Last 12 months
Inside the activity.
1 purchase rows · 3 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 1 | 0 |
| Jan 2026 | 0 | 3 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 13, 2021 Filed Oct 15, 2021 22:08 UTC |
TRABER PETER GChief Medical Officer
|
SaleCommon Stock | 3,636 | $4.39 | $15,962.04 |
DisclosureSEC source: 0001453687-21-000144 · wf-form4_163433566388493.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,714 F1 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units and to cover related broker fees. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $4.35 to $4.475. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| October 13, 2021 Filed Oct 15, 2021 22:07 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
SaleCommon Stock | 3,892 | $4.39 | $17,085.88 |
DisclosureSEC source: 0001453687-21-000143 · wf-form4_163433564708644.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,389 F1 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units and to cover related broker fees. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $4.35 to $4.475. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| October 13, 2021 Filed Oct 15, 2021 22:07 UTC |
Johnston Lloyd P.Chief Operations Officer
|
SaleCommon Stock | 3,892 | $4.39 | $17,085.88 |
DisclosureSEC source: 0001453687-21-000142 · wf-form4_163433562992987.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,335 F1 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units and to cover related broker fees. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $4.35 to $4.475. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 16:25 UTC |
Brunn CarstenDirector · President and CEO
|
GrantCommon Stock | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000132 · wf-form4_163346550161233.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,072 F1 · kind: On January 4, 2021, the reporting person was granted performance based restricted stock units for an aggregate of 75,000 shares of the Issuer's common stock (the "Performance RSUs"), which may be earned based on the achievement of two separate performance conditions related to the Issuer's operating and research and development activities. Any Performance RSUs will generally vest in two equal installments upon the dates of achievement of each of the two performance conditions, subject to continued employment, so long as each performance condition is met before December 31, 2021. The compensation committee of the board of directors of the Issuer has determined that the first of the performance conditions has been met, and accordingly 37,500 Performance RSUs vested on October 1, 2021. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 20:26 UTC |
TRABER PETER GChief Medical Officer
|
GrantCommon Stock | 13,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000135 · wf-form4_163346558417377.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,350 F1 · kind: On January 4, 2021, the reporting person was granted performance based restricted stock units for an aggregate of 27,500 shares of the Issuer's common stock (the "Performance RSUs"), which may be earned based on the achievement of two separate performance conditions related to the Issuer's operating and research and development activities. Any Performance RSUs will generally vest in two equal installments upon the dates of achievement of each of the two performance conditions, subject to continued employment, so long as each performance condition is met before December 31, 2021. The compensation committee of the board of directors of the Issuer has determined that the first of the performance conditions has been met, and accordingly 13,750 Performance RSUs vested on October 1, 2021. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 20:26 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
GrantCommon Stock | 13,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000134 · wf-form4_163346556411169.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,281 F1 · kind: On January 4, 2021, the reporting person was granted performance based restricted stock units for an aggregate of 27,500 shares of the Issuer's common stock (the "Performance RSUs"), which may be earned based on the achievement of two separate performance conditions related to the Issuer's operating and research and development activities. Any Performance RSUs will generally vest in two equal installments upon the dates of achievement of each of the two performance conditions, subject to continued employment, so long as each performance condition is met before December 31, 2021. The compensation committee of the board of directors of the Issuer has determined that the first of the performance conditions has been met, and accordingly 13,750 Performance RSUs vested on October 1, 2021. F2 · balance_after: Includes 2,753 shares of common stock purchased under the Issuer's Employee Stock Purchase Program during the contribution period between March 1, 2021 and August 31, 2021. Read SEC document |
| October 01, 2021 Filed Oct 5, 2021 20:26 UTC |
Johnston Lloyd P.Chief Operations Officer
|
