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Nasdaq · USD

RNAC

Cartesian Therapeutics, Inc.

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6015
SEC CIK
0001453687
Parsed reports
365

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
MonthPurchasesSales
Nov 202500
Dec 202510
Jan 202603
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 22, 2017 Filed Sep 26, 2017 21:19 UTC
Nashat AmirDirector
SaleCommon Stock 790 $19.26 $15,218.24
Disclosure

SEC source: 0000899243-17-022598 · doc4.xml · nonDerivative · entry 1

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 32,235

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.59, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVPE V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVPE V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
September 21, 2017 Filed Sep 22, 2017 20:09 UTC
Nashat AmirDirector
SaleCommon Stock 100,911 $19.86 $2,004,021.82
Disclosure

SEC source: 0000899243-17-022441 · doc4.xml · nonDerivative · entry 8

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,694,676

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.20 to $20.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (11) to this Form 4.

F9 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). PVM V is the general partner of PVP V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F10 · ownership.nature: Each of Flint and McGuire are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVP V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
September 21, 2017 Filed Sep 22, 2017 20:09 UTC
Nashat AmirDirector
SaleCommon Stock 1,009 $19.86 $20,038.03
Disclosure

SEC source: 0000899243-17-022441 · doc4.xml · nonDerivative · entry 7

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 16,944

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.20 to $20.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (11) to this Form 4.

F7 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F8 · ownership.nature: Each of Flint and McGuire are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVPSFF V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
September 21, 2017 Filed Sep 22, 2017 20:09 UTC
Nashat AmirDirector
SaleCommon Stock 690 $19.86 $13,702.92
Disclosure

SEC source: 0000899243-17-022441 · doc4.xml · nonDerivative · entry 6

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,605

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.20 to $20.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (11) to this Form 4.

F4 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F5 · ownership.nature: Each of Flint and McGuire are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVPFF V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
September 21, 2017 Filed Sep 22, 2017 20:09 UTC
Nashat AmirDirector
SaleCommon Stock 1,967 $19.86 $39,063.24
Disclosure

SEC source: 0000899243-17-022441 · doc4.xml · nonDerivative · entry 5

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 33,025

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.20 to $20.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (11) to this Form 4.

F2 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVPE V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVPE V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 21:30 UTC
Siewers DavidCFO and Treasurer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 14,230 $0.00 Strike: $0.63 $0.00
Disclosure

SEC source: 0001638599-17-000948 · doc4_4980.xml · derivative · entry 6

Siewers David · CIK 0001676906 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 14,230 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.

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F2 · derivative.exercise_date: All shares underlying this option are fully vested.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 21:30 UTC
Siewers DavidCFO and Treasurer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 2,194 $0.00 Strike: $0.63 $0.00
Disclosure

SEC source: 0001638599-17-000948 · doc4_4980.xml · derivative · entry 5

Siewers David · CIK 0001676906 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,194 shares

Expires 2020-09-06

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 transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F2 · derivative.exercise_date: All shares underlying this option are fully vested.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 21:30 UTC
Siewers DavidCFO and Treasurer
SaleCommon Stock 14,230 $20.00 $284,600.00
Disclosure

SEC source: 0001638599-17-000948 · doc4_4980.xml · nonDerivative · entry 4

Siewers David · CIK 0001676906 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 21:30 UTC
Siewers DavidCFO and Treasurer
Exercise / conversionCommon Stock 14,230 $0.63 $8,964.90
Disclosure

SEC source: 0001638599-17-000948 · doc4_4980.xml · nonDerivative · entry 3

Siewers David · CIK 0001676906 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,230

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 transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 21:30 UTC
Siewers DavidCFO and Treasurer
SaleCommon Stock 2,194 $20.00 $43,880.00
Disclosure

SEC source: 0001638599-17-000948 · doc4_4980.xml · nonDerivative · entry 2

Siewers David · CIK 0001676906 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 21:30 UTC
Siewers DavidCFO and Treasurer
Exercise / conversionCommon Stock 2,194 $0.63 $1,382.22
Disclosure

SEC source: 0001638599-17-000948 · doc4_4980.xml · nonDerivative · entry 1

Siewers David · CIK 0001676906 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,194

