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 |
|---|---|---|---|---|---|---|
| June 01, 2022 Filed Jun 3, 2022 16:44 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-22-000099 · wf-form4_165428903107199.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 534,390 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 09, 2022 Filed May 11, 2022 20:21 UTC |
BARABE TIMOTHY CDirector
|
PurchaseCommon Stock | 50,000 | $0.77 | $38,720.00 |
DisclosureSEC source: 0001453687-22-000090 · wf-form4_165230048591024.xml · nonDerivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,013 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $0.77 to $0.78. 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 |
| April 11, 2022 Filed Apr 14, 2022 01:07 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
GrantWarrant (right to buy) · Derivative | 5,011,200 | Not disclosed Strike: $1.55 | Not disclosed |
DisclosureSEC source: 0001453687-22-000057 · wf-form4_164989842475165.xml · derivative · entry 4 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,011,200 Underlying: Common Stock · 5,011,200 shares Expires 2027-04-11 F1 · price: Each share of common stock and accompanying warrant to purchase 0.75 shares of common stock was purchased at a combined ofering price of $1.41. The shares of common stock and accompanying warrants were acquired by the reporting person as units, but were issued separately and were immediately separable upon issuance. 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 |
| April 11, 2022 Filed Apr 14, 2022 01:07 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 6,681,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001453687-22-000057 · wf-form4_164989842475165.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 29,868,490 F1 · price: Each share of common stock and accompanying warrant to purchase 0.75 shares of common stock was purchased at a combined ofering price of $1.41. The shares of common stock and accompanying warrants were acquired by the reporting person as units, but were issued separately and were immediately separable upon issuance. 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 |
| March 02, 2022 Filed Mar 3, 2022 16:35 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 5,443 | $1.81 | $9,863.26 |
DisclosureSEC source: 0001453687-22-000044 · wf-form4_164634331527341.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523,452 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 $1.80 to $1.825. 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, 2022 Filed Mar 3, 2022 16:35 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-22-000044 · wf-form4_164634331527341.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,813 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, 2022 Filed Mar 3, 2022 16:35 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-22-000044 · wf-form4_164634331527341.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 528,895 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 |
| January 14, 2022 Filed Jan 18, 2022 21:19 UTC |
BARABE TIMOTHY CDirector
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 10,000 | $2.10 Strike: $2.10 | $21,000.00 |
DisclosureSEC source: 0001453687-22-000036 · wf-form4_164254076389982.xml · derivative · entry 2 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2029-06-13 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. F1 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 14, 2022 Filed Jan 18, 2022 21:19 UTC |
BARABE TIMOTHY CDirector
|
Exercise / conversionCommon Stock | 10,000 | $2.10 | $21,000.00 |
DisclosureSEC source: 0001453687-22-000036 · wf-form4_164254076389982.xml · nonDerivative · entry 1 BARABE TIMOTHY C · CIK 0001237409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,013 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 |
| January 05, 2022 Filed Jan 7, 2022 16:17 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 13,597 | $3.09 | $41,958.98 |
DisclosureSEC source: 0001453687-22-000031 · wf-form4_164159025635618.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517,958 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 $2.99 to $3.17. 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 |
| January 05, 2022 Filed Jan 7, 2022 21:18 UTC |
TRABER PETER GChief Medical Officer
|
SaleCommon Stock | 3,226 | $3.09 | $9,955.11 |
DisclosureSEC source: 0001453687-22-000034 · wf-form4_164159030863488.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,355 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 $2.99 to $3.17. 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 |
| January 05, 2022 Filed Jan 7, 2022 21:18 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
SaleCommon Stock | 3,416 | $3.09 | $10,541.43 |
DisclosureSEC source: 0001453687-22-000033 · wf-form4_164159029049282.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,353 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 $2.99 to $3.17. 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 |
| January 05, 2022 Filed Jan 7, 2022 21:18 UTC |
Johnston Lloyd P.Chief Operations Officer
|
SaleCommon Stock | 3,416 | $3.09 | $10,541.43 |
DisclosureSEC source: 0001453687-22-000032 · wf-form4_164159027075368.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,299 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 $2.99 to $3.17. 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 |
