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PDSB

PDS Biotechnology Corp

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7939
SEC CIK
0001472091
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216

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 02, 2022 Filed Dec 2, 2022 21:47 UTC
BEDU-ADDO FRANKDirector · President/CEO
Tax withholdingCommon Stock 175,184 $9.78 $1,713,299.52
Disclosure

SEC source: 0001140361-22-044259 · form4.xml · nonDerivative · entry 2

BEDU-ADDO FRANK · CIK 0001770756 · Director · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 690,866

F2 · kind: On December 2, 2022, Dr. Bedu-Addo made a net exercise of 219,535 stock options, resulting in his acquisition of 44,351 common shares of the Issuer.

Read SEC document
December 02, 2022 Filed Dec 2, 2022 21:47 UTC
BEDU-ADDO FRANKDirector · President/CEO
Exercise / conversionCommon Stock 219,535 $6.57 $1,442,344.95
Disclosure

SEC source: 0001140361-22-044259 · form4.xml · nonDerivative · entry 1

BEDU-ADDO FRANK · CIK 0001770756 · Director · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 866,050

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

F2 · kind: On December 2, 2022, Dr. Bedu-Addo made a net exercise of 219,535 stock options, resulting in his acquisition of 44,351 common shares of the Issuer.

Read SEC document
June 28, 2022 Filed Jun 29, 2022 16:15 UTC
Iliev IlianDirector
GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001140361-22-024469 · form4.xml · derivative · entry 1

Iliev Ilian · CIK 0001808804 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-28

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on the first anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such date.

Read SEC document
June 28, 2022 Filed Jun 29, 2022 20:15 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001140361-22-024468 · form4.xml · derivative · entry 1

BRAWLEY OTIS W · CIK 0001213029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-28

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on the first anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such date.

Read SEC document
June 28, 2022 Filed Jun 29, 2022 20:15 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001140361-22-024466 · form4.xml · derivative · entry 1

Ali-Jackson Kamil · CIK 0001654337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-28

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on the first anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such date.

Read SEC document
June 28, 2022 Filed Jun 29, 2022 16:15 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001140361-22-024465 · form4.xml · derivative · entry 1

Freitag Gregory Gene · CIK 0001492710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-28

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on the first anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such date.

Read SEC document
June 28, 2022 Filed Jun 29, 2022 20:16 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001140361-22-024470 · form4.xml · derivative · entry 1

Glover Steve C · CIK 0001304406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-28

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on the first anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such date.

Read SEC document
June 28, 2022 Filed Jun 29, 2022 20:15 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001140361-22-024467 · form4.xml · derivative · entry 1

SYKES RICHARD · CIK 0001372810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-28

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on the first anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer as a director through such date.

Read SEC document
June 02, 2022 Filed Jun 3, 2022 08:20 UTC
Brown Spencer D.Senior VP, General Counsel
GrantEmployee Stock Option (Right to Buy) · Derivative 150,000 $0.00 Strike: $4.22 $0.00
Disclosure

SEC source: 0001140361-22-021673 · form4.xml · derivative · entry 1

Brown Spencer D. · CIK 0001930908 · Senior VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-06-02

F1 · derivative.exercise_date: This option was granted by the Issuer as an inducement material to the Reporting Person entering into employment with the Issuer in accordance with Nasdaq Rule 5635(c)(4) and the Issuer's 2019 Inducement Plan, as amended. This option, representing a right to purchase a total of 150,000 shares of Common Stock, will become exercisable on June 2, 2023, with 25% vesting on that date and the remaining 75% vesting in equal monthly installments thereafter, subject to continued service to the Issuer through each vesting date.

Read SEC document
January 19, 2022 Filed Jan 20, 2022 21:05 UTC
CONN GREGORYChief Scientific Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 112,100 $0.00 Strike: $6.28 $0.00
Disclosure

SEC source: 0001140361-22-002189 · form4.xml · derivative · entry 1

CONN GREGORY · CIK 0001770008 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,100

Underlying: Common Stock · 112,100 shares

Expires 2032-01-19

F1 · derivative.exercise_date: This option, representing a right to purchase a total of 112,100 shares of Common Stock, will become exercisable on January 19, 2023, with 25% vesting on that date and the remaining 75% vesting in equal monthly installments thereafter, subject to continued service to the Issuer through each vesting date, until fully vested on January 19, 2026.