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 transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 20:09 UTC
Nashat AmirDirector
SaleCommon Stock 41,116 $20.03 $823,467.14
Disclosure

SEC source: 0000899243-17-022441 · doc4.xml · nonDerivative · entry 4

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,795,587

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.95 to $20.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F9 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). PVM V is the general partner of PVP V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F10 · ownership.nature: Each of Flint and McGuire are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVP V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 20:09 UTC
Nashat AmirDirector
SaleCommon Stock 411 $20.03 $8,231.51
Disclosure

SEC source: 0000899243-17-022441 · doc4.xml · nonDerivative · entry 3

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 17,953

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.95 to $20.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (6) to this Form 4.

F7 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F8 · ownership.nature: Each of Flint and McGuire are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVPSFF V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 20:09 UTC
Nashat AmirDirector
SaleCommon Stock 282 $20.03 $5,647.87
Disclosure

SEC source: 0000899243-17-022441 · doc4.xml · nonDerivative · entry 2

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,295

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.95 to $20.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F4 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F5 · ownership.nature: Each of Flint and McGuire are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVPFF V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
September 20, 2017 Filed Sep 22, 2017 20:09 UTC
Nashat AmirDirector
SaleCommon Stock 801 $20.03 $16,042.35
Disclosure

SEC source: 0000899243-17-022441 · doc4.xml · nonDerivative · entry 1

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 34,992

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.95 to $20.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · ownership.nature: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVPE V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V. The Reporting Person, who is a member of the Issuer's Board of Directors, is a member of PVM V. Each of Flint, McGuire and the Reporting Person, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power of the shares held by PVPE V. Each of Flint, McGuire and the Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
July 07, 2017 Filed Jul 11, 2017 20:46 UTC
Siewers DavidCFO and Treasurer
GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $19.33 $0.00
Disclosure

SEC source: 0001638599-17-000704 · doc4_4848.xml · derivative · entry 1

Siewers David · CIK 0001676906 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-07-06

F1 · derivative.exercise_date: This option vests as to 25% of the shares on June 16, 2018. The remainder of the shares will vest in 36 equal monthly installments thereafter.

Read SEC document
July 07, 2017 Filed Jul 11, 2017 20:46 UTC
Sands EarlChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $19.33 $0.00
Disclosure

SEC source: 0001638599-17-000703 · doc4_4846.xml · derivative · entry 1

Sands Earl · CIK 0001676902 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2027-07-06

F1 · derivative.exercise_date: This option vests as to 25% of the shares on June 16, 2018. The remainder of the shares will vest in 36 equal monthly installments thereafter.

Read SEC document
July 07, 2017 Filed Jul 11, 2017 20:46 UTC
Johnston Lloyd P.COO & Senior VP, R&D
GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $19.33 $0.00
Disclosure

SEC source: 0001638599-17-000702 · doc4_4844.xml · derivative · entry 1

Johnston Lloyd P. · CIK 0001676905 · COO & Senior VP, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-07-06

F1 · derivative.exercise_date: This option vests as to 25% of the shares on June 16, 2018. The remainder of the shares will vest in 36 equal monthly installments thereafter.

Read SEC document
July 07, 2017 Filed Jul 11, 2017 20:45 UTC
Kishimoto Takashi KeiChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $19.33 $0.00
Disclosure

SEC source: 0001638599-17-000701 · doc4_4845.xml · derivative · entry 1

Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-07-06

F1 · derivative.exercise_date: This option vests as to 25% of the shares on June 16, 2018. The remainder of the shares will vest in 36 equal monthly installments thereafter.

Read SEC document
July 07, 2017 Filed Jul 11, 2017 20:44 UTC
CAUTREELS WERNERDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $19.33 $0.00
Disclosure

SEC source: 0001638599-17-000700 · doc4_4843.xml · derivative · entry 1

CAUTREELS WERNER · CIK 0001237419 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-07-06

F1 · derivative.exercise_date: This option vests as to 25% of the shares on June 16, 2018. The remainder of the shares will vest in 36 equal monthly installments thereafter.