| January 03, 2022 Filed Jan 5, 2022 21:35 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000023 · wf-form4_164141850647692.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 2032-01-02 F1 · derivative.exercise_date: The shares of Common Stock underlying this award will vest in full on January 3, 2023. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:32 UTC |
COX CARRIE SMITHDirector
|
GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000017 · wf-form4_164141832752094.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 2032-01-02 F1 · derivative.exercise_date: The shares of Common Stock underlying this award will vest in full on January 3, 2023. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 16:31 UTC |
ANDO GORANDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000014 · wf-form4_164141824527967.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 2032-01-02 F1 · derivative.exercise_date: The shares of Common Stock underlying this award will vest in full on January 3, 2023. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 16:36 UTC |
ZENNER PATRICK JDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000026 · wf-form4_164141859340066.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 2032-01-02 F1 · derivative.exercise_date: The shares of Common Stock underlying this award will vest in full on January 3, 2023. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 16:32 UTC |
Brunn CarstenDirector · President and CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 1,056,100 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000016 · wf-form4_164141830853581.xml · derivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,056,100 Underlying: Common Stock · 1,056,100 shares Expires 2032-01-02 F2 · derivative.exercise_date: This option vests as to 25% on January 3, 2023. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 16:32 UTC |
Brunn CarstenDirector · President and CEO
|
GrantCommon Stock | 226,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-22-000016 · wf-form4_164141830853581.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 531,555 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 3, 2023. 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 3, 2026. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 16:33 UTC |
DeSilva Nishan MDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000018 · wf-form4_164141836846044.xml · derivative · entry 1 DeSilva Nishan M · CIK 0001492386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2032-01-02 F1 · derivative.exercise_date: The shares of Common Stock underlying this award will vest in full on January 3, 2023. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:36 UTC |
TRABER PETER GChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 415,900 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000025 · wf-form4_164141856949283.xml · derivative · entry 2 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 415,900 Underlying: Common Stock · 415,900 shares Expires 2032-01-02 F2 · derivative.exercise_date: This option vests as to 25% on January 3, 2023. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:36 UTC |
TRABER PETER GChief Medical Officer
|
GrantCommon Stock | 90,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-22-000025 · wf-form4_164141856949283.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,581 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 3, 2023. 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 3, 2026. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:36 UTC |
Tan KevinChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 340,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000024 · wf-form4_164141854853886.xml · derivative · entry 2 Tan Kevin · CIK 0001884056 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,000 Underlying: Common Stock · 340,000 shares Expires 2032-01-02 F2 · derivative.exercise_date: This option vests as to 25% on January 3, 2023. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:36 UTC |
Tan KevinChief Financial Officer
|
GrantCommon Stock | 72,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-22-000024 · wf-form4_164141854853886.xml · nonDerivative · entry 1 Tan Kevin · CIK 0001884056 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,000 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 3, 2023. 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 3, 2026. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:34 UTC |
Myers Scott DunsethDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000021 · wf-form4_164141846145841.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 2032-01-02 F1 · derivative.exercise_date: The shares of Common Stock underlying this award will vest in full on January 3, 2023. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:35 UTC |
Sallin AymericDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000022 · wf-form4_164141848053037.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 2032-01-02 F1 · derivative.exercise_date: The shares of Common Stock underlying this award will vest in full on January 3, 2023. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:34 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 340,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000020 · wf-form4_164141844549022.xml · derivative · entry 2 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,000 Underlying: Common Stock · 340,000 shares Expires 2032-01-02 F2 · derivative.exercise_date: This option vests as to 25% on January 3, 2023. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:34 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