Read SEC document
January 19, 2022 Filed Jan 20, 2022 21:05 UTC
BEDU-ADDO FRANKDirector · President/CEO
GrantStock Option (Right to Buy) · Derivative 291,500 $0.00 Strike: $6.28 $0.00
Disclosure

SEC source: 0001140361-22-002188 · form4.xml · derivative · entry 1

BEDU-ADDO FRANK · CIK 0001770756 · Director · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,500

Underlying: Common Stock · 291,500 shares

Expires 2032-01-19

F1 · derivative.exercise_date: This option, representing a right to purchase a total of 291,500 shares of Common Stock, will become exercisable on January 19, 2023, with 25% vesting on that date and the remaining vesting in equal monthly installments thereafter, subject to continued service to the Issuer through each vesting date, until fully vested on January 19, 2026.

Read SEC document
January 19, 2022 Filed Jan 20, 2022 21:05 UTC
WOOD LAURENChief Medical Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 88,600 $0.00 Strike: $6.28 $0.00
Disclosure

SEC source: 0001140361-22-002187 · form4.xml · derivative · entry 1

WOOD LAUREN · CIK 0001769757 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,600

Underlying: Common Stock · 88,600 shares

Expires 2032-01-19

F1 · derivative.exercise_date: This option, representing a right to purchase a total of 88,600 shares of Common Stock, will become exercisable on January 19, 2023, with 25% vesting on that date and the remaining 75% vesting in equal monthly installments thereafter, subject to continued service to the Issuer through each vesting date, until fully vested on January 19, 2026.

Read SEC document
December 13, 2021 Filed Dec 14, 2021 14:10 UTC
HILL MATTHEW CChief Financial Officer
PurchaseCommon Stock 100 $9.00 $900.00
Disclosure

SEC source: 0001140361-21-041473 · form4.xml · nonDerivative · entry 4

HILL MATTHEW C · CIK 0001278675 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Daughter

Disclosed balance after: 4,075

F1 · kind: Shares acquired on the open market.

Read SEC document
December 13, 2021 Filed Dec 14, 2021 14:10 UTC
HILL MATTHEW CChief Financial Officer
PurchaseCommon Stock 100 $9.00 $900.00
Disclosure

SEC source: 0001140361-21-041473 · form4.xml · nonDerivative · entry 3

HILL MATTHEW C · CIK 0001278675 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Son

Disclosed balance after: 3,975

F1 · kind: Shares acquired on the open market.

Read SEC document
December 13, 2021 Filed Dec 14, 2021 14:10 UTC
HILL MATTHEW CChief Financial Officer
PurchaseCommon Stock 400 $8.90 $3,560.00
Disclosure

SEC source: 0001140361-21-041473 · form4.xml · nonDerivative · entry 2

HILL MATTHEW C · CIK 0001278675 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,875

F1 · kind: Shares acquired on the open market.

Read SEC document
December 13, 2021 Filed Dec 14, 2021 14:10 UTC
HILL MATTHEW CChief Financial Officer
PurchaseCommon Stock 2,500 $9.00 $22,500.00
Disclosure

SEC source: 0001140361-21-041473 · form4.xml · nonDerivative · entry 1

HILL MATTHEW C · CIK 0001278675 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,475

F1 · kind: Shares acquired on the open market.

Read SEC document
October 19, 2021 Filed Oct 20, 2021 20:31 UTC
HILL MATTHEW CChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 202,800 $0.00 Strike: $12.03 $0.00
Disclosure

SEC source: 0001140361-21-034999 · form4.xml · derivative · entry 1

HILL MATTHEW C · CIK 0001278675 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,800

Underlying: Common Stock · 202,800 shares

Expires 2031-10-19

F1 · derivative.exercise_date: The option was granted by the Issuer as an inducement material to the Reporting Person entering into employment with the Issuer in accordance with Nasdaq Rule 5635(c)(4) and the Issuer's 2019 Inducement Plan, as amended. The option will vest over four years, as follows: 25% of the shares underlying the option will vest and become exercisable on October 19, 2022, with the remaining 75% vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date.

Read SEC document
June 17, 2021 Filed Jun 17, 2021 18:58 UTC
Iliev IlianDirector
GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $9.95 $0.00
Disclosure

SEC source: 0001140361-21-021493 · form4.xml · derivative · entry 1

Iliev Ilian · CIK 0001808804 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-17

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on June 17, 2022.

