Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 12, 2018 Filed Jul 11, 2018 21:42 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
Pavilion Venture Partners LLC10% owner
|
OtherCommon Stock | 980 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · nonDerivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By son Disclosed balance after: 2,280 F1 · price: The reporting person purchased units from the issuer in the issuer's equity rights offering, each unit consisting of one share of the issuer's common stock and one Series Z Warrant, at a price of $1.15 per unit. Read SEC document |
| June 12, 2018 Filed Jul 11, 2018 21:42 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
Pavilion Venture Partners LLC10% owner
|
OtherCommon Stock | 1,018 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 2,303 F1 · price: The reporting person purchased units from the issuer in the issuer's equity rights offering, each unit consisting of one share of the issuer's common stock and one Series Z Warrant, at a price of $1.15 per unit. Read SEC document |
| June 12, 2018 Filed Feb 4, 2019 22:04 UTC |
MCGRATH DENNIS MEVP & CFO
|
OtherSubscription Rights (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $1.15 | $0.00 |
DisclosureSEC source: 0001094891-19-000046 · edgar.xml · derivative · entry 3 MCGRATH DENNIS M · CIK 0001269340 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Units (1 share of Common Stock and 1 Series Z Warrant) · 12,000 shares Expires 2018-06-12 Read SEC document |
| June 12, 2018 Filed Feb 4, 2019 22:04 UTC |
MCGRATH DENNIS MEVP & CFO
|
OtherSeries Z Warrants · Derivative | 12,000 | Not disclosed Strike: $1.60 | Not disclosed |
DisclosureSEC source: 0001094891-19-000046 · edgar.xml · derivative · entry 2 MCGRATH DENNIS M · CIK 0001269340 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2024-04-30 F1 · price: The reporting person purchased units from the issuer in the issuer's equity rights offering, each unit consisting of one share of the issuer's common stock and one Series Z Warrant, at a price of $1.15 per unit. Read SEC document |
| June 12, 2018 Filed Feb 4, 2019 22:04 UTC |
MCGRATH DENNIS MEVP & CFO
|
OtherCommon Stock | 12,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-19-000046 · edgar.xml · nonDerivative · entry 1 MCGRATH DENNIS M · CIK 0001269340 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 F1 · price: The reporting person purchased units from the issuer in the issuer's equity rights offering, each unit consisting of one share of the issuer's common stock and one Series Z Warrant, at a price of $1.15 per unit. Read SEC document |
| June 08, 2018 Filed Jun 11, 2018 17:33 UTC |
Greenspan Ira Scott10% owner
|
SaleCommon Stock | 18,300 | $1.04 | $19,032.00 |
DisclosureSEC source: 0001144204-18-033789 · tv496281_4.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,691 Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 20:46 UTC |
Greenspan Ira Scott10% owner
|
SaleCommon Stock | 532,255 | $0.97 | $516,287.35 |
DisclosureSEC source: 0001144204-18-032917 · tv495849_4.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,991 F1 · date: Includes sales of common stock in open market transactions between 6/1/2018 and 6/5/2018. Read SEC document |
| April 20, 2018 Filed Jul 11, 2018 21:42 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
Pavilion Venture Partners LLC10% owner
|
GiftSeries Z Warrants · Derivative | 12,450 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0001094891-18-000152 · edgar.xml · derivative · entry 6 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 363,313 Underlying: Common Stock · 12,450 shares Expires 2024-04-30 F4 · balance_after: Reflects 350,538 Series Z Warrants that previously were held indirectly by Dr. Aklog through HCFP/Capital Partners III LLC, and became held directly by Dr. Aklog on June 26, 2018. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GrantSeries Z Warrants · Derivative | 10,000 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 8 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/AG LLC Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2024-04-30 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F4 · ownership.nature: Dr. Aklog is a co-manager of HCFP/AG LLC, and shares joint voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his pecuniary interest therein. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
Disposition to issuerWarrants · Derivative | 20,000 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 7 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/AG LLC Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2022-01-29 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F4 · ownership.nature: Dr. Aklog is a co-manager of HCFP/AG LLC, and shares joint voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his pecuniary interest therein. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GrantSeries Z Warrants · Derivative | 1,110,266 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 6 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pavilion Venture Partners LLC Disclosed balance after: 1,110,266 Underlying: Common Stock · 1,110,266 shares Expires 2024-04-30 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F3 · ownership.nature: Dr. Aklog is a member and sole manager of Pavilion Venture Partners LLC, and has sole voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
