Last 12 months
Inside the activity.
6 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 1 | 0 |
| May 2026 | 4 | 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 |
|---|---|---|---|---|---|---|
| April 15, 2019 Filed Apr 17, 2019 18:43 UTC |
Vukovic VojoSVP, Chief Medical Officer
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0000899243-19-010815 · doc4.xml · derivative · entry 1 Vukovic Vojo · CIK 0001466794 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-04-14 F1 · derivative.exercise_date: This option was granted on April 15, 2019. The shares underlying the option are scheduled to vest in equal monthly installments over four years from April 15, 2019. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 22:45 UTC |
Wanstall RickVP, Finance and Operations
|
GrantStock Option (right to buy) · Derivative | 59,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0000899243-19-010819 · doc4.xml · derivative · entry 1 Wanstall Rick · CIK 0001771222 · VP, Finance and Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,000 Underlying: Common Stock · 59,000 shares Expires 2029-04-14 F1 · derivative.exercise_date: This option was granted on April 15, 2019. The shares underlying the option are scheduled to vest in equal monthly installments over four years from April 15, 2019. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 22:44 UTC |
Dougherty DonaldSVP & Chief Financial Officer
|
GrantStock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0000899243-19-010818 · doc4.xml · derivative · entry 1 Dougherty Donald · CIK 0001709592 · SVP & Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2029-04-14 F1 · derivative.exercise_date: This option was granted on April 15, 2019. The shares underlying the option are scheduled to vest in equal monthly installments over four years from April 15, 2019. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 22:41 UTC |
Aivado ManuelDirector · President and CEO
|
GrantStock Option (right to buy) · Derivative | 500,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0000899243-19-010813 · doc4.xml · derivative · entry 1 Aivado Manuel · CIK 0001709603 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2029-04-14 F1 · derivative.exercise_date: This option was granted on April 15, 2019. The shares underlying the option are scheduled to vest in equal monthly installments over four years from April 15, 2019. Read SEC document |
| April 15, 2019 Filed Apr 17, 2019 22:40 UTC |
Gregory KathrynSVP, Chief Business Officer
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0000899243-19-010811 · doc4.xml · derivative · entry 1 Gregory Kathryn · CIK 0001768530 · SVP, Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-04-14 F1 · derivative.exercise_date: This option was granted on April 15, 2019. The shares underlying the option are scheduled to vest in equal monthly installments over four years from April 15, 2019. Read SEC document |
| April 02, 2019 Filed Apr 4, 2019 00:22 UTC |
Sigal Nolan HowardDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0000899243-19-009894 · doc4.xml · derivative · entry 1 Sigal Nolan Howard · CIK 0001323291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-04-01 F1 · derivative.exercise_date: This option was granted on April 2, 2019. The shares underlying the option are scheduled to vest in equal annual installments over three years from April 2, 2019. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 00:23 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 20,610 | $1.90 | $39,159.00 |
DisclosureSEC source: 0000925421-19-000143 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,079,394 F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.81 to $2.02. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| March 29, 2019 Filed Apr 3, 2019 00:23 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 106,540 | $1.85 | $197,099.00 |
DisclosureSEC source: 0000925421-19-000143 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100,004 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.76 to $1.96. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| March 15, 2019 Filed Mar 15, 2019 21:25 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 43,800 | $1.92 | $84,096.00 |
DisclosureSEC source: 0000925421-19-000114 · edgar.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,206,544 F4 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.85 to $2.02. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 21:25 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 13,800 | $1.88 | $25,944.00 |
DisclosureSEC source: 0000925421-19-000114 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,250,344 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.85 to $1.915. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| March 13, 2019 Filed Mar 15, 2019 21:25 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 132,738 | $2.12 | $281,404.56 |
DisclosureSEC source: 0000925421-19-000114 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,264,144 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.00 to $2.42. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| February 25, 2019 Filed Feb 25, 2019 22:51 UTC |
Gregory KathrynSVP, Chief Business Officer
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $1.47 | $0.00 |
DisclosureSEC source: 0000899243-19-004732 · doc4.xml · derivative · entry 1 Gregory Kathryn · CIK 0001768530 · SVP, Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-02-24 F1 · derivative.exercise_date: This option was granted on February 25, 2019. The shares underlying the option are scheduled to vest as to 25% of the shares on February 25, 2020 and thereafter in equal monthly installments through February 25, 2023. Read SEC document |
| November 05, 2018 Filed Nov 6, 2018 18:18 UTC |
Vukovic VojoSVP, Chief Medical Officer
|
GrantStock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $2.16 | $0.00 |
DisclosureSEC source: 0000899243-18-028339 · doc4.xml · derivative · entry 1 Vukovic Vojo · CIK 0001466794 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2028-11-04 F1 · derivative.exercise_date: This option was granted on November 5, 2018. The shares underlying the option are scheduled to vest as to 25% of the shares on November 5, 2019 and thereafter in equal monthly installments through November 5, 2022. Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 21:47 UTC |
Aivado ManuelDirector · President and CEO
|
GrantStock Option (right to buy) · Derivative | 232,914 | $0.00 Strike: $3.39 | $0.00 |
DisclosureSEC source: 0000899243-18-024025 · doc4.xml · derivative · entry 1 Aivado Manuel · CIK 0001709603 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,914 Underlying: Common Stock · 232,914 shares Expires 2028-09-05 F1 · derivative.exercise_date: This option was granted on September 6, 2018. The shares underlying the option are scheduled to vest in equal monthly installments over four years from September 6, 2018. Read SEC document |
| August 20, 2018 Filed Aug 22, 2018 20:34 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 20,388 | $2.30 | $46,892.40 |
DisclosureSEC source: 0000925421-18-000300 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,396,882 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.06 to $2.53. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 21:12 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 8,700 | $2.10 | $18,270.00 |
DisclosureSEC source: 0000925421-18-000294 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,417,270 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.02 to $2.18. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 16, 2018 Filed Aug 20, 2018 21:12 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 8,808 | $2.10 | $18,496.80 |