Read SEC document
June 17, 2021 Filed Jun 17, 2021 23:09 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $9.95 $0.00
Disclosure

SEC source: 0001140361-21-021497 · form4.xml · derivative · entry 2

Ali-Jackson Kamil · CIK 0001654337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-17

F2 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on June 17, 2022.

Read SEC document
June 17, 2021 Filed Jun 17, 2021 18:45 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $9.95 $0.00
Disclosure

SEC source: 0001140361-21-021489 · form4.xml · derivative · entry 2

Freitag Gregory Gene · CIK 0001492710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-17

F2 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on June 17, 2022.

Read SEC document
June 17, 2021 Filed Jun 17, 2021 23:15 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $9.95 $0.00
Disclosure

SEC source: 0001140361-21-021499 · form4.xml · derivative · entry 2

Glover Steve C · CIK 0001304406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-17

F2 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on June 17, 2022.

Read SEC document
June 17, 2021 Filed Jun 17, 2021 23:20 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $9.95 $0.00
Disclosure

SEC source: 0001140361-21-021501 · form4.xml · derivative · entry 1

BRAWLEY OTIS W · CIK 0001213029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-17

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on June 17, 2022.

Read SEC document
June 17, 2021 Filed Jun 17, 2021 23:03 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $9.95 $0.00
Disclosure

SEC source: 0001140361-21-021495 · form4.xml · derivative · entry 1

SYKES RICHARD · CIK 0001372810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-17

F1 · derivative.exercise_date: The Stock Option will vest in full and become fully exercisable on June 17, 2022.

Read SEC document
June 16, 2021 Filed Jun 21, 2021 20:30 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,970 $0.00 Strike: $5.99 $0.00
Disclosure

SEC source: 0001140361-21-021720 · form4.xml · derivative · entry 4

Bloomquist DeLyle W · CIK 0001315488 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,030

Underlying: Common Stock · 2,970 shares

Expires 2029-06-28

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

F4 · derivative.exercise_date: One third of the shares underlying the option shall vest upon each of the first, second, and third anniversaries of the date of grant, such that the option will be fully vested on June 28, 2022, subject in all respects to the option agreement governing the stock option grant.

Read SEC document
June 16, 2021 Filed Jun 21, 2021 20:30 UTC PurchaseCommon Stock 10,000 $9.88 $98,778.00
Disclosure

SEC source: 0001140361-21-021720 · form4.xml · nonDerivative · entry 2

Bloomquist DeLyle W · CIK 0001315488 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,888

F2 · price: Represents shares of Common Stock of the Issuer that Mr. Bloomquist purchased in the open market. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $9.85 to $9.90, inclusive.

F1 · acquired: The shares reported on this Form 4 are subject to a lock-up agreement between Mr. Bloomquist and Cantor Fitzgerald & Co. in connection with a public offering of common shares by the Issuer which closed on June 17, 2021.

Read SEC document
June 16, 2021 Filed Jun 21, 2021 20:30 UTC Exercise / conversionCommon Stock 2,970 $5.99 $17,790.30
Disclosure

SEC source: 0001140361-21-021720 · form4.xml · nonDerivative · entry 1

Bloomquist DeLyle W · CIK 0001315488 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,888

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 · acquired: The shares reported on this Form 4 are subject to a lock-up agreement between Mr. Bloomquist and Cantor Fitzgerald & Co. in connection with a public offering of common shares by the Issuer which closed on June 17, 2021.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 23:09 UTC PurchaseCommon Stock 11,764 $8.50 $99,994.00
Disclosure

SEC source: 0001140361-21-021497 · form4.xml · nonDerivative · entry 1

Ali-Jackson Kamil · CIK 0001654337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,764

F1 · kind: Represents shares of common stock purchased by the Reporting Person at the public offering price in connection with the Issuer's firm commitment underwritten public offering of common stock, which closed on June 17, 2021, and such shares of common stock are subject to a lock up agreement between the Reporting Person and Cantor Fitzgerald & Co., pursuant to which the shares cannot be sold for 90 days following June 15, 2021.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 18:45 UTC PurchaseCommon Stock 5,882 $8.50 $49,997.00
Disclosure