Disposition to issuerWarrants · Derivative | 2,220,532 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 5 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pavilion Venture Partners LLC Disclosed balance after: 0 Underlying: Common Stock · 2,220,532 shares Expires 2022-01-29 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F3 · ownership.nature: Dr. Aklog is a member and sole manager of Pavilion Venture Partners LLC, and has sole voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GrantSeries Z Warrants · Derivative | 2,823,281 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 4 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 2,823,281 Underlying: Common Stock · 2,823,281 shares Expires 2024-04-30 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F2 · ownership.nature: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
Disposition to issuerWarrants · Derivative | 5,646,562 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 0 Underlying: Common Stock · 5,646,562 shares Expires 2022-01-29 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. F2 · ownership.nature: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the securities held by this entity. Dr. Aklog disclaims beneficial ownership of securities held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GrantSeries Z Warrants · Derivative | 25,225 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,225 Underlying: Common Stock · 25,225 shares Expires 2024-04-30 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. Read SEC document |
| April 05, 2018 Filed Apr 9, 2018 19:51 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
Disposition to issuerWarrants · Derivative | 50,450 | Not disclosed Strike: $5.00 | Not disclosed |
DisclosureSEC source: 0001094891-18-000095 · edgar.xml · derivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,450 shares Expires 2022-01-29 F1 · price: The reporting person disposed of the Warrants in exchange for Series Z Warrants in an issuer exchange offer. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:25 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 195,108 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000046 · edgar.xml · derivative · entry 6 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,108 Underlying: Common Stock · 195,108 shares Expires 2028-02-14 F4 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:25 UTC |
MCGRATH DENNIS MEVP & CFO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 195,108 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000047 · edgar.xml · derivative · entry 1 MCGRATH DENNIS M · CIK 0001269340 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,108 Underlying: Common Stock · 195,108 shares Expires 2028-02-14 F1 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:28 UTC |
Sparks Ronald MDirector
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000053 · edgar.xml · derivative · entry 1 Sparks Ronald M · CIK 0001665394 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-02-14 F1 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:27 UTC |
Cox James LDirector
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000052 · edgar.xml · derivative · entry 1 Cox James L · CIK 0001665442 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-02-14 F1 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:27 UTC |
Battleman David S.Director
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000051 · edgar.xml · derivative · entry 1 Battleman David S. · CIK 0001714335 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-02-14 F1 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:26 UTC |
Weild IV DavidDirector
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000050 · edgar.xml · derivative · entry 1 Weild IV David · CIK 0001648023 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-02-14 F1 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:26 UTC |
Glennon Michael JDirector · Vice Chairman
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000049 · edgar.xml · derivative · entry 1 Glennon Michael J · CIK 0001665434 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-02-14 F1 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:25 UTC |
DeGuzman Brian J.Chief Medical Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001094891-18-000048 · edgar.xml · derivative · entry 1 DeGuzman Brian J. · CIK 0001664813 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-02-14 F1 · derivative.exercise_date: The option vests in 12 equal quarterly installments commencing on March 31, 2018. Read SEC document |
| February 02, 2018 Filed Feb 16, 2018 21:25 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GiftCommon Stock | 34,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000046 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 588,413 F1 · price: The reporting person transferred these shares of common stock by bona fide gift to a third party. Read SEC document |
| December 22, 2017 Filed Feb 14, 2018 22:34 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GiftCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 622,566 F1 · balance_after: Reflects 701,077 shares of common stock that were previously held through HCFP/Capital Partners III LLC, and became directly held on December 21, 2017. Read SEC document |
| December 21, 2017 Filed Dec 27, 2017 02:55 UTC |
Lamstein Joshua RDirector
|
OtherCommon Stock | 79,560 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000288 · edgar.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,177 F1 · kind: Pro rata distribution from HCFP/Capital Partners III LLC, of which the reporting person is a non-managing member. Read SEC document |
| December 21, 2017 Filed Dec 29, 2017 15:04 UTC |
