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 |
|---|---|---|---|---|---|---|
| August 18, 2017 Filed Aug 21, 2017 11:19 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 8,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000209 · 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: 39,877 F2 · price: The shares were purchased at a weighted average price of approximately $3.81 per share. These shares were purchased in multiple transactions at prices ranging from $3.573 to $4.00, 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 |
| August 17, 2017 Filed Aug 21, 2017 11:19 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 1,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001094891-17-000209 · 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: 31.477 F1 · price: The shares were purchased at a weighted average price of approximately $3.43 per share. These shares were purchased in multiple transactions at prices ranging from $3,28 to $3.50, 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 |
| August 16, 2017 Filed Aug 17, 2017 18:21 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 100 | $3.35 | $335.00 |
DisclosureSEC source: 0001094891-17-000205 · edgar.xml · nonDerivative · 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 son Disclosed balance after: 300 Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 18:21 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 100 | $3.30 | $330.00 |
DisclosureSEC source: 0001094891-17-000205 · edgar.xml · nonDerivative · 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 son Disclosed balance after: 200 Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 18:21 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 100 | $3.20 | $320.00 |
DisclosureSEC source: 0001094891-17-000205 · edgar.xml · nonDerivative · 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 son Disclosed balance after: 100 Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 18:21 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 285 | $3.30 | $940.50 |
DisclosureSEC source: 0001094891-17-000205 · 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 daughter Disclosed balance after: 285 Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 18:21 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 300 | $3.32 | $996.00 |
DisclosureSEC source: 0001094891-17-000205 · 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: Direct Disclosed balance after: 29,677 Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 18:21 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 400 | $3.29 | $1,315.60 |
DisclosureSEC source: 0001094891-17-000205 · 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: 29,377 Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 18:21 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 100 | $3.24 | $324.00 |
DisclosureSEC source: 0001094891-17-000205 · 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: 28,977 Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 18:21 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 500 | $3.20 | $1,600.00 |
DisclosureSEC source: 0001094891-17-000205 · 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: 28,877 Read SEC document |
| August 03, 2017 Filed Aug 11, 2017 14:38 UTC |
Battleman David S.Director
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $2.98 | $0.00 |
DisclosureSEC source: 0001094891-17-000172 · edgar.xml · derivative · entry 1 Battleman David S. · CIK 0001714335 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2027-08-02 F1 · derivative.exercise_date: The option shall become exercisable as to one-twelfth (1/12) of the option shares on September 30, 2017, and shall become exercisable as to one-twelfth (1/12) of the option shares on the last day of each successive fiscal quarter for the following eleven (11) fiscal quarters. Read SEC document |
| March 20, 2017 Filed Mar 21, 2017 20:27 UTC |
MCGRATH DENNIS MEVP & CFO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $5.95 | $0.00 |
DisclosureSEC source: 0001094891-17-000081 · edgar.xml · derivative · entry 1 MCGRATH DENNIS M · CIK 0001269340 · EVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2027-03-19 F1 · derivative.exercise_date: The option vests in 12 equal quarterly installments on the last day of each fiscal quarter, commencing on June 30, 2017. Read SEC document |
| January 11, 2017 Filed Jan 12, 2017 16:10 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseWarrants · Derivative | 25,000 | $4.00 Strike: $5.00 | $100,000.00 |
DisclosureSEC source: 0001094891-17-000036 · 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: 44,500 Underlying: Common Stock · 25,000 shares Expires 2022-01-29 Read SEC document |