GrantCommon Stock | 13,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000133 · wf-form4_163346554315584.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,227 F1 · kind: On January 4, 2021, the reporting person was granted performance based restricted stock units for an aggregate of 27,500 shares of the Issuer's common stock (the "Performance RSUs"), which may be earned based on the achievement of two separate performance conditions related to the Issuer's operating and research and development activities. Any Performance RSUs will generally vest in two equal installments upon the dates of achievement of each of the two performance conditions, subject to continued employment, so long as each performance condition is met before December 31, 2021. The compensation committee of the board of directors of the Issuer has determined that the first of the performance conditions has been met, and accordingly 13,750 Performance RSUs vested on October 1, 2021. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 16:32 UTC |
Brunn CarstenDirector · President and CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 163,000 | $0.00 Strike: $4.32 | $0.00 |
DisclosureSEC source: 0001453687-21-000120 · wf-form4_163286110389016.xml · derivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,000 Underlying: Common Stock · 163,000 shares Expires 2031-09-23 F2 · derivative.exercise_date: This option vests as to 25% on September 24, 2022. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 16:32 UTC |
Brunn CarstenDirector · President and CEO
|
GrantCommon Stock | 27,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000120 · wf-form4_163286110389016.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,572 F1 · kind: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, which will vest as to 25% on September 24, 2022. The remainder of the underlying shares will vest in three equalannual installments thereafter so that the underlying shares will be fully vested on September 24, 2025. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 20:32 UTC |
TRABER PETER GChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 54,400 | $0.00 Strike: $4.32 | $0.00 |
DisclosureSEC source: 0001453687-21-000121 · wf-form4_163286112666853.xml · derivative · entry 2 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,400 Underlying: Common Stock · 54,400 shares Expires 2031-09-23 F2 · derivative.exercise_date: This option vests as to 25% on September 24, 2022. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| September 24, 2021 Filed Sep 28, 2021 20:32 UTC |
TRABER PETER GChief Medical Officer
|
GrantCommon Stock | 9,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000121 · wf-form4_163286112666853.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,600 F1 · kind: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, which will vest as to 25% on September 24, 2022. The remainder of the underlying shares will vest in three equalannual installments thereafter so that the underlying shares will be fully vested on September 24, 2025. Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 20:19 UTC |
Tan KevinChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 750,000 | $0.00 Strike: $4.17 | $0.00 |
DisclosureSEC source: 0001453687-21-000117 · wf-form4_163234196808903.xml · derivative · entry 1 Tan Kevin · CIK 0001884056 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2031-09-19 F1 · derivative.exercise_date: This option will vest as to 25% on September 20, 2022. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| September 02, 2021 Filed Sep 3, 2021 16:18 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 4,523 | $4.51 | $20,398.73 |
DisclosureSEC source: 0001453687-21-000107 · wf-form4_163070026398370.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,372 F1 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units and to cover related broker fees. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $4.4707 to $4.57. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 16:18 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000107 · wf-form4_163070026398370.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,688 Underlying: Common Stock · 10,937 shares Expires not disclosed 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_price: Each restricted stock unit represents a contingent right to receive one share of common stock. F4 · derivative.exercise_date: This restricted stock unit vested as to 25% on December 1, 2019 and has vested, and will continue to vest, as to an additional 8.33% each quarter thereafter until fully vested. The restricted stock units have no expiration date. F4 · derivative.expiration_date: This restricted stock unit vested as to 25% on December 1, 2019 and has vested, and will continue to vest, as to an additional 8.33% each quarter thereafter until fully vested. The restricted stock units have no expiration date. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 16:18 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000107 · wf-form4_163070026398370.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,895 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 |
| August 18, 2021 Filed Aug 20, 2021 22:09 UTC |
BARABE TIMOTHY CDirector
|
PurchaseCommon Stock | 9,000 | $4.00 | $36,000.00 |
DisclosureSEC source: 0001453687-21-000105 · wf-form4_162949733485291.xml · nonDerivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,013 Read SEC document |
