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 |
|---|---|---|---|---|---|---|
| January 04, 2021 Filed Jan 6, 2021 21:50 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
GrantCommon Stock | 38,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000017 · wf-form4_160996979617224.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,149 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 21:49 UTC |
Johnston Lloyd P.COO and SVP, R&D
|
GrantEmployee Stock Option (right to buy) · Derivative | 230,000 | $0.00 Strike: $2.99 | $0.00 |
DisclosureSEC source: 0001453687-21-000016 · wf-form4_160996977743505.xml · derivative · entry 2 Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R&D 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 21:49 UTC |
Johnston Lloyd P.COO and SVP, R&D
|
GrantCommon Stock | 38,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000016 · wf-form4_160996977743505.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,734 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 21:49 UTC |
Dahms Bradford D.Chief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 230,000 | $0.00 Strike: $2.99 | $0.00 |
DisclosureSEC source: 0001453687-21-000015 · wf-form4_160996976014499.xml · derivative · entry 2 Dahms Bradford D. · CIK 0001787307 · Chief Financial 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 21:49 UTC |
Dahms Bradford D.Chief Financial Officer
|
GrantCommon Stock | 38,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000015 · wf-form4_160996976014499.xml · nonDerivative · entry 1 Dahms Bradford D. · CIK 0001787307 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,000 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 |
| December 14, 2020 Filed Dec 16, 2020 21:31 UTC |
TRABER PETER GChief Medical Officer
|
PurchaseCommon Stock | 40,000 | $3.24 | $129,424.00 |
DisclosureSEC source: 0001453687-20-000133 · wf-form4_160815426408163.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $3.165 to $3.28. 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| December 02, 2020 Filed Dec 3, 2020 16:22 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 3,323 | $3.35 | $11,134.04 |
DisclosureSEC source: 0001453687-20-000131 · wf-form4_160703055313759.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,350 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 $3.335 to $3.375. 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 |
| December 01, 2020 Filed Dec 3, 2020 16:22 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000131 · wf-form4_160703055313759.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,500 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 vests as to 25% on December 1, 2019. The remainder of the units will vest in twelve substantially equal quarterly installments thereafter. The restricted stock units have no expiration date. F4 · derivative.expiration_date: This restricted stock unit vests as to 25% on December 1, 2019. The remainder of the units will vest in twelve substantially equal quarterly installments thereafter. The restricted stock units have no expiration date. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 16:22 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000131 · wf-form4_160703055313759.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,673 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 |
| October 23, 2020 Filed Oct 23, 2020 21:12 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 994,488 | $2.71 | $2,699,736.57 |
DisclosureSEC source: 0001453687-20-000116 · wf-form4_160348753569456.xml · nonDerivative · entry 3 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 14,480,948 F4 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.64 to $2.80. 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 purchased 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 |
| October 23, 2020 Filed Oct 27, 2020 21:13 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $2.77 | $0.00 |
DisclosureSEC source: 0001453687-20-000119 · wf-form4_160383317124280.xml · derivative · entry 2 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,629 Underlying: Common Stock · 30,000 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. F2 · derivative.exercise_date: The shares underlying the option are fully vested. Read SEC document |
| October 23, 2020 Filed Oct 27, 2020 21:13 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
Exercise / conversionCommon Stock | 30,000 | $2.77 | $83,100.00 |
DisclosureSEC source: 0001453687-20-000119 · wf-form4_160383317124280.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,149 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 · balance_after: Includes 6,410 shares of common stock acquired on March 2, 2020 and 3,625 shares of common stock acquired on August 31, 2020, in each case under the issuer's 2016 Employee Stock Purchase Plan. Read SEC document |
| October 22, 2020 Filed Oct 23, 2020 21:12 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 1,770,204 | $2.63 | $4,656,698.64 |
DisclosureSEC source: 0001453687-20-000116 · wf-form4_160348753569456.xml · nonDerivative · entry 2 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13,486,460 F3 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.5389 to $2.70. 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 purchased 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 |
