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Nasdaq · USD

PSNL

Personalis, Inc.

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Tapewire entity
4572
SEC CIK
0001527753
Parsed reports
288

Last 12 months

Inside the activity.

12 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202582
Dec 202540
Jan 202601
Feb 202600
Mar 202600
Apr 202600
May 202603
Jun 202604
Jul 202602
Aug 202600
Sep 202604
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 01, 2020 Filed Oct 5, 2020 23:00 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 26,528 $22.26 $590,513.28
Disclosure

SEC source: 0001209191-20-053885 · doc4.xml · nonDerivative · entry 3

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,750

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · price: The weighted average sale price for the transaction reported was $22.26, and the range of prices was between $22.10 and $22.54. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.

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October 01, 2020 Filed Oct 5, 2020 23:00 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 13,472 $21.67 $291,938.24
Disclosure

SEC source: 0001209191-20-053885 · doc4.xml · nonDerivative · entry 2

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,278

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The weighted average sale price for the transaction reported was $21.67, and the range of prices was between $21.03 and $22.02. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
October 01, 2020 Filed Oct 5, 2020 23:00 UTC
Chen RichardChief Scientific Officer
Exercise / conversionCommon Stock 37,452 $0.44 $16,478.88
Disclosure

SEC source: 0001209191-20-053885 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,750

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.

Read SEC document
September 17, 2020 Filed Sep 21, 2020 23:03 UTC
Tachibana AaronChief Financial Officer
SaleCommon Stock 2,463 $22.74 $56,008.62
Disclosure

SEC source: 0001209191-20-051371 · doc4.xml · nonDerivative · entry 1

Tachibana Aaron · CIK 0001401786 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,608

F1 · kind: Shares sold to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
September 17, 2020 Filed Sep 21, 2020 23:05 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 1,120 $22.74 $25,468.80
Disclosure

SEC source: 0001209191-20-051372 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,298

F1 · kind: Shares sold to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
September 02, 2020 Filed Sep 4, 2020 22:41 UTC
Tachibana AaronChief Financial Officer
SaleCommon Stock 2,899 $22.99 $66,648.01
Disclosure

SEC source: 0001209191-20-049658 · doc4.xml · nonDerivative · entry 1

Tachibana Aaron · CIK 0001401786 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,071

F1 · kind: Shares sold to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
September 02, 2020 Filed Sep 4, 2020 22:39 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 291 $22.99 $6,690.09
Disclosure

SEC source: 0001209191-20-049655 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,418

F1 · kind: Shares sold to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
August 18, 2020 Filed Aug 20, 2020 20:00 UTC SaleCommon Stock, $0.0001 par value per share 986,842 $19.00 $18,749,998.00
Disclosure

SEC source: 0000905718-20-000875 · ownership.xml · nonDerivative · entry 1

Abingworth LLP · CIK 0001397144 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,462,452

F1 · ownership.nature: The shares are held by Abingworth Bioventures V LP ("Abingworth V"). Abingworth Bioventures V GP LP ("Abingworth GP") serves as the general partner of Abingworth V. Abingworth General Partner V LLP, serves as the general partner of Abingworth GP. Abingworth V (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner V LLP) has delegated to Abingworth LLP ("ALLP"), all investment and dispositive power over the securities held by Abingworth V. ALLP holds the reported securities indirectly through Abingworth V. ALLP disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, Abingworth V or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 14, 2020 Filed Aug 18, 2020 17:01 UTC
Liew JeremyAffiliate of 10% Owner
Mhatre RaviAffiliate of 10% Owner
Janmohamed ArifAffiliate of 10% Owner
PurchaseCommon Stock 1,315,789 $19.00 $24,999,991.00
Disclosure

SEC source: 0001209191-20-047228 · doc4.xml · nonDerivative · entry 1

Lightspeed Venture Partners Select IV, L.P. · CIK 0001805207 · Affiliate of 10% Owner

Liew Jeremy · CIK 0001700539 · Affiliate of 10% Owner

Mhatre Ravi · CIK 0001366050 · Affiliate of 10% Owner

Lightspeed General Partner Select IV, L.P. · CIK 0001813995 · Affiliate of 10% Owner