| June 23, 2021 Filed Jul 9, 2021 16:21 UTC |
DeSilva Nishan MDirector
|
GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $4.57 | $0.00 |
DisclosureSEC source: 0001453687-21-000090 · wf-form4_162586206787394.xml · derivative · entry 1 DeSilva Nishan M · CIK 0001492386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2031-06-22 F1 · derivative.exercise_date: The option vests in thirty-six (36) substantially equal monthly installments over three years following the date of grant. Read SEC document |
| June 02, 2021 Filed Jun 3, 2021 16:30 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 4,806 | $4.38 | $21,040.67 |
DisclosureSEC source: 0001453687-21-000081 · wf-form4_162275218310282.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,958 F1 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units and to cover related broker fees. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $4.34 to $4.385. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 16:30 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000081 · wf-form4_162275218310282.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,625 Underlying: Common Stock · 10,938 shares Expires not disclosed 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_price: Each restricted stock unit represents a contingent right to receive one share of common stock. F4 · derivative.exercise_date: This restricted stock unit vested as to 25% on December 1, 2019 and has vested, and will continue to vest, as to an additional 8.33% each quarter thereafter until fully vested. The restricted stock units have no expiration date. F4 · derivative.expiration_date: This restricted stock unit vested as to 25% on December 1, 2019 and has vested, and will continue to vest, as to an additional 8.33% each quarter thereafter until fully vested. The restricted stock units have no expiration date. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 16:30 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000081 · wf-form4_162275218310282.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,764 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 |
| May 26, 2021 Filed May 26, 2021 21:21 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 926,170 | $4.00 | $3,705,698.79 |
DisclosureSEC source: 0001453687-21-000076 · wf-form4_162206406933869.xml · nonDerivative · entry 3 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 19,154,427 F4 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $3.83 to $4.15. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: Held by TAS Partners LLC. The Reporting Person is the managing member of TAS Partners LLC. The Reporting Person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 26, 2021 Filed May 27, 2021 22:00 UTC |
TRABER PETER GChief Medical Officer
|
PurchaseCommon Stock | 20,000 | $3.99 | $79,850.00 |
DisclosureSEC source: 0001453687-21-000078 · wf-form4_162215281637006.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,500 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $3.959 to $4.02. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 25, 2021 Filed May 26, 2021 21:21 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 383,830 | $3.55 | $1,362,097.52 |
DisclosureSEC source: 0001453687-21-000076 · wf-form4_162206406933869.xml · nonDerivative · entry 2 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 18,228,257 F3 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $3.40 to $3.65. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: Held by TAS Partners LLC. The Reporting Person is the managing member of TAS Partners LLC. The Reporting Person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 25, 2021 Filed May 26, 2021 20:33 UTC |
TRABER PETER GChief Medical Officer
|
PurchaseCommon Stock | 5,000 | $3.48 | $17,400.00 |
DisclosureSEC source: 0001453687-21-000074 · wf-form4_162206119370229.xml · nonDerivative · entry 2 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,500 Read SEC document |
| May 24, 2021 Filed May 26, 2021 21:21 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 590,000 | $3.38 | $1,992,076.00 |
DisclosureSEC source: 0001453687-21-000076 · wf-form4_162206406933869.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,844,427 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $3.19 to $3.51. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · ownership.nature: Held by TAS Partners LLC. The Reporting Person is the managing member of TAS Partners LLC. The Reporting Person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 24, 2021 Filed May 26, 2021 20:33 UTC |
TRABER PETER GChief Medical Officer
|
PurchaseCommon Stock | 12,500 | $3.32 | $41,497.50 |
DisclosureSEC source: 0001453687-21-000074 · wf-form4_162206119370229.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,500 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $3.315 to $3.32. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 21, 2021 Filed May 25, 2021 20:27 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 2,773,479 | $3.19 | $8,847,398.01 |