| October 21, 2020 Filed Oct 23, 2020 21:12 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 880,000 | $2.50 | $2,199,472.00 |
DisclosureSEC source: 0001453687-20-000116 · wf-form4_160348753569456.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,716,256 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.26 to $2.60. 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 purchased 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 |
| October 20, 2020 Filed Oct 20, 2020 22:07 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 910,000 | $2.21 | $2,013,193.00 |
DisclosureSEC source: 0001453687-20-000114 · wf-form4_160323163044460.xml · nonDerivative · entry 3 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,836,256 F4 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.17 to $2.30. 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 purchased 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 |
| October 19, 2020 Filed Oct 20, 2020 22:07 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 759,500 | $2.36 | $1,795,002.30 |
DisclosureSEC source: 0001453687-20-000114 · wf-form4_160323163044460.xml · nonDerivative · entry 2 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,926,256 F3 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.225 to $2.50. 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 purchased 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 |
| October 16, 2020 Filed Oct 20, 2020 22:07 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 218,196 | $2.42 | $528,034.32 |
DisclosureSEC source: 0001453687-20-000114 · wf-form4_160323163044460.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,166,756 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.34 to $2.4992. 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 purchased 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 |
| October 09, 2020 Filed Oct 14, 2020 20:18 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 276,703 | $2.00 | $552,465.21 |
DisclosureSEC source: 0001453687-20-000112 · wf-form4_160270671386539.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,948,560 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $1.985 to $2.00. 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 purchased 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 |
| October 08, 2020 Filed Oct 8, 2020 21:50 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 530,441 | $1.89 | $1,000,836.08 |
DisclosureSEC source: 0001453687-20-000110 · wf-form4_160219382314281.xml · nonDerivative · entry 3 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,671,857 F4 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $1.799 to $1.90. 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 purchased 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 |
| October 07, 2020 Filed Oct 8, 2020 21:50 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 654,953 | $1.65 | $1,078,576.60 |
DisclosureSEC source: 0001453687-20-000110 · wf-form4_160219382314281.xml · nonDerivative · entry 2 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,141,416 F3 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $1.55 to $1.70. 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 purchased 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 |
| October 06, 2020 Filed Oct 8, 2020 21:50 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 2,000,000 | $1.68 | $3,365,800.00 |
DisclosureSEC source: 0001453687-20-000110 · wf-form4_160219382314281.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,486,463 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $1.605 to $1.70. 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 purchased 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 |
| October 06, 2020 Filed Oct 8, 2020 20:25 UTC |
BARABE TIMOTHY CDirector
|
PurchaseCommon Stock | 50,000 | $1.68 | $83,985.00 |
DisclosureSEC source: 0001453687-20-000108 · wf-form4_160218871716347.xml · nonDerivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,013 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $1.675 to $1.68. 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 16:29 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 3,364 | $2.39 | $8,034.58 |
DisclosureSEC source: 0001453687-20-000103 · wf-form4_159916495956344.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,735 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 $2.36 to $2.41. 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, 2020 Filed Sep 3, 2020 16:29 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000103 · wf-form4_159916495956344.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,438 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 vests as to 25% on December 1, 2019. The remainder of the units will vest in twelve substantially equal quarterly installments thereafter. The restricted stock units have no expiration date. F4 · derivative.expiration_date: This restricted stock unit vests as to 25% on December 1, 2019. The remainder of the units will vest in twelve substantially equal quarterly installments thereafter. The restricted stock units have no expiration date. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 16:29 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000103 · wf-form4_159916495956344.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,099 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 01, 2020 Filed Aug 4, 2020 20:36 UTC |