Lightspeed Ultimate General Partner Select IV, L.L.C. · CIK 0001813999 · Affiliate of 10% Owner

Janmohamed Arif · CIK 0001813938 · Affiliate of 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,774,240

F1 · ownership.direct: Shares held by Lightspeed Venture Partners Select IV, L.P. ("Lightspeed Select IV"). Lightspeed General Partner Select IV, L.P. ("LGP Select IV") is the general partner of Lightspeed Select IV. Lightspeed Ultimate General Partner Select IV, L.L.C. ("LUGP Select IV") is the general partner of LGP Select IV. Jeremy Liew, Ravi Mhatre and Arif Janmohamed are the managers of LUGP Select IV and share voting and dispositive power with respect to the shares held by Lightspeed Select IV. LGP Select IV, LUGP Select IV and Messrs. Liew, Mhatre and Janmohamed disclaim beneficial ownership of the shares held by Lightspeed Select IV except to the extent of their respective pecuniary interests therein.

F1 · ownership.nature: Shares held by Lightspeed Venture Partners Select IV, L.P. ("Lightspeed Select IV"). Lightspeed General Partner Select IV, L.P. ("LGP Select IV") is the general partner of Lightspeed Select IV. Lightspeed Ultimate General Partner Select IV, L.L.C. ("LUGP Select IV") is the general partner of LGP Select IV. Jeremy Liew, Ravi Mhatre and Arif Janmohamed are the managers of LUGP Select IV and share voting and dispositive power with respect to the shares held by Lightspeed Select IV. LGP Select IV, LUGP Select IV and Messrs. Liew, Mhatre and Janmohamed disclaim beneficial ownership of the shares held by Lightspeed Select IV except to the extent of their respective pecuniary interests therein.

Read SEC document
August 14, 2020 Filed Aug 18, 2020 21:35 UTC
LUDLUM KENDirector
SaleCommon Stock 6,470 $20.42 $132,117.40
Disclosure

SEC source: 0001209191-20-047391 · doc4.xml · nonDerivative · entry 2

LUDLUM KEN · CIK 0001255825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: The weighted average sale price for the transaction reported was $20.42, and the range of prices was between $20.40 and $20.48 per share. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
August 14, 2020 Filed Aug 18, 2020 21:35 UTC
LUDLUM KENDirector
SaleCommon Stock 13,530 $20.05 $271,276.50
Disclosure

SEC source: 0001209191-20-047391 · doc4.xml · nonDerivative · entry 1

LUDLUM KEN · CIK 0001255825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,470

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The weighted average sale price for the transaction reported was $20.05, and the range of prices was between $19.40 and $20.39 per share. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 01:47 UTC
Chen RichardChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 653 $0.00 Strike: $1.84 $0.00
Disclosure

SEC source: 0001209191-20-047402 · doc4.xml · derivative · entry 6

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,346

Underlying: Common Stock · 653 shares

Expires 2023-11-13

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.

F5 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 01:47 UTC
Chen RichardChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 27,913 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001209191-20-047402 · doc4.xml · derivative · entry 5

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,336

Underlying: Common Stock · 27,913 shares

Expires 2022-03-07

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.

F5 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 01:47 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 1,200 $20.47 $24,564.00
Disclosure

SEC source: 0001209191-20-047402 · doc4.xml · nonDerivative · entry 4

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,709

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan by the reporting person.

F4 · price: The weighted average sale price for the transaction reported was $20.47, and the range of prices was between $20.45 to $20.48 per share. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 01:47 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 27,366 $20.17 $551,972.22
Disclosure

SEC source: 0001209191-20-047402 · doc4.xml · nonDerivative · entry 3

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,909

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan by the reporting person.

F3 · price: The weighted average sale price for the transaction reported was $20.17, and the range of prices was between $19.45 to $20.44 per share. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 01:47 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 3,434 $19.76 $67,855.84
Disclosure

SEC source: 0001209191-20-047402 · doc4.xml · nonDerivative · entry 2

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,275

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan by the reporting person.