| December 09, 2016 Filed Feb 14, 2017 19:08 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherWarrants · Derivative | 320 | $6.77 Strike: $5.00 | $2,167.68 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · derivative · entry 10 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,293 Underlying: Common Stock · 320 shares Expires 2022-01-29 F8 · price: The price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $5.9875 to $7.4900, inclusive. The reporting person undertakes 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 warrants acquired at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 09, 2016 Filed Feb 14, 2017 19:08 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherCommon Stock | 282 | $8.47 | $2,389.08 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · nonDerivative · entry 3 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,465 F2 · price: The price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $7.6780 to $8.9990, inclusive. The reporting person undertakes 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 acquired at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 29, 2016 Filed Dec 2, 2016 18:06 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 1,777 | $9.02 | $16,035.65 |
DisclosureSEC source: 0001094891-16-000653 · 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: 28,377 F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.50 to $10.24, inclusive. The reporting person undertakes 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 ranges set forth this footnote. Read SEC document |
| November 28, 2016 Filed Dec 2, 2016 18:06 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 1,000 | $9.53 | $9,530.00 |
DisclosureSEC source: 0001094891-16-000653 · 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: 26,600 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.50 to $9.80, inclusive. The reporting person undertakes 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 ranges set forth this footnote. Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 20:40 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseWarrants · Derivative | 300 | $8.00 Strike: $5.00 | $2,400.00 |
DisclosureSEC source: 0001094891-16-000651 · 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: Direct Disclosed balance after: 19,550 Underlying: Common Stock · 300 shares Expires 2022-01-29 Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 20:40 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 2,200 | $8.98 | $19,766.78 |
DisclosureSEC source: 0001094891-16-000651 · 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: 25,600 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.71 to $9.50, inclusive. The reporting person undertakes 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 ranges set forth this footnote. Read SEC document |
| November 23, 2016 Filed Feb 14, 2017 19:08 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherCommon Stock | 110 | $8.99 | $988.54 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · nonDerivative · entry 2 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,465 F1 · price: The price reported is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $8.5535 to $9.0300, inclusive. The reporting person undertakes 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 acquired at each separate price within the ranges set forth in this footnote. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 16:08 UTC |
Lamstein Joshua RDirector
|
PurchaseWarrants · Derivative | 100 | $6.40 Strike: $5.00 | $640.00 |
DisclosureSEC source: 0001094891-16-000649 · edgar.xml · derivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 100 Underlying: Common Stock · 100 shares Expires 2022-01-29 Read SEC document |
| November 21, 2016 Filed Nov 22, 2016 21:07 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 900 | $9.93 | $8,938.98 |
DisclosureSEC source: 0001094891-16-000646 · 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: 23,400 F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.20 to $10.25, inclusive. The reporting person undertakes 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 sold at each separate price within the ranges set forth this footnote. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 21:07 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 1,400 | $10.07 | $14,096.74 |
DisclosureSEC source: 0001094891-16-000646 · 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: 22,500 F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.995 to $10.861, inclusive. The reporting person undertakes 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 sold at each separate price within the ranges set forth this footnote. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 21:08 UTC |
Lamstein Joshua RDirector
|
PurchaseCommon Stock | 100 | $11.51 | $1,151.00 |
DisclosureSEC source: 0001094891-16-000647 · edgar.xml · nonDerivative · entry 2 Lamstein Joshua R · CIK 0001665280 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 100 Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 21:08 UTC |
Lamstein Joshua RDirector
|
PurchaseCommon Stock | 100 | $10.38 | $1,038.00 |
DisclosureSEC source: 0001094891-16-000647 · edgar.xml · nonDerivative · entry 1 Lamstein Joshua R · CIK 0001665280 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By daughter Disclosed balance after: 100 Read SEC document |
| November 18, 2016 Filed Feb 14, 2017 19:08 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherWarrants · Derivative | 100 | $7.90 Strike: $5.00 | $790.00 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · derivative · entry 9 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,293 Underlying: Common Stock · 100 shares Expires 2022-01-29 Read SEC document |
| November 18, 2016 Filed Feb 14, 2017 19:08 UTC |
Greenspan Ira ScottDirector · 10% owner
|
OtherCommon Stock | 200 | $10.20 | $2,040.00 |