TRABER PETER GChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 650,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001453687-20-000090 · wf-form4_159657328133721.xml · derivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,000 Underlying: Common Stock · 650,000 shares Expires 2030-07-31 F1 · derivative.exercise_date: This option will vest as to 25% on August 1, 2021. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 16:10 UTC |
Brunn CarstenDirector · President & CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $2.84 | $0.00 |
DisclosureSEC source: 0001104659-20-081208 · a4.xml · derivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2030-06-30 F1 · derivative.exercise_date: This option will vest as to 25% on July 1, 2021. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 20:11 UTC |
Dahms Bradford D.Chief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $2.84 | $0.00 |
DisclosureSEC source: 0001104659-20-081211 · a4.xml · derivative · entry 1 Dahms Bradford D. · CIK 0001787307 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-30 F1 · derivative.exercise_date: This option will vest as to 25% on July 1, 2021. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 20:11 UTC |
Johnston Lloyd P.COO & SVP, R&D
|
GrantEmployee Stock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $2.84 | $0.00 |
DisclosureSEC source: 0001104659-20-081209 · a4.xml · derivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · COO & SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2030-06-30 F1 · derivative.exercise_date: This option will vest as to 25% on July 1, 2021. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| June 24, 2020 Filed Jun 26, 2020 20:21 UTC |
BARABE TIMOTHY CDirector
|
Exercise / conversionCommon Warrants · Derivative | 32,840 | $0.13 Strike: $1.46 | $4,105.00 |
DisclosureSEC source: 0001453687-20-000084 · wf-form4_159320286563017.xml · derivative · entry 2 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 32,840 shares Expires 2024-12-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 24, 2020 Filed Jun 26, 2020 20:21 UTC |
BARABE TIMOTHY CDirector
|
Exercise / conversionCommon Stock | 32,840 | $1.46 | $47,946.40 |
DisclosureSEC source: 0001453687-20-000084 · wf-form4_159320286563017.xml · nonDerivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,013 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 19, 2020 Filed Jun 23, 2020 20:46 UTC |
COX CARRIE SMITHDirector
|
GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000076 · wf-form4_159294518583491.xml · derivative · entry 1 COX CARRIE SMITH · CIK 0001110753 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option vests in full on the earlier of June 19, 2021 or the day immediately prior to the company's 2021 annual meeting of stockholders. Read SEC document |
| June 19, 2020 Filed Jun 23, 2020 20:47 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000079 · wf-form4_159294525664037.xml · derivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option vests in full on the earlier of June 19, 2021 or the day immediately prior to the company's 2021 annual meeting of stockholders. Read SEC document |
| June 19, 2020 Filed Jun 23, 2020 16:48 UTC |
ZENNER PATRICK JDirector
|
GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000080 · wf-form4_159294527766997.xml · derivative · entry 1 ZENNER PATRICK J · CIK 0001139036 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option vests in full on the earlier of June 19, 2021 or the day immediately prior to the company's 2021 annual meeting of stockholders. Read SEC document |
| June 19, 2020 Filed Jun 23, 2020 23:54 UTC |
BARABE TIMOTHY CDirector
|
GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000082 · wf-form4_159295647688923.xml · derivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option vests in full on the earlier of June 19, 2021 or the day immediately prior to the company's 2021 annual meeting of stockholders. Read SEC document |
| June 19, 2020 Filed Jun 23, 2020 20:47 UTC |
Sallin AymericDirector
|
GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000078 · wf-form4_159294523160862.xml · derivative · entry 1 Sallin Aymeric · CIK 0001677660 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option vests in full on the earlier of June 19, 2021 or the day immediately prior to the company's 2021 annual meeting of stockholders. Read SEC document |
| June 19, 2020 Filed Jun 23, 2020 20:47 UTC |
Myers Scott DunsethDirector
|
GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000077 · wf-form4_159294520886842.xml · derivative · entry 1 Myers Scott Dunseth · CIK 0001356256 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option vests in full on the earlier of June 19, 2021 or the day immediately prior to the company's 2021 annual meeting of stockholders. Read SEC document |
| June 02, 2020 Filed Jun 3, 2020 16:42 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 3,253 | $3.86 | $12,556.91 |
