Last 12 months
Inside the activity.
3 purchase rows · 60 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 2 |
| Dec 2025 | 0 | 1 |
| Jan 2026 | 0 | 2 |
| Feb 2026 | 2 | 2 |
| Mar 2026 | 1 | 3 |
| Apr 2026 | 0 | 5 |
| May 2026 | 0 | 3 |
| Jun 2026 | 0 | 3 |
| Jul 2026 | 0 | 4 |
| Aug 2026 | 0 | 5 |
| Sep 2026 | 0 | 13 |
| Oct 2026 | 0 | 17 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 25, 2021 Filed Jun 29, 2021 17:30 UTC |
KIRITSY CHRISTOPHER PDirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001562180-21-004561 · primarydocument.xml · derivative · entry 1 KIRITSY CHRISTOPHER P · CIK 0001261156 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-06-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2022 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 25, 2021 Filed Jun 29, 2021 21:23 UTC |
GERAGHTY JAMES ADirector
|
GrantStock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001562180-21-004559 · primarydocument.xml · derivative · entry 1 GERAGHTY JAMES A · CIK 0001239746 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2031-06-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2022 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 25, 2021 Filed Jun 29, 2021 17:26 UTC |
Kiener Peter ADirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001562180-21-004560 · primarydocument.xml · derivative · entry 1 Kiener Peter A · CIK 0001328146 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-06-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2022 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 25, 2021 Filed Jun 29, 2021 17:33 UTC |
Richman MichaelDirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001562180-21-004562 · primarydocument.xml · derivative · entry 1 Richman Michael · CIK 0001366265 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-06-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2022 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 25, 2021 Filed Jun 29, 2021 21:36 UTC |
Said Maya R.Director
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001562180-21-004563 · primarydocument.xml · derivative · entry 1 Said Maya R. · CIK 0001783701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-06-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2022 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 21:08 UTC |
Bures ThomasVice President, Finance
|
GrantStock Options (Right to buy) · Derivative | 150,000 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001562180-21-002058 · primarydocument.xml · derivative · entry 1 Bures Thomas · CIK 0001787029 · Vice President, Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2031-03-04 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on March 4, 2022 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 21:07 UTC |
Yoder Stephen S.Director · Chief Executive Officer
|
GrantStock Options (Right to buy) · Derivative | 530,000 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001562180-21-002056 · primarydocument.xml · derivative · entry 1 Yoder Stephen S. · CIK 0001645577 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 530,000 Underlying: Common Stock · 530,000 shares Expires 2031-03-04 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on March 4, 2022 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 21:08 UTC |
Kaufmann HittoSVP, Chief Scientific Officer
|
GrantStock Options (Right to buy) · Derivative | 220,000 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001562180-21-002057 · primarydocument.xml · derivative · entry 1 Kaufmann Hitto · CIK 0001787104 · SVP, Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,000 Underlying: Common Stock · 220,000 shares Expires 2031-03-04 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on March 4, 2022 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 22:15 UTC |
Aquilo Capital Management, LLC10% owner
|
SaleCommon Stock, $0.001 par value | 1,900,000 | $2.95 | $5,605,000.00 |
DisclosureSEC source: 0001591986-20-000011 · primary_doc.xml · nonDerivative · entry 1 Aquilo Capital Management, LLC · CIK 0001591986 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 3,675,530 F1 · security: The reporting persons are Aquilo Capital Management, LLC ("Aquilo") and Marc R. Schneidman. Aquilo is the general partner and investment adviser of investment funds that hold these securities directly for the benefit of their investors. Aquilo may be deemed to beneficially own such securities indirectly as the investment adviser and general partner of those funds, and Mr. Schneidman may be deemed to beneficially own them indirectly as the control person of Aquilo. Each of Aquilo and Mr. Schneidman disclaims beneficial ownership of such securities except to the extent of his or its pecuniary interest therein. F1 · ownership.nature: The reporting persons are Aquilo Capital Management, LLC ("Aquilo") and Marc R. Schneidman. Aquilo is the general partner and investment adviser of investment funds that hold these securities directly for the benefit of their investors. Aquilo may be deemed to beneficially own such securities indirectly as the investment adviser and general partner of those funds, and Mr. Schneidman may be deemed to beneficially own them indirectly as the control person of Aquilo. Each of Aquilo and Mr. Schneidman disclaims beneficial ownership of such securities except to the extent of his or its pecuniary interest therein. Read SEC document |