Read SEC document
July 07, 2017 Filed Jul 11, 2017 20:43 UTC
Keller PeterChief Business Officer
GrantStock Option (Right to Buy) · Derivative 32,000 $0.00 Strike: $19.33 $0.00
Disclosure

SEC source: 0001638599-17-000698 · doc4_4847.xml · derivative · entry 1

Keller Peter · CIK 0001676904 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 32,000 shares

Expires 2027-07-06

F1 · derivative.exercise_date: This option vests as to 25% of the shares on June 16, 2018. The remainder of the shares will vest in 36 equal monthly installments thereafter.

Read SEC document
July 07, 2017 Filed Jul 11, 2017 20:42 UTC
Abraham DavidGC and Corporate Secretary
GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $19.33 $0.00
Disclosure

SEC source: 0001638599-17-000697 · doc4_4849.xml · derivative · entry 1

Abraham David · CIK 0001676903 · GC and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-07-06

F1 · derivative.exercise_date: This option vests as to 25% of the shares on June 16, 2018. The remainder of the shares will vest in 36 equal monthly installments thereafter.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:05 UTC
Johnston Lloyd P.COO and SVP, R*D
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,959 $0.00 Strike: $2.77 $0.00
Disclosure

SEC source: 0001638599-17-000685 · doc4_4832.xml · derivative · entry 4

Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R*D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126

Underlying: Common Stock · 5,959 shares

Expires 2023-06-13

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

F4 · derivative.exercise_date: All shares underlying this option are fully vested.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:05 UTC
Johnston Lloyd P.COO and SVP, R*D
SaleCommon Stock 5,859 $19.09 $111,832.49
Disclosure

SEC source: 0001638599-17-000685 · doc4_4832.xml · nonDerivative · entry 3

Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R*D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,606

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.605 to $19.40, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:05 UTC
Johnston Lloyd P.COO and SVP, R*D
SaleCommon Stock 100 $19.74 $1,974.00
Disclosure

SEC source: 0001638599-17-000685 · doc4_4832.xml · nonDerivative · entry 2

Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R*D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,465

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.72 to $19.76, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
July 03, 2017 Filed Jul 6, 2017 20:05 UTC
Johnston Lloyd P.COO and SVP, R*D
Exercise / conversionCommon Stock 5,959 $2.77 $16,506.43
Disclosure

SEC source: 0001638599-17-000685 · doc4_4832.xml · nonDerivative · entry 1

Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R*D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,565

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 30, 2017 Filed Jul 5, 2017 20:06 UTC
Siewers DavidChief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 7,420 $0.00 Strike: $0.63 $0.00
Disclosure

SEC source: 0001638599-17-000675 · doc4_4830.xml · derivative · entry 3

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,194

Underlying: Common Stock · 7,420 shares

Expires 2020-09-06

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 transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F3 · derivative.exercise_date: All shares underlying this option are fully vested.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 20:06 UTC
Siewers DavidChief Financial Officer
SaleCommon Stock 7,420 $20.00 $148,405.19
Disclosure

SEC source: 0001638599-17-000675 · doc4_4830.xml · nonDerivative · entry 2

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $20.00 to $20.02, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 20:06 UTC
Siewers DavidChief Financial Officer
Exercise / conversionCommon Stock 7,420 $0.63 $4,674.60
Disclosure

SEC source: 0001638599-17-000675 · doc4_4830.xml · nonDerivative · entry 1

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,420

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 transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
June 29, 2017 Filed Jun 30, 2017 20:33 UTC
Siewers DavidChief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 5,770 $0.00 Strike: $0.63 $0.00
Disclosure

SEC source: 0001638599-17-000668 · doc4_4828.xml · derivative · entry 6

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,614

Underlying: Common Stock · 5,770 shares

Expires 2020-09-06

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 · shares: The transactions reported for the 5,770 shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F5 · derivative.exercise_date: All shares underlying this option are fully vested.

F2 · derivative.underlying_shares: The transactions reported for the 5,770 shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
June 29, 2017 Filed Jun 30, 2017 20:33 UTC
Siewers DavidChief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 3,846 $0.00 Strike: $0.47 $0.00
Disclosure

SEC source: 0001638599-17-000668 · doc4_4828.xml · derivative · entry 5

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,846 shares

Expires 2019-09-19

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 · shares: The transactions reported for the 3,846 shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F5 · derivative.exercise_date: All shares underlying this option are fully vested.