SEC source: 0001140361-21-021489 · form4.xml · nonDerivative · entry 1

Freitag Gregory Gene · CIK 0001492710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,153

F1 · kind: Represents shares of common stock purchased by the Reporting Person at the public offering price in connection with the Issuer's firm commitment underwritten public offering of common stock, which closed on June 17, 2021, and such shares of common stock are subject to a lock up agreement between the Reporting Person and Cantor Fitzgerald & Co., pursuant to which the shares cannot be sold for 90 days following June 15, 2021.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 23:15 UTC PurchaseCommon Stock 5,882 $8.50 $49,997.00
Disclosure

SEC source: 0001140361-21-021499 · form4.xml · nonDerivative · entry 1

Glover Steve C · CIK 0001304406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,790

F1 · kind: Represents shares of common stock purchased by the Reporting Person at the public offering price in connection with the Issuer's firm commitment underwritten public offering of common stock, which closed on June 17, 2021, and such shares of common stock are subject to a lock up agreement between the Reporting Person and Cantor Fitzgerald & Co., pursuant to which the shares cannot be sold for 90 days following June 15, 2021.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 23:26 UTC
BEDU-ADDO FRANKDirector · President/CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 53,174 $0.00 Strike: $6.57 $0.00
Disclosure

SEC source: 0001140361-21-021503 · form4.xml · derivative · entry 3

BEDU-ADDO FRANK · CIK 0001770756 · Director · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,174 shares

Expires 2021-07-27

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

F2 · derivative.exercise_date: The Stock Option is fully vested in accordance with its terms.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 23:26 UTC
BEDU-ADDO FRANKDirector · President/CEO
Tax withholdingCommon Stock 27,166 $12.86 $349,354.76
Disclosure

SEC source: 0001140361-21-021503 · form4.xml · nonDerivative · entry 2

BEDU-ADDO FRANK · CIK 0001770756 · Director · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 646,515

F1 · kind: On June 15, 2021, Mr. Bedu-Addo made a net exercise of 53,174 stock options, resulting in his acquisition of 26,008 common shares of the Issuer. The transaction was made pursuant to an exception to a lock-up agreement between Mr. Bedu Addo and Cantor Fitzgerald & Co.in connection with a public offering of common shares by the Issuer which closed on June 17, 2021.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 23:26 UTC
BEDU-ADDO FRANKDirector · President/CEO
Exercise / conversionCommon Stock 53,174 $6.57 $349,353.18
Disclosure

SEC source: 0001140361-21-021503 · form4.xml · nonDerivative · entry 1

BEDU-ADDO FRANK · CIK 0001770756 · Director · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 673,681

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 · kind: On June 15, 2021, Mr. Bedu-Addo made a net exercise of 53,174 stock options, resulting in his acquisition of 26,008 common shares of the Issuer. The transaction was made pursuant to an exception to a lock-up agreement between Mr. Bedu Addo and Cantor Fitzgerald & Co.in connection with a public offering of common shares by the Issuer which closed on June 17, 2021.

Read SEC document
June 15, 2021 Filed Jun 17, 2021 22:52 UTC
VAN VOORHEES SETHChief Financial Officer
PurchaseCommon Stock 17,647 $8.50 $149,999.50
Disclosure

SEC source: 0001140361-21-021491 · form4.xml · nonDerivative · entry 1

VAN VOORHEES SETH · CIK 0001284934 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,647

F1 · kind: Represents shares of common stock purchased by the Reporting Person at the public offering price in connection with the Issuer's firm commitment underwritten public offering of common stock, which closed on June 17, 2021, and such shares of common stock are subject to a lock up agreement between the Reporting Person and Cantor Fitzgerald & Co., pursuant to which the shares cannot be sold for 90 days following June 15, 2021.

Read SEC document
January 04, 2021 Filed Jan 6, 2021 21:06 UTC
VAN VOORHEES SETHChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 202,800 $0.00 Strike: $2.28 $0.00
Disclosure

SEC source: 0001140361-21-000334 · form4.xml · derivative · entry 1

VAN VOORHEES SETH · CIK 0001284934 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,800

Underlying: Common Stock · 202,800 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The option was granted by the Issuer as an inducement material to the Reporting Person entering into employment with the Issuer in accordance with Nasdaq Rule 5635(c)(4) and the Issuer's 2019 Inducement Plan, as amended. The option will vest over four years, as follows: 25% of the shares underlying the option will vest and become exercisable on January 1, 2022, with the remaining 75% vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through each vesting date.