Glennon Michael JDirector · Vice Chairman
|
OtherCommon Stock | 645,346 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000290 · edgar.xml · nonDerivative · entry 2 Glennon Michael J · CIK 0001665434 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 F2 · kind: Contribution to Pavilion Venture Partners LLC, of which the trust is a non-managing member. Read SEC document |
| December 21, 2017 Filed Dec 29, 2017 15:04 UTC |
Glennon Michael JDirector · Vice Chairman
|
OtherCommon Stock | 645,346 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000290 · edgar.xml · nonDerivative · entry 1 Glennon Michael J · CIK 0001665434 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 645,346 F1 · kind: Pro rata distribution from HCFP/Capital Partners III LLC, of which the trust is a non-managing member. Read SEC document |
| December 21, 2017 Filed Jan 3, 2018 22:36 UTC |
DeGuzman Brian J.Chief Medical Officer
|
OtherCommon Stock | 645,346 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000021 · edgar.xml · nonDerivative · entry 2 DeGuzman Brian J. · CIK 0001664813 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 0 F2 · kind: Contribution to Pavilion Venture Partners LLC, of which the trust is a non-managing member. Read SEC document |
| December 21, 2017 Filed Jan 3, 2018 22:36 UTC |
DeGuzman Brian J.Chief Medical Officer
|
OtherCommon Stock | 645,346 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000021 · edgar.xml · nonDerivative · entry 1 DeGuzman Brian J. · CIK 0001664813 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 645,346 F1 · kind: Pro rata distribution from HCFP/Capital Partners III LLC, of which the trust is a non-managing member. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 22:34 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
OtherCommon Stock | 1,936,038 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 5 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Pavilion Venture Partners LLC Disclosed balance after: 4,456,570 F5 · price: The shares of common stock were contributed to such entity by its members for no consideration. F4 · ownership.nature: Dr. Aklog is a member and sole manager of Pavilion Venture Partners LLC, and has sole voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 22:34 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
OtherCommon Stock | 5,646,562 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 4 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 0 F2 · price: The shares of common stock were distributed pro rata by such entity to its equity holders for no consideration. F3 · ownership.nature: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 22:34 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By son Disclosed balance after: 1,300 Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 22:34 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-18-000036 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 1,285 Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 15:41 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherCommon Stock | 846,984 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-008836 · tv486024_5.xml · nonDerivative · entry 3 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP Inc. Disclosed balance after: 846,984 F4 · price: Reflects 846,984 shares of Common Stock that were previously held through HCFP/Capital Partners LLC, and became directly held on December 21, 2017. Mr. Greenspan is Chairman and Chief Executive Officer of this entity, and shares voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 15:41 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherCommon Stock | 5,646,562 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-008836 · tv486024_5.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 0 F2 · price: The shares of Common Stock were distributed pro rata by such entity to its equity holders for no consideration. F3 · ownership.nature: Mr. Greenspan is a member and Co-Manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| December 21, 2017 Filed Feb 14, 2018 15:41 UTC |
Greenspan Ira ScottDirector · 10% owner
|
GiftCommon Stock | 246,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-008836 · tv486024_5.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,306,246 F1 · balance_after: Reflects 1,523,781 shares of Common Stock that were previously held through HCFP/Capital Partners LLC, and became directly held on December 21, 2017. Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 22:47 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
OtherWarrants · Derivative | 67,317 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000275 · edgar.xml · derivative · entry 8 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 Underlying: Common Stock · 5,646,562 shares Expires 2022-01-29 F2 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F3 · ownership.nature: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 22:47 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
OtherCommon Stock | 67,317 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000275 · edgar.xml · nonDerivative · entry 4 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 F2 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F3 · ownership.nature: Dr. Aklog is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Dr. Aklog disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 18:04 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherWarrants · Derivative | 67,317 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000277 · edgar.xml · derivative · entry 6 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 Underlying: Common Stock · 5,646,562 shares Expires 2022-01-29 F1 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F2 · ownership.nature: Mr. Greenspan is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 18:04 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherCommon Stock | 67,317 | $0.00 | $0.00 |