| June 25, 2020 Filed Jun 25, 2020 20:46 UTC |
Said Maya R.Director
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004693 · primarydocument.xml · derivative · entry 1 Said Maya R. · CIK 0001783701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:44 UTC |
Barbier AnnDirector
|
GrantStock Options (Right to buy) · Derivative | 40,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004686 · primarydocument.xml · derivative · entry 1 Barbier Ann · CIK 0001737596 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-23 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:46 UTC |
Sherman Matthew LDirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004692 · primarydocument.xml · derivative · entry 1 Sherman Matthew L · CIK 0001325710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-23 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 17:05 UTC Amendment |
KIRITSY CHRISTOPHER PDirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004696 · primarydocument.xml · derivative · entry 1 KIRITSY CHRISTOPHER P · CIK 0001261156 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-23 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:45 UTC |
KIRITSY CHRISTOPHER PDirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004689 · primarydocument.xml · derivative · entry 1 KIRITSY CHRISTOPHER P · CIK 0001261156 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-01-23 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 20:45 UTC |
GERAGHTY JAMES ADirector
|
GrantStock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004687 · primarydocument.xml · derivative · entry 1 GERAGHTY JAMES A · CIK 0001239746 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2030-06-23 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:45 UTC |
Kiener Peter ADirector
|
GrantStock Options (Right to buy) · Derivative | 40,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004688 · primarydocument.xml · derivative · entry 1 Kiener Peter A · CIK 0001328146 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-23 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:45 UTC |
Richman MichaelDirector
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004691 · primarydocument.xml · derivative · entry 1 Richman Michael · CIK 0001366265 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-23 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 20:59 UTC Amendment |
Said Maya R.Director
|
GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0001562180-20-004695 · primarydocument.xml · derivative · entry 1 Said Maya R. · CIK 0001783701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-23 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on June 23, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 21:03 UTC |
Bures ThomasVice President, Finance
|
GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001562180-20-001866 · primarydocument.xml · derivative · entry 1 Bures Thomas · CIK 0001787029 · Vice President, Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2030-02-27 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 27, 2021 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 21:02 UTC |
Kaufmann HittoSVP, Chief Scientific Officer
|
GrantStock Option (Right to Buy) · Derivative | 45,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001562180-20-001865 · primarydocument.xml · derivative · entry 1 Kaufmann Hitto · CIK 0001787104 · SVP, Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2030-02-27 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 27, 2021 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 21:02 UTC |
Yoder Stephen S.Director · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 420,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001562180-20-001864 · primarydocument.xml · derivative · entry 1 Yoder Stephen S. · CIK 0001645577 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,000 Underlying: Common Stock · 420,000 shares Expires 2030-02-27 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 27, 2021 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 16:21 UTC |
Barbier AnnDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001562180-20-000622 · primarydocument.xml · derivative · entry 1 Barbier Ann · CIK 0001737596 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 16:22 UTC |
Sherman Matthew LDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001562180-20-000625 · primarydocument.xml · derivative · entry 1 Sherman Matthew L · CIK 0001325710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 16:20 UTC |
KIRITSY CHRISTOPHER PDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001562180-20-000621 · primarydocument.xml · derivative · entry 1 KIRITSY CHRISTOPHER P · CIK 0001261156 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 21:18 UTC |
GERAGHTY JAMES ADirector
|