Read SEC document
December 08, 2020 Filed Dec 9, 2020 16:13 UTC
King Michael N.Interim CFO
GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $2.43 $0.00
Disclosure

SEC source: 0001140361-20-027866 · form4.xml · derivative · entry 1

King Michael N. · CIK 0001816304 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The option is fully vested and immediately exercisable as of the date of grant.

Read SEC document
December 08, 2020 Filed Dec 9, 2020 21:20 UTC
CONN GREGORYChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 122,400 $0.00 Strike: $2.43 $0.00
Disclosure

SEC source: 0001140361-20-027874 · form4.xml · derivative · entry 1

CONN GREGORY · CIK 0001770008 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,400

Underlying: Common Stock · 122,400 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The option was granted on December 8, 2020, subject to stockholder approval of the Issuer's Second Amended and Restated 2014 Equity Incentive Plan under Nasdaq Marketplace Rule 5635(c). The option is not exercisable until stockholder approval has been obtained. Contingent upon stockholder approval, one-quarter of the shares subject to the option shall vest on December 8, 2021, and the remainder shall vest in equal monthly installments thereafter until fully vested on December 8, 2024. In the event stockholder approval is not obtained pursuant to the terms of grant, then the Reporting Person shall surrender the option to the Company for cancellation.

Read SEC document
December 08, 2020 Filed Dec 9, 2020 21:17 UTC
WOOD LAURENChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 210,500 $0.00 Strike: $2.43 $0.00
Disclosure

SEC source: 0001140361-20-027869 · form4.xml · derivative · entry 1

WOOD LAUREN · CIK 0001769757 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,500

Underlying: Common Stock · 210,500 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The option was granted on December 8, 2020, subject to stockholder approval of the Issuer's Second Amended and Restated 2014 Equity Incentive Plan under Nasdaq Marketplace Rule 5635(c). The option is not exercisable until stockholder approval has been obtained. Contingent upon stockholder approval, one-quarter of the shares subject to the option shall vest on December 8, 2021, and the remainder shall vest in equal monthly installments thereafter until fully vested on December 8, 2024. In the event stockholder approval is not obtained pursuant to the terms of grant, then the Reporting Person shall surrender the option to the Company for cancellation.

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December 08, 2020 Filed Dec 9, 2020 21:10 UTC
BEDU-ADDO FRANKDirector · President/CEO
GrantStock Option (Right to Buy) · Derivative 707,800 $0.00 Strike: $2.43 $0.00
Disclosure

SEC source: 0001140361-20-027860 · form4.xml · derivative · entry 1

BEDU-ADDO FRANK · CIK 0001770756 · Director · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 707,800

Underlying: Common Stock · 707,800 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The option was granted on December 8, 2020, subject to stockholder approval of the Issuer's Second Amended and Restated 2014 Equity Incentive Plan under Nasdaq Marketplace Rule 5635(c). The option is not exercisable until stockholder approval has been obtained. Contingent upon stockholder approval, one-quarter of the shares subject to the option shall vest on December 8, 2021, and the remainder shall vest in equal monthly installments thereafter until fully vested on December 8, 2024. In the event stockholder approval is not obtained pursuant to the terms of grant, then the Reporting Person shall surrender the option to the Company for cancellation.

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November 03, 2020 Filed Nov 6, 2020 23:19 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $2.09 $0.00
Disclosure

SEC source: 0001140361-20-024925 · form4.xml · derivative · entry 1

BRAWLEY OTIS W · CIK 0001213029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2030-11-03

F1 · derivative.exercise_date: One-third (1/3) of the shares underlying the option shall vest upon each of the first, second and third anniversaries of the date of grant, such that the option will be fully vested on November 3, 2023.

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June 23, 2020 Filed Jun 25, 2020 18:32 UTC
Iliev IlianDirector
GrantStock Option (Right to Buy) · Derivative 1,874 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014764 · form4.xml · derivative · entry 1

Iliev Ilian · CIK 0001808804 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,874

Underlying: Common Stock · 1,874 shares

Expires 2030-06-23

F1 · derivative.exercise_date: One third of the shares underlying the option shall vest upon each of the first, second, and third anniversaries of the date of grant, such that the option will be fully vested on June 23, 2023.