F2 · price: The weighted average sales price for the transaction reported was $19.76, and the range of prices was between $19.36 and $20.18 per share. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
August 14, 2020 Filed Aug 19, 2020 01:47 UTC
Chen RichardChief Scientific Officer
Exercise / conversionCommon Stock 28,566 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-047402 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,709

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.

Read SEC document
June 22, 2020 Filed Jun 24, 2020 21:48 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 1,085 $12.37 $13,421.45
Disclosure

SEC source: 0001209191-20-038758 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,143

F1 · kind: Shares sold to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
June 05, 2020 Filed Jun 11, 2020 23:06 UTC Amendment
Chen RichardChief Scientific Officer
SaleCommon Stock 272 $14.34 $3,900.48
Disclosure

SEC source: 0001209191-20-036075 · doc4a.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,228

F1 · kind: Shares sold to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
June 02, 2020 Filed Jun 3, 2020 17:00 UTC
Liew JeremyAffiliate of 10% Owner
Mhatre RaviAffiliate of 10% Owner
Janmohamed ArifAffiliate of 10% Owner
PurchaseCommon Stock 380,654 $13.98 $5,321,542.92
Disclosure

SEC source: 0001209191-20-034108 · doc4.xml · nonDerivative · entry 2

Lightspeed Venture Partners Select IV, L.P. · CIK 0001805207 · Affiliate of 10% Owner

Liew Jeremy · CIK 0001700539 · Affiliate of 10% Owner

Mhatre Ravi · CIK 0001366050 · Affiliate of 10% Owner

Lightspeed General Partner Select IV, L.P. · CIK 0001813995 · Affiliate of 10% Owner

Lightspeed Ultimate General Partner Select IV, L.L.C. · CIK 0001813999 · Affiliate of 10% Owner

Janmohamed Arif · CIK 0001813938 · Affiliate of 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 458,451

F3 · price: This transaction was executed in multiple trades at prices ranging from $13.500 to $14.105. The price reported above reflects the weighted average price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.direct: Shares held by Lightspeed Venture Partners Select IV, L.P. ("Lightspeed Select IV"). Lightspeed General Partner Select IV, L.P. ("LGP Select IV") is the general partner of Lightspeed Select IV. Lightspeed Ultimate General Partner Select IV, L.L.C. ("LUGP Select IV") is the general partner of LGP Select IV. Jeremy Liew, Ravi Mhatre and Arif Janmohamed are the managers of LUGP Select IV and share voting and dispositive power with respect to the shares held by Lightspeed Select IV. LGP Select IV, LUGP Select IV and Messrs. Liew, Mhatre and Janmohamed disclaim beneficial ownership of the shares held by Lightspeed Select IV except to the extent of their respective pecuniary interests therein.

F2 · ownership.nature: Shares held by Lightspeed Venture Partners Select IV, L.P. ("Lightspeed Select IV"). Lightspeed General Partner Select IV, L.P. ("LGP Select IV") is the general partner of Lightspeed Select IV. Lightspeed Ultimate General Partner Select IV, L.L.C. ("LUGP Select IV") is the general partner of LGP Select IV. Jeremy Liew, Ravi Mhatre and Arif Janmohamed are the managers of LUGP Select IV and share voting and dispositive power with respect to the shares held by Lightspeed Select IV. LGP Select IV, LUGP Select IV and Messrs. Liew, Mhatre and Janmohamed disclaim beneficial ownership of the shares held by Lightspeed Select IV except to the extent of their respective pecuniary interests therein.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 17:00 UTC
Liew JeremyAffiliate of 10% Owner
Mhatre RaviAffiliate of 10% Owner
Janmohamed ArifAffiliate of 10% Owner
PurchaseCommon Stock 77,797 $12.98 $1,009,805.06
Disclosure

SEC source: 0001209191-20-034108 · doc4.xml · nonDerivative · entry 1

Lightspeed Venture Partners Select IV, L.P. · CIK 0001805207 · Affiliate of 10% Owner

Liew Jeremy · CIK 0001700539 · Affiliate of 10% Owner

Mhatre Ravi · CIK 0001366050 · Affiliate of 10% Owner

Lightspeed General Partner Select IV, L.P. · CIK 0001813995 · Affiliate of 10% Owner