GrantCommon Stock | 72,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-22-000020 · wf-form4_164141844549022.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,769 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 3, 2023. 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 3, 2026. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:31 UTC |
BARABE TIMOTHY CDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000015 · wf-form4_164141827353177.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 2032-01-02 F1 · derivative.exercise_date: The shares of Common Stock underlying this award will vest in full on January 3, 2023. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:33 UTC |
Johnston Lloyd P.Chief Operations Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 340,000 | $0.00 Strike: $3.31 | $0.00 |
DisclosureSEC source: 0001453687-22-000019 · wf-form4_164141842250529.xml · derivative · entry 2 Johnston Lloyd P. · CIK 0001676905 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,000 Underlying: Common Stock · 340,000 shares Expires 2032-01-02 F2 · derivative.exercise_date: This option vests as to 25% on January 3, 2023. The remainder of the underlying shares will vest in 36 equal monthly installments thereafter. Read SEC document |
| January 03, 2022 Filed Jan 5, 2022 21:33 UTC |
Johnston Lloyd P.Chief Operations Officer
|
GrantCommon Stock | 72,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-22-000019 · wf-form4_164141842250529.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,715 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 3, 2023. 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 3, 2026. Read SEC document |
| December 15, 2021 Filed Dec 17, 2021 21:36 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 211,190 | $2.99 | $631,099.08 |
DisclosureSEC source: 0001453687-21-000188 · wf-form4_163977694300882.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 23,186,890 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.95 to $3.00. 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 |
| December 13, 2021 Filed Dec 13, 2021 22:16 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 14,592 | $2.98 | $43,491.46 |
DisclosureSEC source: 0001453687-21-000178 · wf-form4_163943377202254.xml · nonDerivative · entry 3 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 22,975,700 F3 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.9698 to $3.00. 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. 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 |
| December 10, 2021 Filed Dec 13, 2021 22:16 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 58,681 | $2.99 | $175,438.59 |
DisclosureSEC source: 0001453687-21-000178 · wf-form4_163943377202254.xml · nonDerivative · entry 2 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 22,961,108 F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.94 to $3.00. 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. 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 |
| December 10, 2021 Filed Dec 14, 2021 17:16 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 17,196 | $2.99 | $51,362.73 |
DisclosureSEC source: 0001453687-21-000183 · wf-form4_163952015012703.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 305,255 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 $2.94 to $3.0201. 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 10, 2021 Filed Dec 14, 2021 22:17 UTC |
TRABER PETER GChief Medical Officer
|
SaleCommon Stock | 4,083 | $2.99 | $12,195.51 |
DisclosureSEC source: 0001453687-21-000186 · wf-form4_163952020317161.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,381 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 $2.94 to $3.0201. 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 10, 2021 Filed Dec 14, 2021 22:16 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
SaleCommon Stock | 4,370 | $2.99 | $13,052.75 |
DisclosureSEC source: 0001453687-21-000185 · wf-form4_163952018706703.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,769 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 $2.94 to $3.0201. 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 10, 2021 Filed Dec 14, 2021 22:16 UTC |
Johnston Lloyd P.Chief Operations Officer
|
SaleCommon Stock | 4,370 | $2.99 | $13,052.75 |
DisclosureSEC source: 0001453687-21-000184 · wf-form4_163952016550751.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,715 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 $2.94 to $3.0201. 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 09, 2021 Filed Dec 13, 2021 22:16 UTC |
SPRINGER TIMOTHY ADirector · 10% owner
|
PurchaseCommon Stock | 3,748,000 | $3.06 | $11,468,880.00 |
DisclosureSEC source: 0001453687-21-000178 · wf-form4_163943377202254.xml · nonDerivative · entry 1 SPRINGER TIMOTHY A · CIK 0001055624 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 22,902,427 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 |
| December 08, 2021 Filed Dec 10, 2021 17:06 UTC |
Brunn CarstenDirector · President and CEO
|