F1 · derivative.underlying_shares: The transactions reported for the 3,846 shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
June 29, 2017 Filed Jun 30, 2017 20:33 UTC
Siewers DavidChief Financial Officer
SaleCommon Stock 36 $20.00 $720.00
Disclosure

SEC source: 0001638599-17-000668 · doc4_4828.xml · nonDerivative · entry 4

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · shares: The 36 shares sold were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2016.

Read SEC document
June 29, 2017 Filed Jun 30, 2017 20:33 UTC
Siewers DavidChief Financial Officer
SaleCommon Stock 9,616 $20.00 $192,321.92
Disclosure

SEC source: 0001638599-17-000668 · doc4_4828.xml · nonDerivative · entry 3

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36

F1 · shares: The transactions reported for the 3,846 shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F2 · shares: The transactions reported for the 5,770 shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.01, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, or the staff of the Securities and Exchange commission, upon request, full information regarding the number of shares sold at each separate price within the set forth herein.

Read SEC document
June 29, 2017 Filed Jun 30, 2017 20:33 UTC
Siewers DavidChief Financial Officer
Exercise / conversionCommon Stock 5,770 $0.63 $3,635.10
Disclosure

SEC source: 0001638599-17-000668 · doc4_4828.xml · nonDerivative · entry 2

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,652

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 · shares: The transactions reported for the 5,770 shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
June 29, 2017 Filed Jun 30, 2017 20:33 UTC
Siewers DavidChief Financial Officer
Exercise / conversionCommon Stock 3,846 $0.47 $1,807.62
Disclosure

SEC source: 0001638599-17-000668 · doc4_4828.xml · nonDerivative · entry 1

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,882

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 · shares: The transactions reported for the 3,846 shares were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

Read SEC document
June 27, 2017 Filed Jun 28, 2017 20:36 UTC PurchaseWarrant (right to buy) · Derivative 79,130 $0.13 Strike: $17.71 $9,891.25
Disclosure

SEC source: 0001638599-17-000662 · doc4_4824.xml · derivative · entry 4

SPRINGER TIMOTHY A · CIK 0001055624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,130

Underlying: Common Stock · 79,130 shares

Expires 2022-06-27

Read SEC document
June 27, 2017 Filed Jun 28, 2017 20:36 UTC PurchaseCommon Stock 338,791 $17.71 $5,999,988.61
Disclosure

SEC source: 0001638599-17-000662 · doc4_4824.xml · nonDerivative · entry 1

SPRINGER TIMOTHY A · CIK 0001055624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,413

Read SEC document
June 27, 2017 Filed Jun 28, 2017 20:35 UTC
Keller PeterChief Business Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 4,595 $0.00 Strike: $0.63 $0.00
Disclosure

SEC source: 0001638599-17-000661 · doc4_4823.xml · derivative · entry 3

Keller Peter · CIK 0001676904 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,588

Underlying: Common Stock · 4,595 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
June 27, 2017 Filed Jun 28, 2017 20:35 UTC
Keller PeterChief Business Officer
SaleCommon Stock 4,595 $19.30 $88,681.20
Disclosure

SEC source: 0001638599-17-000661 · doc4_4823.xml · nonDerivative · entry 2

Keller Peter · CIK 0001676904 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $19.20 to $19.49, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
June 27, 2017 Filed Jun 28, 2017 20:35 UTC
Keller PeterChief Business Officer
Exercise / conversionCommon Stock 4,595 $0.63 $2,894.85
Disclosure

SEC source: 0001638599-17-000661 · doc4_4823.xml · nonDerivative · entry 1

Keller Peter · CIK 0001676904 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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

Read SEC document
June 26, 2017 Filed Jun 28, 2017 20:35 UTC
Siewers DavidChief Financial Officer
SaleCommon Stock 6,886 $20.00 $137,720.00
Disclosure

SEC source: 0001638599-17-000660 · doc4_4822.xml · nonDerivative · entry 1

Siewers David · CIK 0001676906 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36

Read SEC document
June 16, 2017 Filed Jun 20, 2017 20:41 UTC GrantStock Option (Right to Buy) · Derivative 6,410 $0.00 Strike: $17.47 $0.00
Disclosure