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June 23, 2020 Filed Jun 25, 2020 22:38 UTC GrantStock Option (Right to Buy) · Derivative 3,033 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014769 · form4.xml · derivative · entry 1

Ali-Jackson Kamil · CIK 0001654337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,033

Underlying: Common Stock · 3,033 shares

Expires 2030-06-23

F1 · derivative.exercise_date: One third of the shares underlying the option shall vest upon each of the first, second, and third anniversaries of the date of grant, such that the option will be fully vested on June 23, 2023.

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June 23, 2020 Filed Jun 25, 2020 18:43 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014773 · form4.xml · derivative · entry 1

Freitag Gregory Gene · CIK 0001492710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: One third of the shares underlying the option shall vest upon each of the first, second, and third anniversaries of the date of grant, such that the option will be fully vested on June 23, 2023.

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June 23, 2020 Filed Jun 25, 2020 22:57 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014781 · form4.xml · derivative · entry 1

Glover Steve C · CIK 0001304406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: One third of the shares underlying the option shall vest upon each of the first, second, and third anniversaries of the date of grant, such that the option will be fully vested on June 23, 2023.

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June 23, 2020 Filed Jun 25, 2020 22:43 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014772 · form4.xml · derivative · entry 1

SYKES RICHARD · CIK 0001372810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: One third of the shares underlying the option shall vest upon each of the first, second, and third anniversaries of the date of grant, such that the option will be fully vested on June 23, 2023.

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June 23, 2020 Filed Jun 25, 2020 22:35 UTC
WOOD LAURENChief Medical Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014767 · form4.xml · derivative · entry 1

WOOD LAUREN · CIK 0001769757 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: This option, representing a right to purchase a total of 35,000 shares of Common Stock, will become exercisable on June 23, 2021, with 25% vesting on that date and the remaining 75% vesting in 36 equal monthly installments thereafter, subject to continued service to the Issuer through each vesting date.

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June 23, 2020 Filed Jun 25, 2020 22:33 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014765 · form4.xml · derivative · entry 1

Bloomquist DeLyle W · CIK 0001315488 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: One third of the shares underlying the option shall vest upon each of the first, second, and third anniversaries of the date of grant, such that the option will be fully vested on June 23, 2023.

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June 23, 2020 Filed Jun 25, 2020 22:29 UTC
CONN GREGORYChief Scientific Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014762 · form4.xml · derivative · entry 1

CONN GREGORY · CIK 0001770008 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: This option, representing a right to purchase a total of 35,000 shares of Common Stock, will become exercisable on June 23, 2021, with 25% vesting on that date and the remaining 75% vesting in 36 equal monthly installments thereafter, subject to continued service to the Issuer through each vesting date.

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June 23, 2020 Filed Jun 25, 2020 22:24 UTC
BEDU-ADDO FRANKDirector · President/CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 125,000 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001140361-20-014759 · form4.xml · derivative · entry 1

BEDU-ADDO FRANK · CIK 0001770756 · Director · President/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: This option, representing a right to purchase a total of 125,000 shares of Common Stock, will become exercisable on June 23, 2021, with 25% vesting on that date and the remaining 75% vesting in 36 equal monthly installments thereafter, subject to continued service to the Issuer through each vesting date.

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April 08, 2020 Filed Apr 9, 2020 16:49 UTC
Iliev IlianDirector
GrantStock Option (Right to Buy) · Derivative 4,500 $0.00 Strike: $0.72 $0.00
Disclosure

SEC source: 0001140361-20-008509 · form4.xml · derivative · entry 1

Iliev Ilian · CIK 0001808804 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires 2030-04-08

F1 · derivative.exercise_date: One-third (1/3) of the shares underlying the option shall vest upon each of the first, second and third anniversaries of the date of grant, such that the option will be fully vested on April 8, 2023.

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February 21, 2020 Filed Feb 24, 2020 21:30 UTC GrantStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $1.31 $0.00
Disclosure

SEC source: 0001140361-20-003908 · form4.xml · derivative · entry 1

Ali-Jackson Kamil · CIK 0001654337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2030-02-21

F1 · derivative.exercise_date: One-third (1/3) of the shares underlying the option shall vest upon each of the first, second and third anniversaries of the date of grant, such that the option will be fully vested on February 21, 2023.

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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.