DisclosureSEC source: 0001453687-21-000072 · wf-form4_162197444136325.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,254,427 F1 · ownership.nature: Held by TAS Partners LLC. The reporting person is the managing member of TAS Partners LLC. The reporting person disclaims beneficial ownership of the securities held by TAS Partners LLC except to the extent of his pecuniary interest therein, if any. Read SEC document |
| May 07, 2021 Filed May 11, 2021 20:24 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 13,629 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001453687-21-000064 · wf-form4_162076464438216.xml · derivative · entry 2 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,629 shares Expires 2021-09-07 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 option is fully vested as of September 7, 2015. Read SEC document |
| May 07, 2021 Filed May 11, 2021 20:24 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
Exercise / conversionCommon Stock | 13,629 | $2.77 | $37,752.33 |
DisclosureSEC source: 0001453687-21-000064 · wf-form4_162076464438216.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,778 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 30, 2021 Filed Apr 1, 2021 22:33 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.01 | $0.00 |
DisclosureSEC source: 0001453687-21-000048 · wf-form4_161731638281612.xml · derivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-03-29 F1 · derivative.exercise_date: This option vests in full on March 30, 2022. Read SEC document |
| March 30, 2021 Filed Apr 1, 2021 22:30 UTC |
COX CARRIE SMITHDirector
|
GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $4.01 | $0.00 |
DisclosureSEC source: 0001453687-21-000045 · wf-form4_161731615580945.xml · derivative · entry 1 COX CARRIE SMITH · CIK 0001110753 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-03-29 F1 · derivative.exercise_date: This option vests in full on March 30, 2022. Read SEC document |
| March 30, 2021 Filed Apr 1, 2021 18:49 UTC |
ANDO GORANDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.01 | $0.00 |
DisclosureSEC source: 0001453687-21-000051 · wf-form4_161731730589915.xml · derivative · entry 1 ANDO GORAN · CIK 0001110748 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-03-29 F1 · derivative.exercise_date: This option vests in full on March 30, 2022. Read SEC document |
| March 30, 2021 Filed Apr 1, 2021 18:35 UTC |
ZENNER PATRICK JDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.01 | $0.00 |
DisclosureSEC source: 0001453687-21-000049 · wf-form4_161731645484519.xml · derivative · entry 1 ZENNER PATRICK J · CIK 0001139036 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-03-29 F1 · derivative.exercise_date: This option vests in full on March 30, 2022. Read SEC document |
| March 30, 2021 Filed Apr 1, 2021 22:31 UTC |
Myers Scott DunsethDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.01 | $0.00 |
DisclosureSEC source: 0001453687-21-000046 · wf-form4_161731624881899.xml · derivative · entry 1 Myers Scott Dunseth · CIK 0001356256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-03-29 F1 · derivative.exercise_date: This option vests in full on March 30, 2022. Read SEC document |
| March 30, 2021 Filed Apr 1, 2021 22:32 UTC |
Sallin AymericDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.01 | $0.00 |
DisclosureSEC source: 0001453687-21-000047 · wf-form4_161731631340894.xml · derivative · entry 1 Sallin Aymeric · CIK 0001677660 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-03-29 F1 · derivative.exercise_date: This option vests in full on March 30, 2022. Read SEC document |
| March 30, 2021 Filed Apr 1, 2021 22:28 UTC |
BARABE TIMOTHY CDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.01 | $0.00 |
DisclosureSEC source: 0001453687-21-000044 · wf-form4_161731608492976.xml · derivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-03-29 F1 · derivative.exercise_date: This option vests in full on March 30, 2022. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 20:50 UTC |
BARABE TIMOTHY CDirector
|
PurchaseCommon Stock | 10,000 | $4.10 | $41,000.00 |
DisclosureSEC source: 0001453687-21-000037 · wf-form4_161713731929205.xml · nonDerivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,013 Read SEC document |
| March 18, 2021 Filed Mar 19, 2021 21:34 UTC |
TRABER PETER GChief Medical Officer
|
PurchaseCommon Stock | 10,000 | $4.50 | $45,000.00 |
DisclosureSEC source: 0001453687-21-000035 · wf-form4_161618965117089.xml · nonDerivative · entry 2 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,000 Read SEC document |
| March 17, 2021 Filed Mar 19, 2021 21:34 UTC |
TRABER PETER GChief Medical Officer
|
PurchaseCommon Stock | 10,000 | $4.53 | $45,295.00 |
DisclosureSEC source: 0001453687-21-000035 · wf-form4_161618965117089.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,000 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $4.525 to $4.53. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 17, 2021 Filed Mar 19, 2021 21:33 UTC |
Johnston Lloyd P.COO and SVP, R&D
|
SaleCommon Stock | 15,128 | $4.45 | $67,312.04 |
DisclosureSEC source: 0001453687-21-000033 · wf-form4_161618956509768.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,477 F1 · kind: Shares were sold to cover costs of exercising expiring employee stock options on February 11, 2021. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $4.425 to $4.48. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 02, 2021 Filed Mar 3, 2021 17:21 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 5,461 | $4.26 | $23,257.31 |
