Last 12 months
Inside the activity.
8 purchase rows · 7 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 | 7 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 4 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 3 | 0 |
| Sep 2026 | 1 | 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 |
|---|---|---|---|---|---|---|
| January 08, 2021 Filed Jan 21, 2021 21:32 UTC |
Zanganeh MahkamDirector
|
OtherWarrant (right to buy) · Derivative | 3,000 | $0.00 Strike: $7.01 | $0.00 |
DisclosureSEC source: 0001209191-21-004669 · doc4.xml · derivative · entry 5 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,000 shares Expires 2025-06-15 Read SEC document |
| January 08, 2021 Filed Jan 21, 2021 21:32 UTC |
Zanganeh MahkamDirector
|
OtherCommon Stock | 3,000 | $7.01 | $21,030.00 |
DisclosureSEC source: 0001209191-21-004669 · doc4.xml · nonDerivative · entry 1 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 355,500 Read SEC document |
| December 29, 2020 Filed Dec 31, 2020 02:11 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
OtherWarrant (right to buy) · Derivative | 8,214 | $0.00 Strike: $7.01 | $0.00 |
DisclosureSEC source: 0001209191-20-065607 · doc4.xml · derivative · entry 4 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 8,214 shares Expires 2025-06-15 F1 · ownership.nature: Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder. Read SEC document |
| December 29, 2020 Filed Dec 31, 2020 02:11 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
OtherWarrant (right to buy) · Derivative | 376,065 | $0.00 Strike: $7.01 | $0.00 |
DisclosureSEC source: 0001209191-20-065607 · doc4.xml · derivative · entry 3 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 376,065 shares Expires 2025-06-15 Read SEC document |
| December 29, 2020 Filed Dec 31, 2020 02:11 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
OtherCommon Stock | 8,214 | $7.01 | $57,580.14 |
DisclosureSEC source: 0001209191-20-065607 · doc4.xml · nonDerivative · entry 2 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 330,019 F1 · ownership.nature: Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder. Read SEC document |
| December 29, 2020 Filed Dec 31, 2020 02:11 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
OtherCommon Stock | 376,065 | $7.01 | $2,636,215.65 |
DisclosureSEC source: 0001209191-20-065607 · doc4.xml · nonDerivative · entry 1 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,659,781 Read SEC document |
| December 09, 2020 Filed Mar 24, 2021 22:18 UTC |
GARDINER SANDRA A.CFO & EVP Admin. and Finance
|
GrantStock Option (right to buy) · Derivative | 25,961 | $0.00 Strike: $13.94 | $0.00 |
DisclosureSEC source: 0001209191-21-022928 · doc4.xml · derivative · entry 1 GARDINER SANDRA A. · CIK 0001218574 · CFO & EVP Admin. and Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,961 Underlying: Common Stock · 25,961 shares Expires 2029-11-18 F1 · shares: Represents the acquisition of vested options upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to performance-based stock options granted to the Reporting Person on November 18, 2019. F1 · derivative.exercise_date: Represents the acquisition of vested options upon the determination of the Compensation Committee of the Board of Directors of the Issuer that certain performance conditions were met with respect to performance-based stock options granted to the Reporting Person on November 18, 2019. Read SEC document |
| October 08, 2020 Filed Dec 23, 2020 16:20 UTC |
Levinson Mitchell E.Director
|
OtherWarrant (right to buy) · Derivative | 856 | $0.00 Strike: $7.01 | $0.00 |
DisclosureSEC source: 0001209191-20-065010 · doc4.xml · derivative · entry 6 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 856 shares Expires 2025-06-15 Read SEC document |
| October 08, 2020 Filed Dec 23, 2020 16:20 UTC |
Levinson Mitchell E.Director
|
OtherCommon Stock | 856 | $7.01 | $6,000.56 |
DisclosureSEC source: 0001209191-20-065010 · doc4.xml · nonDerivative · entry 1 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,569 Read SEC document |
| August 06, 2020 Filed Aug 10, 2020 15:39 UTC |
van den Broek RichardDirector
|
GrantStock Option (right to buy) · Derivative | 32,500 | $0.00 Strike: $10.78 | $0.00 |
DisclosureSEC source: 0001209191-20-045891 · doc4.xml · derivative · entry 1 van den Broek Richard · CIK 0001431872 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,500 Underlying: Common Stock · 32,500 shares Expires 2030-08-06 F1 · derivative.exercise_date: One-third (1/3) of the shares subject to the option will vest on August 6, 2021, and the remaining shares will vest in equal monthly installments thereafter over the following two year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 21:12 UTC |
Zanganeh MahkamDirector
|
PurchaseCommon Stock | 1,193 | $10.70 | $12,767.13 |
DisclosureSEC source: 0001209191-20-038948 · doc4.xml · nonDerivative · entry 1 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate Family Member 1 Disclosed balance after: 106,767 F1 · kind: The Reporting Person's immediate family member received the shares from a banking institution as resolution to an error made by the institution in connection with a subscription order placed for the Issuer's rights offering. Such shares were not acquired directly from the Issuer. F2 · price: This is the weighted average purchase price of the shares, which ranged from $10.69 to $10.73 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4. Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 20:22 UTC |