Lightspeed Ultimate General Partner Select IV, L.L.C. · CIK 0001813999 · Affiliate of 10% Owner

Janmohamed Arif · CIK 0001813938 · Affiliate of 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 77,797

F1 · price: This transaction was executed in multiple trades at prices ranging from $12.62 to $13.43. The price reported above reflects the weighted average price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.direct: Shares held by Lightspeed Venture Partners Select IV, L.P. ("Lightspeed Select IV"). Lightspeed General Partner Select IV, L.P. ("LGP Select IV") is the general partner of Lightspeed Select IV. Lightspeed Ultimate General Partner Select IV, L.L.C. ("LUGP Select IV") is the general partner of LGP Select IV. Jeremy Liew, Ravi Mhatre and Arif Janmohamed are the managers of LUGP Select IV and share voting and dispositive power with respect to the shares held by Lightspeed Select IV. LGP Select IV, LUGP Select IV and Messrs. Liew, Mhatre and Janmohamed disclaim beneficial ownership of the shares held by Lightspeed Select IV except to the extent of their respective pecuniary interests therein.

F2 · ownership.nature: Shares held by Lightspeed Venture Partners Select IV, L.P. ("Lightspeed Select IV"). Lightspeed General Partner Select IV, L.P. ("LGP Select IV") is the general partner of Lightspeed Select IV. Lightspeed Ultimate General Partner Select IV, L.L.C. ("LUGP Select IV") is the general partner of LGP Select IV. Jeremy Liew, Ravi Mhatre and Arif Janmohamed are the managers of LUGP Select IV and share voting and dispositive power with respect to the shares held by Lightspeed Select IV. LGP Select IV, LUGP Select IV and Messrs. Liew, Mhatre and Janmohamed disclaim beneficial ownership of the shares held by Lightspeed Select IV except to the extent of their respective pecuniary interests therein.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 23:21 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 289 $13.19 $3,811.91
Disclosure

SEC source: 0001209191-20-034273 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,211

F1 · kind: Shares sold to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
May 15, 2020 Filed May 19, 2020 22:14 UTC GrantStock Option (right to buy) · Derivative 14,000 $0.00 Strike: $11.22 $0.00
Disclosure

SEC source: 0001209191-20-030663 · doc4.xml · derivative · entry 1

BOWMAN A BLAINE · CIK 0001008891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-05-14

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

Read SEC document
May 15, 2020 Filed May 19, 2020 22:15 UTC GrantStock Option (right to buy) · Derivative 14,000 $0.00 Strike: $11.22 $0.00
Disclosure

SEC source: 0001209191-20-030665 · doc4.xml · derivative · entry 1

BALTHROP PATRICK J · CIK 0001284839 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-05-14

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change of control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

Read SEC document
May 15, 2020 Filed May 19, 2020 22:10 UTC GrantStock Option (right to buy) · Derivative 14,000 $0.00 Strike: $11.22 $0.00
Disclosure

SEC source: 0001209191-20-030651 · doc4.xml · derivative · entry 1

EASTHAM KARIN · CIK 0001231845 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-05-14

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

Read SEC document
May 15, 2020 Filed May 19, 2020 18:13 UTC
RICCI PAULDirector
GrantStock Option (right to buy) · Derivative 14,000 $0.00 Strike: $11.22 $0.00
Disclosure

SEC source: 0001209191-20-030660 · doc4.xml · derivative · entry 1

RICCI PAUL · CIK 0001218326 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-05-14

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

Read SEC document
May 15, 2020 Filed May 19, 2020 18:12 UTC
LUDLUM KENDirector
GrantStock Option (right to buy) · Derivative 14,000 $0.00 Strike: $11.22 $0.00
Disclosure

SEC source: 0001209191-20-030657 · doc4.xml · derivative · entry 1

LUDLUM KEN · CIK 0001255825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-05-14

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

Read SEC document
May 15, 2020 Filed May 19, 2020 18:11 UTC GrantStock Option (right to buy) · Derivative 14,000 $0.00 Strike: $11.22 $0.00
Disclosure

SEC source: 0001209191-20-030653 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-05-14