GrantStock Option (right to buy) · Derivative | 22,500 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001562180-20-000617 · primarydocument.xml · derivative · entry 1 GERAGHTY JAMES A · CIK 0001239746 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires 2030-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 16:22 UTC |
Kiener Peter ADirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001562180-20-000623 · primarydocument.xml · derivative · entry 1 Kiener Peter A · CIK 0001328146 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 16:18 UTC |
Richman MichaelDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001562180-20-000619 · primarydocument.xml · derivative · entry 2 Richman Michael · CIK 0001366265 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-01-25 F2 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 16:18 UTC |
Richman MichaelDirector
|
GrantStock Option (right to buy) · Derivative | 5,431 | $2.11 Strike: $3.23 | $11,443.12 |
DisclosureSEC source: 0001562180-20-000619 · primarydocument.xml · derivative · entry 1 Richman Michael · CIK 0001366265 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,431 Underlying: Common Stock · 5,431 shares Expires 2030-01-25 F1 · price: The stock option was issued to the Reporting Person, who elected to take stock options in lieu of $11,445.56 in cash compensation for services as a director and committee member, which compensation is payable to the Reporting Person quarterly in arrears pursuant to the Issuer's non-employee director compensation policy. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 21:22 UTC |
Said Maya R.Director
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001562180-20-000624 · primarydocument.xml · derivative · entry 1 Said Maya R. · CIK 0001783701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2020 Filed Jan 28, 2020 21:19 UTC |
BIZZARI JEAN-PIERREDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001562180-20-000620 · primarydocument.xml · derivative · entry 1 BIZZARI JEAN-PIERRE · CIK 0001630914 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2021, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 16:38 UTC |
Richman MichaelDirector
|
GrantStock Options (right to buy) · Derivative | 5,165 | $2.12 Strike: $3.24 | $10,939.47 |
DisclosureSEC source: 0001562180-19-005263 · primarydocument.xml · derivative · entry 1 Richman Michael · CIK 0001366265 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,165 Underlying: Common Stock · 5,165 shares Expires 2029-10-25 F1 · price: The stock option was issued to the Reporting Person, who elected to take stock options in lieu of $10,937.50 in cash compensation for services as a director and committee member, which compensation is payable to the Reporting Person quarterly in arrears pursuant to the Issuer's non-employee director compensation policy. Read SEC document |
| September 06, 2019 Filed Sep 10, 2019 22:00 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
SaleCommon Stock, $0.001 par value | 1,128 | $4.50 | $5,075.32 |
DisclosureSEC source: 0000921895-19-002391 · form407422010_09102019.xml · nonDerivative · entry 3 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 314,139 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that previously owned in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS. Read SEC document |
| September 06, 2019 Filed Sep 10, 2019 22:00 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
SaleCommon Stock, $0.001 par value | 25,720 | $4.50 | $115,724.57 |
DisclosureSEC source: 0000921895-19-002391 · form407422010_09102019.xml · nonDerivative · entry 2 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,233,074 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that previously owned in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2. Read SEC document |
| September 06, 2019 Filed Sep 10, 2019 22:00 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
SaleCommon Stock, $0.001 par value | 23,152 | $4.50 | $104,170.11 |
DisclosureSEC source: 0000921895-19-002391 · form407422010_09102019.xml · nonDerivative · entry 1 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,385,055 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that previously owned in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF. Read SEC document |
| August 30, 2019 Filed Sep 3, 2019 21:49 UTC |
Kaufmann HittoSVP, Chief Scientific Officer
|
GrantStock Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $4.65 | $0.00 |
DisclosureSEC source: 0001562180-19-004585 · primarydocument.xml · derivative · entry 1 Kaufmann Hitto · CIK 0001787104 · SVP, Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2029-08-30 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on August 30, 2020 and vests as to an additional 6.25% of the option shares at the end of each successive calendar quarter thereafter beginning on December 31, 2020. Read SEC document |
| July 31, 2019 Filed Aug 1, 2019 22:22 UTC |
Said Maya R.Director
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001562180-19-004130 · primarydocument.xml · derivative · entry 1 Said Maya R. · CIK 0001783701 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-07-31 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on July 31, 2020, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| July 25, 2019 Filed Jul 26, 2019 16:13 UTC |