Zanganeh MahkamDirector
|
PurchaseCommon Stock | 7,950 | $7.01 | $55,729.50 |
DisclosureSEC source: 0001209191-20-037928 · doc4.xml · nonDerivative · entry 1 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate Family Member 1 Disclosed balance after: 105,574 F1 · kind: The Reporting Person's immediate family member acquired the shares from a banking institution due to an error by such institution in connection with subscriptions for the Issuer's rights offering. Such shares were not acquired from the Issuer. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:03 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
PurchaseWarrant (right to buy) · Derivative | 8,214 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037223 · doc4.xml · derivative · entry 4 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,214 Underlying: Common Stock · 8,214 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F2 · ownership.nature: Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:03 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
PurchaseWarrant (right to buy) · Derivative | 376,065 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037223 · doc4.xml · derivative · entry 3 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,065 Underlying: Common Stock · 376,065 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:03 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
OtherCommon Stock | 54,761 | $7.01 | $383,874.61 |
DisclosureSEC source: 0001209191-20-037223 · doc4.xml · nonDerivative · entry 2 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 321,805 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F2 · ownership.nature: Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:03 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
OtherCommon Stock | 2,507,112 | $7.01 | $17,574,855.12 |
DisclosureSEC source: 0001209191-20-037223 · doc4.xml · nonDerivative · entry 1 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,283,716 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
PurchaseWarrant (right to buy) · Derivative | 19 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · derivative · entry 10 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate family member Disclosed balance after: 19 Underlying: Common Stock · 19 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
PurchaseWarrant (right to buy) · Derivative | 19 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · derivative · entry 9 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate family member Disclosed balance after: 19 Underlying: Common Stock · 19 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
PurchaseWarrant (right to buy) · Derivative | 19 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · derivative · entry 8 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate family member Disclosed balance after: 19 Underlying: Common Stock · 19 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
PurchaseWarrant (right to buy) · Derivative | 107 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · derivative · entry 7 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Spouse Disclosed balance after: 107 Underlying: Common Stock · 107 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
PurchaseWarrant (right to buy) · Derivative | 856 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · derivative · entry 6 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 856 Underlying: Common Stock · 856 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
OtherCommon Stock | 127 | $7.01 | $890.27 |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · nonDerivative · entry 5 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate family member Disclosed balance after: 572 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
OtherCommon Stock | 127 | $7.01 | $890.27 |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · nonDerivative · entry 4 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate family member Disclosed balance after: 572 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
OtherCommon Stock | 127 | $7.01 | $890.27 |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · nonDerivative · entry 3 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate family member Disclosed balance after: 572 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
OtherCommon Stock | 714 | $7.01 | $5,005.14 |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · nonDerivative · entry 2 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Spouse Disclosed balance after: 3,214 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:05 UTC |
Levinson Mitchell E.Director
|
OtherCommon Stock | 5,713 | $7.01 | $40,048.13 |
DisclosureSEC source: 0001209191-20-037225 · doc4.xml · nonDerivative · entry 1 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,713 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:07 UTC |
UECKER DARRINDirector · CEO and President
|