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

Read SEC document
May 15, 2020 Filed May 19, 2020 22:12 UTC GrantStock Option (right to buy) · Derivative 14,000 $0.00 Strike: $11.22 $0.00
Disclosure

SEC source: 0001209191-20-030655 · doc4.xml · derivative · entry 1

MacQuitty Jonathan · CIK 0001779844 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-05-14

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

Read SEC document
March 27, 2020 Filed Mar 27, 2020 23:59 UTC
Chen RichardChief Scientific Officer
Exercise / conversionStock Option (right to buy) · Derivative 15,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001209191-20-021561 · doc4.xml · derivative · entry 4

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,249

Underlying: Common Stock · 15,000 shares

Expires 2022-03-07

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

F1 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable.

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March 27, 2020 Filed Mar 27, 2020 23:59 UTC
Chen RichardChief Scientific Officer
Exercise / conversionCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-021561 · doc4.xml · nonDerivative · entry 2

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,500

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.

Read SEC document
March 25, 2020 Filed Mar 27, 2020 23:59 UTC
Chen RichardChief Scientific Officer
Exercise / conversionStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001209191-20-021561 · doc4.xml · derivative · entry 3

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,249

Underlying: Common Stock · 10,000 shares

Expires 2022-03-07

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

F1 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable.

Read SEC document
March 25, 2020 Filed Mar 27, 2020 23:59 UTC
Chen RichardChief Scientific Officer
Exercise / conversionCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-021561 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,500

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.

Read SEC document
March 17, 2020 Filed Mar 19, 2020 21:45 UTC
West John StephenDirector · President and CEO
GrantStock Option (right to buy) · Derivative 421,000 $0.00 Strike: $5.10 $0.00
Disclosure

SEC source: 0001209191-20-020365 · doc4.xml · derivative · entry 2

West John Stephen · CIK 0001779811 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,000

Underlying: Common Stock · 421,000 shares

Expires 2030-03-16

F2 · derivative.exercise_date: The shares subject to the option will vest in full when the Company's market capitalization, calculated as the closing price of the Company's common stock on the Nasdaq Global Stock Market multiplied by the number of shares of the Company's common stock outstanding, averages over or equal to $1 billion over a 30 calendar day period. Upon a change in control, the vesting of the shares subject to the option will accelerate on a pro rata basis based on the price per share in such change in control transaction multiplied by the number of shares of the Company's common stock outstanding at the time of completion of such transaction divided by $1 billion, with up to 100% of the shares eligible for such accelerated vesting.

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March 17, 2020 Filed Mar 19, 2020 21:45 UTC
West John StephenDirector · President and CEO
GrantStock Option (right to buy) · Derivative 330,000 $0.00 Strike: $5.10 $0.00
Disclosure

SEC source: 0001209191-20-020365 · doc4.xml · derivative · entry 1

West John Stephen · CIK 0001779811 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Stock · 330,000 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The shares subject to the option vest in 36 equal monthly installments starting on April 17, 2020.

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March 16, 2020 Filed Mar 19, 2020 00:43 UTC
Tachibana AaronChief Financial Officer
GrantCommon Stock 82,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020139 · doc4.xml · nonDerivative · entry 1

Tachibana Aaron · CIK 0001401786 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,970

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. The RSUs vest in 16 equal quarterly installments with the first installment vesting on June 16, 2020.

F2 · balance_after: Includes 1,470 shares acquired under the Issuer's Employee Stock Purchase Plan on November 1, 2019 which has been corrected from the prior Form 4 filed on December 3, 2019.

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March 16, 2020 Filed Mar 19, 2020 00:43 UTC
Tachibana AaronChief Financial Officer
GrantCommon Stock 82,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020138 · doc4.xml · nonDerivative · entry 1

Tachibana Aaron · CIK 0001401786 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,970

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. The RSUs vest in 16 equal quarterly installments with the first installment vesting on June 16, 2020.

F2 · balance_after: Includes 1,470 shares acquired under the Issuer's Employee Stock Purchase Plan on November 1, 2019 which has been corrected from the prior Form 4 filed on December 3, 2019.