SEC source: 0001638599-17-000638 · doc4_4809.xml · derivative · entry 1

SPRINGER TIMOTHY A · CIK 0001055624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,410

Underlying: Common Stock · 6,410 shares

Expires 2027-06-15

F1 · derivative.exercise_date: The option vests in full on the earlier of June 16, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 16, 2017 Filed Jun 20, 2017 16:42 UTC GrantStock Option (Right to Buy) · Derivative 6,410 $0.00 Strike: $17.47 $0.00
Disclosure

SEC source: 0001638599-17-000640 · doc4_4810.xml · derivative · entry 1

HUTT PETER BARTON · CIK 0001171527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,410

Underlying: Common Stock · 6,410 shares

Expires 2027-06-15

F1 · derivative.exercise_date: The option vests in full on the earlier of June 16, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 16, 2017 Filed Jun 20, 2017 16:38 UTC GrantStock Option (Right to Buy) · Derivative 12,820 $0.00 Strike: $17.47 $0.00
Disclosure

SEC source: 0001638599-17-000637 · doc4_4805.xml · derivative · entry 1

ZENNER PATRICK J · CIK 0001139036 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,820

Underlying: Common Stock · 12,820 shares

Expires 2027-06-15

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 16, 2017 Filed Jun 20, 2017 20:42 UTC GrantStock Option (Right to Buy) · Derivative 6,410 $0.00 Strike: $17.47 $0.00
Disclosure

SEC source: 0001638599-17-000642 · doc4_4808.xml · derivative · entry 1

Farokhzad Omid · CIK 0001586852 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,410

Underlying: Common Stock · 6,410 shares

Expires 2027-06-15

F1 · derivative.exercise_date: The option vests in full on the earlier of June 16, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 16, 2017 Filed Jun 20, 2017 20:42 UTC
Nashat AmirDirector
GrantStock Option (Right to Buy) · Derivative 6,410 $0.00 Strike: $17.47 $0.00
Disclosure

SEC source: 0001638599-17-000641 · doc4_4811.xml · derivative · entry 1

Nashat Amir · CIK 0001575843 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,410

Underlying: Common Stock · 6,410 shares

Expires 2027-06-15

F1 · derivative.exercise_date: The option vests in full on the earlier of June 16, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 16, 2017 Filed Jun 20, 2017 20:42 UTC GrantStock Option (Right to Buy) · Derivative 6,410 $0.00 Strike: $17.47 $0.00
Disclosure

SEC source: 0001638599-17-000639 · doc4_4807.xml · derivative · entry 1

Sallin Aymeric · CIK 0001677660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,410

Underlying: Common Stock · 6,410 shares

Expires 2027-06-15

F1 · derivative.exercise_date: The option vests in full on the earlier of June 16, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 16, 2017 Filed Jun 20, 2017 20:32 UTC GrantStock Option (Right to Buy) · Derivative 6,410 $0.00 Strike: $17.47 $0.00
Disclosure

SEC source: 0001638599-17-000630 · doc4_4806.xml · derivative · entry 1

BARABE TIMOTHY C · CIK 0001237409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,410

Underlying: Common Stock · 6,410 shares

Expires 2027-06-15

F1 · derivative.exercise_date: The option vests in full on the earlier of June 16, 2018 or the day immediately prior to the company's 2018 annual meeting of shareholders.

Read SEC document
June 15, 2017 Filed Jun 19, 2017 20:12 UTC
Johnston Lloyd P.COO and SVP, R*D · 10% owner
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 20,512 $0.00 Strike: $0.47 $0.00
Disclosure

SEC source: 0001638599-17-000626 · doc4_4803.xml · derivative · entry 3

Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R*D · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,512 shares

Expires 2019-07-23

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.

F3 · derivative.exercise_date: All shares underlying this option are fully vested.

Read SEC document
June 15, 2017 Filed Jun 19, 2017 20:12 UTC
Johnston Lloyd P.COO and SVP, R*D · 10% owner
SaleCommon Stock 20,512 $17.00 $348,640.41
Disclosure

SEC source: 0001638599-17-000626 · doc4_4803.xml · nonDerivative · entry 2

Johnston Lloyd P. · CIK 0001676905 · COO and SVP, R*D · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,606

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2016.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.95 to $17.10, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

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.