI VII and, as a result, may be deemed to have beneficial ownership over such shares of common stock. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership over the shares of common stock held by OPI VII.

F2 · ownership.nature: Each of OrbiMed Advisors and GP VII disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

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June 16, 2023 Filed Jun 20, 2023 20:10 UTC
Fotopoulos AlexandrosChief Technical Officer
SaleCommon Stock 4,052 $0.93 $3,778.49
Disclosure

SEC source: 0001209191-23-038345 · doc4.xml · nonDerivative · entry 2

Fotopoulos Alexandros · CIK 0001799814 · Chief Technical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,693

F2 · kind: The sale reported on this Form 4 represents an Issuer mandated sale by the Reporting Person to satisfy tax withholding obligations in connection with the vesting and settlement of RSUs; it does not represent a discretionary trade by the Reporting Person. Pursuant to the Issuer's equity incentive plan, an award recipient's tax withholding obligations must be funded by a "sell to cover" transaction.

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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.