PurchaseWarrant (right to buy) · Derivative | 1,284 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037230 · doc4.xml · derivative · entry 2 UECKER DARRIN · CIK 0001276311 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,284 Underlying: Common Stock · 1,284 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:07 UTC |
UECKER DARRINDirector · CEO and President
|
OtherCommon Stock | 8,563 | $7.01 | $60,026.63 |
DisclosureSEC source: 0001209191-20-037230 · doc4.xml · nonDerivative · entry 1 UECKER DARRIN · CIK 0001276311 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,609 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:09 UTC |
Zanganeh MahkamDirector
|
PurchaseWarrant (right to buy) · Derivative | 307 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037234 · doc4.xml · derivative · entry 6 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate Family Member 1 Disclosed balance after: 307 Underlying: Common Stock · 307 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:09 UTC |
Zanganeh MahkamDirector
|
PurchaseWarrant (right to buy) · Derivative | 3,000 | Not disclosed Strike: $7.01 | Not disclosed |
DisclosureSEC source: 0001209191-20-037234 · doc4.xml · derivative · entry 5 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 shares Expires 2025-06-15 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. F1 · price: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:09 UTC |
Zanganeh MahkamDirector
|
OtherCommon Stock | 2,050 | $7.01 | $14,370.50 |
DisclosureSEC source: 0001209191-20-037234 · doc4.xml · nonDerivative · entry 2 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Immediate Family Member 1 Disclosed balance after: 97,624 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 20:09 UTC |
Zanganeh MahkamDirector
|
OtherCommon Stock | 20,000 | $7.01 | $140,200.00 |
DisclosureSEC source: 0001209191-20-037234 · doc4.xml · nonDerivative · entry 1 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 352,500 F1 · kind: The Reporting Person acquired the shares and warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering, as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. Read SEC document |
| May 18, 2020 Filed May 19, 2020 22:23 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 20,347 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030674 · doc4.xml · derivative · entry 2 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,347 Underlying: Common Stock · 20,347 shares Expires 2030-05-18 F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 22:23 UTC |
DUGGAN ROBERT WDirector · 10% owner
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030674 · doc4.xml · derivative · entry 1 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 18:24 UTC |
Levinson Mitchell E.Director
|
GrantStock Option (right to buy) · Derivative | 15,901 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030676 · doc4.xml · derivative · entry 2 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,901 Underlying: Common Stock · 15,901 shares Expires 2030-05-18 F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 18:24 UTC |
Levinson Mitchell E.Director
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030676 · doc4.xml · derivative · entry 1 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 22:26 UTC |
Zanganeh MahkamDirector
|
GrantStock Option (right to buy) · Derivative | 14,071 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030682 · doc4.xml · derivative · entry 2 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,071 Underlying: Common Stock · 14,071 shares Expires 2030-05-18 F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 22:26 UTC |
Zanganeh MahkamDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030682 · doc4.xml · derivative · entry 1 Zanganeh Maky · CIK 0001507650 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 18:21 UTC |
Clark Kenneth ADirector
|
GrantStock Option (right to buy) · Derivative | 14,071 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030672 · doc4.xml · derivative · entry 2 Clark Kenneth A · CIK 0001561736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,071 Underlying: Common Stock · 14,071 shares Expires 2030-05-18 F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 18:21 UTC |
Clark Kenneth ADirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030672 · doc4.xml · derivative · entry 1 Clark Kenneth A · CIK 0001561736 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 18, 2020 Filed May 19, 2020 22:25 UTC |
Soni Manmeet SinghDirector
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GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $10.66 | $0.00 |
DisclosureSEC source: 0001209191-20-030680 · doc4.xml · derivative · entry 1 Soni Manmeet Singh · CIK 0001569769 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-05-18 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| November 18, 2019 Filed Nov 19, 2019 21:15 UTC |
GARDINER SANDRA A.CFO & EVP Admin. and Finance
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GrantStock Option (right to buy) · Derivative | 103,842 | $0.00 Strike: $13.94 | $0.00 |