DisclosureSEC source: 0001453687-21-000023 · wf-form4_161481004616254.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,826 F1 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units and to cover related broker fees. F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $4.24 to $4.285. The Reporting Person undertakes to provide upon request to the SEC staff, the Issuer, or any stockholder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 17:21 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000023 · wf-form4_161481004616254.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,563 Underlying: Common Stock · 10,937 shares Expires not disclosed 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_price: Each restricted stock unit represents a contingent right to receive one share of common stock. F4 · derivative.exercise_date: This restricted stock unit vested as to 25% on December 1, 2019 and has vested, and will continue to vest, as to an additional 8.33% each quarter thereafter until fully vested. The restricted stock units have no expiration date. F4 · derivative.expiration_date: This restricted stock unit vested as to 25% on December 1, 2019 and has vested, and will continue to vest, as to an additional 8.33% each quarter thereafter until fully vested. The restricted stock units have no expiration date. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 17:21 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000023 · wf-form4_161481004616254.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,287 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 11, 2021 Filed Feb 16, 2021 23:10 UTC |
Johnston Lloyd P.COO and SVP, R&D
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 44,871 | $0.00 Strike: $0.63 | $0.00 |
DisclosureSEC source: 0001453687-21-000020 · wf-form4_161351699826212.xml · derivative · entry 2 Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 44,871 shares Expires 2021-02-16 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: All shares underlying this option are fully vested. Read SEC document |
| February 11, 2021 Filed Feb 16, 2021 23:10 UTC |
Johnston Lloyd P.COO and SVP, R&D
|
Exercise / conversionCommon Stock | 44,871 | $0.63 | $28,268.73 |
DisclosureSEC source: 0001453687-21-000020 · wf-form4_161351699826212.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,605 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The Reporting Person has elected to exercise and hold the shares at this time in advance of the option's expiration. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 16:49 UTC |
Brunn CarstenDirector · President and CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 670,000 | $0.00 Strike: $2.99 | $0.00 |
DisclosureSEC source: 0001453687-21-000014 · wf-form4_160996973826334.xml · derivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 670,000 Underlying: Common Stock · 670,000 shares Expires 2031-01-03 F2 · derivative.exercise_date: This option vests as to 25% on January 4, 2022. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 16:49 UTC |
Brunn CarstenDirector · President and CEO
|
GrantCommon Stock | 110,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000014 · wf-form4_160996973826334.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,350 F1 · kind: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, which will vest as to 25% on January 4, 2022. The remainder of the underlying shares will vest in three equal annual installments thereafter so that the underlying shares will be fully vested on January 4, 2025. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 21:50 UTC |
TRABER PETER GChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 230,000 | $0.00 Strike: $2.99 | $0.00 |
DisclosureSEC source: 0001453687-21-000018 · wf-form4_160996981436015.xml · derivative · entry 2 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,000 Underlying: Common Stock · 230,000 shares Expires 2031-01-03 F2 · derivative.exercise_date: This option vests as to 25% on January 4, 2022. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 21:50 UTC |
TRABER PETER GChief Medical Officer
|
GrantCommon Stock | 38,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000018 · wf-form4_160996981436015.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,000 F1 · kind: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, which will vest as to 25% on January 4, 2022. The remainder of the underlying shares will vest in three equal annual installments thereafter so that the underlying shares will be fully vested on January 4, 2025. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 21:50 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 230,000 | $0.00 Strike: $2.99 | $0.00 |
DisclosureSEC source: 0001453687-21-000017 · wf-form4_160996979617224.xml · derivative · entry 2 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,000 Underlying: Common Stock · 230,000 shares Expires 2031-01-03 F2 · derivative.exercise_date: This option vests as to 25% on January 4, 2022. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. 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.