DisclosureSEC source: 0001094891-17-000277 · edgar.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 F1 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F2 · ownership.nature: Mr. Greenspan is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| November 22, 2017 Filed Dec 6, 2017 16:42 UTC Amendment |
Greenspan Ira ScottDirector · 10% owner
|
OtherWarrants · Derivative | 67,317 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001144204-17-062636 · tv480886_4a.xml · derivative · entry 5 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 Underlying: Common Stock · 5,646,562 shares Expires 2022-01-29 F1 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F2 · ownership.nature: Mr. Greenspan is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| November 22, 2017 Filed Dec 6, 2017 16:42 UTC Amendment |
Greenspan Ira ScottDirector · 10% owner
|
OtherCommon Stock | 67,317 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-062636 · tv480886_4a.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By HCFP/Capital Partners III LLC Disclosed balance after: 5,646,562 F1 · price: The securities were contributed to an affiliated entity and then distributed pro rata by such entity to its equity holders. F2 · ownership.nature: Mr. Greenspan is a member and a co-manager of HCFP/Capital Partners III LLC, and shares joint voting and dispositive power over the shares held by this entity. Mr. Greenspan disclaims beneficial ownership of shares held by this entity, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| November 21, 2017 Filed Nov 27, 2017 22:47 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
OtherCommon Stock | 1,200 | $4.30 | $5,160.00 |
DisclosureSEC source: 0001094891-17-000275 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,489 F1 · price: The shares were purchased at a weighted average price of approximately $4.30 per share. These shares were purchased in multiple transactions at prices ranging from $4.07 to $4.67, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., 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 ranges set forth this footnote to this Form 4. Read SEC document |
| November 20, 2017 Filed Nov 21, 2017 19:20 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 950 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000273 · edgar.xml · nonDerivative · entry 2 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,289 F2 · price: The shares were purchased at a weighted average price of approximately $4.70 per share. These shares were purchased in multiple transactions at prices ranging from $4.50 to $4.795, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., 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 ranges set forth this footnote to this Form 4. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 19:20 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 601 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000273 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,339 F1 · price: The shares were purchased at a weighted average price of approximately $4.37 per share. These shares were purchased in multiple transactions at prices ranging from $4.20 to $4.584, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., 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 ranges set forth this footnote to this Form 4. Read SEC document |
| September 15, 2017 Filed Sep 21, 2017 17:58 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 2,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000237 · edgar.xml · nonDerivative · entry 1 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,738 F1 · price: The shares were purchased at a weighted average price of approximately $8.77461538 per share. These shares were purchased in multiple transactions at prices ranging from $8.09 to $9.05, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., 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 ranges set forth this footnote to this Form 4. Read SEC document |
| September 13, 2017 Filed Sep 14, 2017 17:39 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseWarrants · Derivative | 100 | $2.41 Strike: $5.00 | $241.00 |
DisclosureSEC source: 0001094891-17-000236 · edgar.xml · derivative · entry 12 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,400 Underlying: Common Stock · 100 shares Expires 2022-01-29 Read SEC document |
| September 13, 2017 Filed Sep 14, 2017 17:39 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000236 · edgar.xml · nonDerivative · entry 3 Aklog Lishan · CIK 0001665074 · Director · Chairman and CEO · 10% owner HCFP/Capital Partners III LLC · CIK 0001665111 · 10% owner Pavilion Venture Partners LLC · CIK 0001665114 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,138 F2 · price: The shares were purchased at a weighted average price of approximately $6.88483 per share. These shares were purchased in multiple transactions at prices ranging from $6.75 to $7.03, inclusive. The reporting person undertakes to provide to PAVmed Inc., any security holder of PAVmed Inc., 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 ranges set forth this footnote to this Form 4. 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.