Richman MichaelDirector
|
GrantStock Option (right to buy) · Derivative | 3,789 | $2.89 Strike: $4.40 | $10,950.21 |
DisclosureSEC source: 0001562180-19-004075 · primarydocument.xml · derivative · entry 1 Richman Michael · CIK 0001366265 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,789 Underlying: Common Stock · 3,789 shares Expires 2029-07-25 F1 · price: The stock option was issued to the Reporting Person, who elected to take stock options in lieu of $10,937.50 in cash compensation for services as a director and committee member, which compensation is payable to the Reporting Person quarterly in arrears pursuant to the Issuer's non-employee director compensation policy. Read SEC document |
| April 25, 2019 Filed Apr 30, 2019 17:36 UTC |
Richman MichaelDirector
|
GrantStock Option (right to buy) · Derivative | 5,640 | $1.94 Strike: $2.94 | $10,941.60 |
DisclosureSEC source: 0001562180-19-002447 · primarydocument.xml · derivative · entry 1 Richman Michael · CIK 0001366265 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,640 Underlying: Common Stock · 5,640 shares Expires 2029-04-25 F1 · price: The stock option was issued to the Reporting Person, who elected to take stock options in lieu of $10,937.50 in cash compensation for services as a director and committee member, which compensation is payable to the Reporting Person quarterly in arrears, pursuant to the Issuer's non-employee director compensation policy. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 22:24 UTC |
Reine AllanChief Financial Officer
|
GrantStock Options (Right to Buy) · Derivative | 162,500 | $0.00 Strike: $3.09 | $0.00 |
DisclosureSEC source: 0001562180-19-001487 · primarydocument.xml · derivative · entry 1 Reine Allan · CIK 0001714023 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,500 Underlying: Common Stock · 162,500 shares Expires 2029-02-26 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 26, 2020 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 22:25 UTC |
Matis LouisChief Development Officer
|
GrantStock Option (Right to Buy) · Derivative | 96,500 | $0.00 Strike: $3.09 | $0.00 |
DisclosureSEC source: 0001562180-19-001488 · primarydocument.xml · derivative · entry 1 Matis Louis · CIK 0001650991 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,500 Underlying: Common Stock · 96,500 shares Expires 2029-02-26 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 26, 2020 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 22:23 UTC |
Yoder Stephen S.Director · Chief Executive Officer
|
GrantStock Options (Right to Buy) · Derivative | 380,000 | $0.00 Strike: $3.09 | $0.00 |
DisclosureSEC source: 0001562180-19-001486 · primarydocument.xml · derivative · entry 1 Yoder Stephen S. · CIK 0001645577 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,000 Underlying: Common Stock · 380,000 shares Expires 2029-02-26 F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 26, 2020 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 16:57 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
OtherSeries B Convertible Preferred Stock, $0.001 par value · Derivative | 284 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-19-000178 · form407422010_01312019.xml · derivative · entry 6 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284 Underlying: Common Stock, $0.001 par value · 284,000 shares Expires not disclosed F6 · derivative.exercise_price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F9 · kind: Pursuant to a letter agreement between the Issuer and certain of the Reporting Persons, the Reporting Persons agreed to exchange an aggregate of 5,000,000 shares of Common Stock in consideration for a total of 5,000 shares of Series B Preferred Stock. F6 · price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F6 · derivative.exercise_date: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F6 · derivative.expiration_date: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 16:57 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
OtherSeries B Convertible Preferred Stock, $0.001 par value · Derivative | 2,143 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-19-000178 · form407422010_01312019.xml · derivative · entry 5 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,143 Underlying: Common Stock, $0.001 par value · 2,143,000 shares Expires not disclosed F6 · derivative.exercise_price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F9 · kind: Pursuant to a letter agreement between the Issuer and certain of the Reporting Persons, the Reporting Persons agreed to exchange an aggregate of 5,000,000 shares of Common Stock in consideration for a total of 5,000 shares of Series B Preferred Stock. F6 · price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F6 · derivative.exercise_date: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F6 · derivative.expiration_date: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 16:57 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