DisclosureSEC source: 0001094891-17-000068 · edgar.xml · nonDerivative · entry 1 Greenspan Ira Scott · CIK 0001449211 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,465 Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 23:12 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $14.00 | $2,799.60 |
DisclosureSEC source: 0001094891-16-000612 · edgar.xml · nonDerivative · 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: 21,100 Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 23:12 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $13.74 | $2,747.00 |
DisclosureSEC source: 0001094891-16-000612 · 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: Direct Disclosed balance after: 20,900 Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 23:12 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $13.98 | $2,795.96 |
DisclosureSEC source: 0001094891-16-000612 · 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: Direct Disclosed balance after: 20,700 Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 23:12 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $14.22 | $2,844.90 |
DisclosureSEC source: 0001094891-16-000612 · 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: 20,500 Read SEC document |
| September 16, 2016 Filed Sep 19, 2016 23:12 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $14.46 | $2,891.30 |
DisclosureSEC source: 0001094891-16-000612 · 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: 20,300 Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 23:12 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 300 | $13.95 | $4,186.14 |
DisclosureSEC source: 0001094891-16-000612 · 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: 20,100 Read SEC document |
| September 14, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseWarrants · Derivative | 200 | $8.00 Strike: $5.00 | $1,600.00 |
DisclosureSEC source: 0001094891-16-000610 · edgar.xml · derivative · entry 16 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: 19,150 Underlying: Common Stock · 200 shares Expires 2022-01-29 Read SEC document |
| September 14, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $14.45 | $2,890.00 |
DisclosureSEC source: 0001094891-16-000610 · edgar.xml · nonDerivative · 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: Direct Disclosed balance after: 19,800 Read SEC document |
| September 13, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseWarrants · Derivative | 300 | $7.00 Strike: $5.00 | $2,100.00 |
DisclosureSEC source: 0001094891-16-000610 · edgar.xml · derivative · entry 15 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: 18,950 Underlying: Common Stock · 300 shares Expires 2022-01-29 Read SEC document |
| September 13, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseWarrants · Derivative | 500 | $6.99 Strike: $5.00 | $3,495.45 |
DisclosureSEC source: 0001094891-16-000610 · edgar.xml · derivative · entry 14 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: 18,650 Underlying: Common Stock · 500 shares Expires 2022-01-29 Read SEC document |
| September 13, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 500 | $12.50 | $6,252.00 |
DisclosureSEC source: 0001094891-16-000610 · edgar.xml · nonDerivative · 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: 19,600 Read SEC document |
| September 13, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $12.88 | $2,576.00 |
DisclosureSEC source: 0001094891-16-000610 · 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: Direct Disclosed balance after: 19,100 Read SEC document |
| September 13, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 100 | $12.48 | $1,247.80 |
DisclosureSEC source: 0001094891-16-000610 · 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: Direct Disclosed balance after: 18,900 Read SEC document |
| September 01, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseWarrants · Derivative | 300 | $7.99 Strike: $5.00 | $2,397.60 |
DisclosureSEC source: 0001094891-16-000610 · edgar.xml · derivative · entry 13 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: 18,150 Underlying: Common Stock · 300 shares Expires 2022-01-29 Read SEC document |
| September 01, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $13.98 | $2,795.50 |
DisclosureSEC source: 0001094891-16-000610 · 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: 18,800 Read SEC document |
| September 01, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 200 | $14.49 | $2,898.00 |
DisclosureSEC source: 0001094891-16-000610 · 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: 18,600 Read SEC document |
| September 01, 2016 Filed Sep 16, 2016 16:01 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseCommon Stock | 100 | $14.44 | $1,444.00 |
DisclosureSEC source: 0001094891-16-000610 · 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: 18,400 Read SEC document |
| August 23, 2016 Filed Sep 19, 2016 23:12 UTC |
Aklog LishanDirector · Chairman and CEO · 10% owner
HCFP/Capital Partners III LLC10% owner
Pavilion Venture Partners LLC10% owner
|
PurchaseWarrants · Derivative | 100 | $6.35 Strike: $5.00 | $635.00 |
DisclosureSEC source: 0001094891-16-000612 · 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: 19,250 Underlying: Common Stock · 100 shares Expires 2022-01-29 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.