DisclosureSEC source: 0001453687-20-000054 · wf-form4_159121693539654.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,162 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 $3.83 to $3.90. 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, 2020 Filed Jun 3, 2020 16:42 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000054 · wf-form4_159121693539654.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,375 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 vests as to 25% on December 1, 2019. The remainder of the units will vest in twelve substantially equal quarterly installments thereafter. The restricted stock units have no expiration date. F4 · derivative.expiration_date: This restricted stock unit vests as to 25% on December 1, 2019. The remainder of the units will vest in twelve substantially equal quarterly installments thereafter. The restricted stock units have no expiration date. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 16:42 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000054 · wf-form4_159121693539654.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,415 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 |
| April 24, 2020 Filed Apr 28, 2020 16:42 UTC |
ANDO GORANDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $2.67 | $0.00 |
DisclosureSEC source: 0001453687-20-000044 · wf-form4_158810653092053.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 2030-04-23 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 |
| March 17, 2020 Filed Mar 19, 2020 21:16 UTC |
BARABE TIMOTHY CDirector
|
PurchaseCommon Stock | 5,000 | $2.00 | $10,000.00 |
DisclosureSEC source: 0001453687-20-000030 · wf-form4_158465256831834.xml · nonDerivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,173 Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 16:25 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 3,374 | $3.86 | $13,011.49 |
DisclosureSEC source: 0001453687-20-000021 · wf-form4_158327072572666.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,477 F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units and to cover related broker fees. F3 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at per share prices ranging from $3.85 to $3.87. The Reporting Person undertakes to provide upon request to theSEC 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, 2020 Filed Mar 3, 2020 16:25 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000021 · wf-form4_158327072572666.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,313 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. F1 · 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 vests as to 25% on December 1, 2019. The remainder of the units will vest in twelve substantially equal quarterly installments thereafter. The restricted stock units have no expiration date. F4 · derivative.expiration_date: This restricted stock unit vests as to 25% on December 1, 2019. The remainder of the units will vest in twelve substantially equal quarterly installments thereafter. The restricted stock units have no expiration date. Read SEC document |
| March 01, 2020 Filed Mar 3, 2020 16:25 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-20-000021 · wf-form4_158327072572666.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,851 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 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 22:21 UTC |
Johnston Lloyd P.COO and SVP, R&D
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,128 | $0.00 Strike: $0.47 | $0.00 |
DisclosureSEC source: 0001453687-20-000019 · wf-form4_157964528662973.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 · 5,128 shares Expires 2020-01-19 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: All shares underlying this option are fully vested. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 22:21 UTC |
Johnston Lloyd P.COO and SVP, R&D
|
Exercise / conversionCommon Stock | 5,128 | $0.47 | $2,410.16 |
DisclosureSEC source: 0001453687-20-000019 · wf-form4_157964528662973.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,734 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 |
| January 02, 2020 Filed Jan 6, 2020 20:08 UTC |
Schecter Alison D.Chief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001453687-20-000014 · wf-form4_157835929977150.xml · derivative · entry 1 Schecter Alison D. · CIK 0001782448 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-01-01 F1 · derivative.exercise_date: This option will vest as to 25% on January 2, 2021. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 20:06 UTC |
Brunn CarstenDirector · President and CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 600,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001453687-20-000009 · wf-form4_157835918962071.xml · derivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2030-01-01 F1 · derivative.exercise_date: This option will vest as to 25% on January 2, 2021. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 20:08 UTC |
Smolinski StephenChief Commercial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001453687-20-000015 · wf-form4_157835931999296.xml · derivative · entry 1 Smolinski Stephen · CIK 0001721031 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-01-01 F1 · derivative.exercise_date: This option will vest as to 25% on January 2, 2021. 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.