GrantCommon Stock | 37,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000173 · wf-form4_163917398636442.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 322,451 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 were earned based on the achievement of two separate performance conditions related to the Issuer's operating and research and development activities. The compensation committee of the board of directors of the Issuer has determined that the second of the performance conditions has been met, and accordingly 37,500 Performance RSUs vested on December 8, 2021, Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 22:07 UTC |
Kishimoto Takashi KeiChief Scientific Officer
|
GrantCommon Stock | 13,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000175 · wf-form4_163917402992018.xml · nonDerivative · entry 1 Kishimoto Takashi Kei · CIK 0001676930 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,139 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 were earned based on the achievement of two separate performance conditions related to the Issuer's operating and research and development activities. The compensation committee of the board of directors of the Issuer has determined that the second of the performance conditions has been met, and accordingly 13,750 Performance RSUs vested on December 8, 2021. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 22:07 UTC |
TRABER PETER GChief Medical Officer
|
GrantCommon Stock | 13,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000176 · wf-form4_163917405252050.xml · nonDerivative · entry 1 TRABER PETER G · CIK 0001284500 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,464 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 were earned based on the achievement of two separate performance conditions related to the Issuer's operating and research and development activities. The compensation committee of the board of directors of the Issuer has determined that the second of the performance conditions has been met, and accordingly 13,750 Performance RSUs vested on December 8, 2021, Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 22:07 UTC |
Johnston Lloyd P.Chief Operations Officer
|
GrantCommon Stock | 13,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000174 · wf-form4_163917400856591.xml · nonDerivative · entry 1 Johnston Lloyd P. · CIK 0001676905 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,085 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 were earned based on the achievement of two separate performance conditions related to the Issuer's operating and research and development activities. The compensation committee of the board of directors of the Issuer has determined that the second of the performance conditions has been met, and accordingly 13,750 Performance RSUs vested on December 8, 2021. Read SEC document |
| December 03, 2021 Filed Dec 6, 2021 21:25 UTC |
COX CARRIE SMITHDirector
|
PurchaseCommon Stock | 17,200 | $2.95 | $50,664.32 |
DisclosureSEC source: 0001453687-21-000162 · wf-form4_163882589265567.xml · nonDerivative · entry 1 COX CARRIE SMITH · CIK 0001110753 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,881 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.93 to $2.95. 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, 2021 Filed Dec 3, 2021 16:28 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 4,746 | $2.96 | $14,064.77 |
DisclosureSEC source: 0001453687-21-000158 · wf-form4_163856690437223.xml · nonDerivative · entry 2 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,951 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 $2.94 to $2.99. 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 02, 2021 Filed Dec 6, 2021 16:25 UTC |
DeSilva Nishan MDirector
|
PurchaseCommon Stock | 7,000 | $2.96 | $20,722.80 |
DisclosureSEC source: 0001453687-21-000163 · wf-form4_163882590930406.xml · nonDerivative · entry 1 DeSilva Nishan M · CIK 0001492386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.8999 to $2.9899. 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, 2021 Filed Dec 6, 2021 21:25 UTC |
Tan KevinChief Financial Officer
|
PurchaseCommon Stock | 5,000 | $3.03 | $15,126.50 |
DisclosureSEC source: 0001453687-21-000164 · wf-form4_163882593226916.xml · nonDerivative · entry 1 Tan Kevin · CIK 0001884056 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $3.02 to $3.0293. 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 01, 2021 Filed Dec 3, 2021 16:28 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionRestricted Stock Units · Derivative | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000158 · wf-form4_163856690437223.xml · derivative · entry 3 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,750 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 |
| December 01, 2021 Filed Dec 3, 2021 16:28 UTC |
Brunn CarstenDirector · President and CEO
|
Exercise / conversionCommon Stock | 10,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001453687-21-000158 · wf-form4_163856690437223.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,697 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 13, 2021 Filed Oct 15, 2021 18:07 UTC |
Brunn CarstenDirector · President and CEO
|
SaleCommon Stock | 15,313 | $4.39 | $67,224.07 |
DisclosureSEC source: 0001453687-21-000141 · wf-form4_163433561231518.xml · nonDerivative · entry 1 Brunn Carsten · CIK 0001760229 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,759 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.