DisclosureSEC source: 0001209191-19-057143 · doc4.xml · derivative · entry 2 GARDINER SANDRA A. · CIK 0001218574 · CFO & EVP Admin. and Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,842 Underlying: Common Stock · 103,842 shares Expires 2029-11-18 F2 · derivative.exercise_date: The shares subject to the option shall vest based upon the achievement of performance objectives, with vesting targets set no less than one-fourth (1/4) vesting per year upon achievement of said objectives established by the Compensation Committee of the Issuer, subject to the Reporting Person's continued service through each vesting date. If performance objectives are not set by the Compensation Committee, the shares subject to the option will vest in equal annual installments over the following four years on the anniversary of the grant date, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| November 18, 2019 Filed Nov 19, 2019 21:15 UTC |
GARDINER SANDRA A.CFO & EVP Admin. and Finance
|
GrantStock Option (right to buy) · Derivative | 103,842 | $0.00 Strike: $13.94 | $0.00 |
DisclosureSEC source: 0001209191-19-057143 · doc4.xml · derivative · entry 1 GARDINER SANDRA A. · CIK 0001218574 · CFO & EVP Admin. and Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,842 Underlying: Common Stock · 103,842 shares Expires 2029-11-18 F1 · derivative.exercise_date: The shares subject to the option will vest in equal annual installments over the following four years on the anniversary of the grant date, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| June 03, 2019 Filed Jun 6, 2019 01:31 UTC |
UECKER DARRINDirector · CEO and President
|
Tax withholdingCommon Stock | 36,321 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-034965 · doc4.xml · nonDerivative · entry 1 UECKER DARRIN · CIK 0001276311 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,046 F1 · shares: The shares reflected on this Form 4 represent shares surrendered exclusively for the payment of tax obligations as set forth in Mr. Uecker's June 2017 Restricted Stock Unit grant agreement ("RSU agreement") previously disclosed and filed on Form 8-K. Mr. Uecker has not sold or in any other way disposed of shares in any manner other than pursuant to the contractual provisions of the RSU agreement. F2 · price: The market close price of $11.51 per share on June 3, 2019 was used to calculate the number of withheld shares. F3 · balance_after: Includes shares acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Read SEC document |
| June 03, 2019 Filed Jun 6, 2019 01:32 UTC |
Ebbers EdEVP & GM, Dermatology
|
Tax withholdingCommon Stock | 2,671 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-034966 · doc4.xml · nonDerivative · entry 1 Ebbers Ed · CIK 0001643353 · EVP & GM, Dermatology 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,932 F1 · shares: The shares reflected on this Form 4 represent shares surrendered exclusively for the payment of tax obligations as set forth in Mr. Ebbers' previously disclosed June 2018 Restricted Stock Unit grant agreement ("RSU agreement"). Mr. Ebbers has not sold or in any other way disposed of shares in any manner other than pursuant to the contractual provisions of the RSU agreement. F2 · price: The market close price of $11.51 per share on June 3, 2019 was used to calculate the number of withheld shares. F3 · balance_after: Includes shares acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan. Read SEC document |
| May 16, 2019 Filed May 17, 2019 21:01 UTC |
DUGGAN ROBERT WDirector · 10% owner
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GrantStock Option (right to buy) · Derivative | 13,124 | $0.00 Strike: $13.03 | $0.00 |
DisclosureSEC source: 0001209191-19-031015 · doc4.xml · derivative · entry 2 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,124 Underlying: Common Stock · 13,124 shares Expires 2029-05-16 F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 16, 2019 Filed May 17, 2019 21:01 UTC |
DUGGAN ROBERT WDirector · 10% owner
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GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $13.03 | $0.00 |
DisclosureSEC source: 0001209191-19-031015 · doc4.xml · derivative · entry 1 DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:16 UTC |
FOGARTY THOMAS J M DDirector
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GrantStock Option (right to buy) · Derivative | 10,706 | $0.00 Strike: $13.03 | $0.00 |
DisclosureSEC source: 0001209191-19-030893 · doc4.xml · derivative · entry 2 FOGARTY THOMAS J M D · CIK 0001032298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,706 Underlying: Common Stock · 10,706 shares Expires 2029-05-16 F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:16 UTC |
FOGARTY THOMAS J M DDirector
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GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $13.03 | $0.00 |
DisclosureSEC source: 0001209191-19-030893 · doc4.xml · derivative · entry 1 FOGARTY THOMAS J M D · CIK 0001032298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 16, 2019 Filed May 17, 2019 16:16 UTC |
Levinson Mitchell E.Director
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GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $13.03 | $0.00 |
DisclosureSEC source: 0001209191-19-030895 · doc4.xml · derivative · entry 1 Levinson Mitchell E. · CIK 0001674465 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-05-16 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period, subject to the Reporting Person's continued service through each vesting date. 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.