OtherSeries B Convertible Preferred Stock, $0.001 par value · Derivative | 2,573 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-19-000178 · form407422010_01312019.xml · derivative · entry 4 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,573 Underlying: Common Stock, $0.001 par value · 2,573,000 shares Expires not disclosed F6 · derivative.exercise_price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F9 · kind: Pursuant to a letter agreement between the Issuer and certain of the Reporting Persons, the Reporting Persons agreed to exchange an aggregate of 5,000,000 shares of Common Stock in consideration for a total of 5,000 shares of Series B Preferred Stock. F6 · price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F6 · derivative.exercise_date: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F6 · derivative.expiration_date: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F2 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 16:57 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
OtherCommon Stock, $0.001 par value | 284,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-19-000178 · form407422010_01312019.xml · nonDerivative · entry 3 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,346 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that previously owned in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of the Common Stock reported herein except to the extent of his or its pecuniary interest therein. F9 · kind: Pursuant to a letter agreement between the Issuer and certain of the Reporting Persons, the Reporting Persons agreed to exchange an aggregate of 5,000,000 shares of Common Stock in consideration for a total of 5,000 shares of Series B Preferred Stock. F6 · price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 16:57 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
OtherCommon Stock, $0.001 par value | 2,143,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-19-000178 · form407422010_01312019.xml · nonDerivative · entry 2 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 772,324 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that previously owned in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of the Common Stock reported herein except to the extent of his or its pecuniary interest therein. F9 · kind: Pursuant to a letter agreement between the Issuer and certain of the Reporting Persons, the Reporting Persons agreed to exchange an aggregate of 5,000,000 shares of Common Stock in consideration for a total of 5,000 shares of Series B Preferred Stock. F6 · price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 16:57 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
OtherCommon Stock, $0.001 par value | 2,573,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000921895-19-000178 · form407422010_01312019.xml · nonDerivative · entry 1 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 978,200 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that previously owned in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of the Common Stock reported herein except to the extent of his or its pecuniary interest therein. F9 · kind: Pursuant to a letter agreement between the Issuer and certain of the Reporting Persons, the Reporting Persons agreed to exchange an aggregate of 5,000,000 shares of Common Stock in consideration for a total of 5,000 shares of Series B Preferred Stock. F6 · price: The Reporting Persons hold 5,000 shares of Series B Convertible Preferred Stock, (the "Series B Preferred Stock") convertible for an aggregate of 5,000,000 shares of Common Stock. Each share of Series B Preferred Stock is convertible into 1,000 shares of Common Stock. The Series B Preferred Stock is convertible at any time, at the holder's election, except that the Series B Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of Common Stock then issued and outstanding. F2 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 17:35 UTC |
Barbier AnnDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $2.74 | $0.00 |
DisclosureSEC source: 0001562180-19-000570 · primarydocument.xml · derivative · entry 1 Barbier Ann · CIK 0001737596 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2020, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 17:46 UTC |
Sherman Matthew LDirector
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GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $2.74 | $0.00 |
DisclosureSEC source: 0001562180-19-000580 · primarydocument.xml · derivative · entry 1 Sherman Matthew L · CIK 0001325710 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2020, subject to the Reporting Person's continued service as a director through the vesting date. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 17:40 UTC |
KIRITSY CHRISTOPHER PDirector
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GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $2.74 | $0.00 |
DisclosureSEC source: 0001562180-19-000577 · primarydocument.xml · derivative · entry 1 KIRITSY CHRISTOPHER P · CIK 0001261156 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-01-25 F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on January 25, 2020, subject to the Reporting Person's continued service as a director through the 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.