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March 16, 2020 Filed Mar 19, 2020 00:45 UTC
Musil ClintonChief Business Officer
GrantCommon Stock (right to Buy) · Derivative 11,000 $0.00 Strike: $4.75 $0.00
Disclosure

SEC source: 0001209191-20-020141 · doc4.xml · derivative · entry 2

Musil Clinton · CIK 0001779886 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2030-03-16

F2 · derivative.exercise_date: The shares subject to the option vest in 36 equal monthly installments with the first installment vesting on April 16, 2020.

Read SEC document
March 16, 2020 Filed Mar 19, 2020 00:45 UTC
Musil ClintonChief Business Officer
GrantCommon Stock 11,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020141 · doc4.xml · nonDerivative · entry 1

Musil Clinton · CIK 0001779886 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. The RSUs vest in 16 equal quarterly installments with the first installment vesting on June 16, 2020.

Read SEC document
March 16, 2020 Filed Mar 19, 2020 00:44 UTC
Chen RichardChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 37,500 $0.00 Strike: $4.75 $0.00
Disclosure

SEC source: 0001209191-20-020140 · doc4.xml · derivative · entry 2

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2030-03-16

F2 · derivative.exercise_date: The shares subject to the option vest in 36 equal monthly installments with the first installment vesting on April 16, 2020.

Read SEC document
March 16, 2020 Filed Mar 19, 2020 00:44 UTC
Chen RichardChief Scientific Officer
GrantCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020140 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,500

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. The RSUs vest in 16 equal quarterly installments with the first installment vesting on June 16, 2020.

Read SEC document
March 09, 2020 Filed Mar 11, 2020 21:37 UTC
Chen RichardChief Scientific Officer
Exercise / conversionStock Option (right to buy) · Derivative 1,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001209191-20-018191 · doc4.xml · derivative · entry 3

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,249

Underlying: Common Stock · 1,000 shares

Expires 2022-03-07

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 shares subject to the option are fully vested and exercisable.

Read SEC document
March 09, 2020 Filed Mar 11, 2020 21:37 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 1,000 $7.84 $7,840.00
Disclosure

SEC source: 0001209191-20-018191 · doc4.xml · nonDerivative · entry 2

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan by the reporting person.

Read SEC document
March 09, 2020 Filed Mar 11, 2020 21:37 UTC
Chen RichardChief Scientific Officer
Exercise / conversionCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-018191 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

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.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 23:05 UTC
Chen RichardChief Scientific Officer
Exercise / conversionStock Option (right to buy) · Derivative 1,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001209191-20-016310 · doc4.xml · derivative · entry 3

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,249

Underlying: Common Stock · 1,000 shares

Expires 2022-03-07

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 shares subject to the option are fully vested and exercisable.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 23:05 UTC
Chen RichardChief Scientific Officer
SaleCommon stock 1,000 $8.76 $8,760.00
Disclosure

SEC source: 0001209191-20-016310 · doc4.xml · nonDerivative · entry 2

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan by the reporting person.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 23:05 UTC
Chen RichardChief Scientific Officer
Exercise / conversionCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016310 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

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.

Read SEC document
February 25, 2020 Filed Feb 28, 2020 02:40 UTC
Chen RichardChief Scientific Officer
SaleCommon Stock 101,000 $8.77 $885,770.00
Disclosure

SEC source: 0001209191-20-013622 · doc4.xml · nonDerivative · entry 2

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan by the reporting person.

F2 · price: The weighted average sale price for the transaction reported was $8.77, and the range of prices were between $8.445 and 9.29 per share. Upon request from the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.

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February 25, 2020 Filed Feb 28, 2020 02:40 UTC
Chen RichardChief Scientific Officer
Exercise / conversionCommon Stock 101,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-013622 · doc4.xml · nonDerivative · entry 1

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

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.

Read SEC document
February 25, 2020 Filed Mar 11, 2020 21:34 UTC Amendment
Chen RichardChief Scientific Officer
Exercise / conversionStock Option (right to buy) · Derivative 101,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001209191-20-018188 · doc4a.xml · derivative · entry 3

Chen Richard · CIK 0001779787 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,249

Underlying: Common Stock · 101,000 shares

Expires 2022-03-07

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.

F3 · derivative.exercise_date: The Shares subject to the option are fully vested and exercisable.

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.