DisclosureSEC source: 0000925421-18-000294 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,425,970 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.02 to $2.20. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 15, 2018 Filed Aug 16, 2018 20:18 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 2,635 | $2.15 | $5,665.25 |
DisclosureSEC source: 0000925421-18-000292 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,434,778 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.13 to $2.25. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 14, 2018 Filed Aug 16, 2018 20:18 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 3,300 | $2.26 | $7,458.00 |
DisclosureSEC source: 0000925421-18-000292 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,437,413 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.17 to $2.33. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 13, 2018 Filed Aug 14, 2018 21:05 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 1,600 | $2.36 | $3,776.00 |
DisclosureSEC source: 0000925421-18-000290 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,440,713 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.32 to $2.40. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 21:05 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 5,615 | $2.44 | $13,700.60 |
DisclosureSEC source: 0000925421-18-000290 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,442,313 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.40 to $2.48. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 23:38 UTC |
LONGENECKER JOHN P PHDPresident and CEO
|
PurchaseCommon Stock | 10,000 | $2.45 | $24,500.00 |
DisclosureSEC source: 0000899243-18-022378 · doc4.xml · nonDerivative · entry 1 LONGENECKER JOHN P PHD · CIK 0001288231 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.40 to $2.48, inclusive. The reporting person undertakes to provide to Aileron Therapeutics, Inc., any security holder of Aileron Therapeutics, Inc., 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 range set forth in this footnote. Read SEC document |
| August 09, 2018 Filed Aug 10, 2018 20:29 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 235 | $2.48 | $582.80 |
DisclosureSEC source: 0000925421-18-000284 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,447,928 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.47 to $2.50. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 08, 2018 Filed Aug 10, 2018 20:29 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 1,000 | $2.78 | $2,780.00 |
DisclosureSEC source: 0000925421-18-000284 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,448,163 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.77 to $2.81. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 07, 2018 Filed Aug 8, 2018 20:21 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 1,739 | $2.97 | $5,164.83 |
DisclosureSEC source: 0000925421-18-000282 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,449,163 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.95 to $2.98. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 06, 2018 Filed Aug 8, 2018 20:21 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 2,942 | $3.02 | $8,884.84 |
DisclosureSEC source: 0000925421-18-000282 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,450,902 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.00 to $3.03. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 02, 2018 Filed Aug 6, 2018 20:22 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 4,702 | $3.33 | $15,657.66 |
DisclosureSEC source: 0000925421-18-000278 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,453,844 F1 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 20:33 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 8,181 | $3.22 | $26,342.82 |
DisclosureSEC source: 0000925421-18-000274 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,458,546 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.10 to $3.25. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 20:33 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 4,500 | $3.07 | $13,815.00 |
DisclosureSEC source: 0000925421-18-000274 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,466,727 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.08 to $3.14. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 30, 2018 Filed Jul 31, 2018 20:16 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 2,000 | $3.27 | $6,540.00 |
DisclosureSEC source: 0000925421-18-000265 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,471,227 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.14 to $3.30. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 27, 2018 Filed Jul 31, 2018 20:16 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 6,458 | $3.38 | $21,828.04 |
DisclosureSEC source: 0000925421-18-000265 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,473,227 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.36 to $3.50. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 26, 2018 Filed Jul 27, 2018 20:21 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 7,937 | $3.63 | $28,811.31 |
DisclosureSEC source: 0000925421-18-000263 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,479,685 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.52 to $3.81. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 20:21 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 12,460 | $3.84 | $47,846.40 |
DisclosureSEC source: 0000925421-18-000263 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,487,622 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.75 to $3.92. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 20:35 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 700 | $4.11 | $2,877.00 |
DisclosureSEC source: 0000925421-18-000261 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500,082 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $4.04 to $4.22. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 23, 2018 Filed Jul 25, 2018 20:35 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 30,600 | $4.25 | $130,050.00 |
DisclosureSEC source: 0000925421-18-000261 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500,782 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $4.23 to $4.33. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 17, 2018 Filed Jul 18, 2018 20:17 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 12,500 | $4.71 | $58,875.00 |
DisclosureSEC source: 0000925421-18-000259 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,531,382 F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 20:17 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 300 | $5.15 | $1,545.00 |
DisclosureSEC source: 0000925421-18-000259 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,543,882 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $5.14 to $5.16. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 06, 2018 Filed Jul 10, 2018 16:26 UTC |
APPLE TREE PARTNERS II LP10% owner
|
OtherCommon Stock | 1,380,241 | $0.00 | $0.00 |
DisclosureSEC source: 0001012975-18-000906 · edgar.xml · nonDerivative · entry 1 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On July 6, 2018, Apple Tree Partners II, L.P. distributed 1,380,241 shares of the Issuer's Common Stock on a pro rata basis to its partners for no consideration. Following the distribution, Apple Tree Partners II, L.P. was no longer a holder of record of the Issuer's shares. F2 · ownership.direct: Dr. Seth L. Harrison is the general partner of Apple Tree Ventures II, L.P., the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares previously held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison had sole voting and investment power over the shares previously held by Apple Tree Partners II, L.P. Read SEC document |
| July 06, 2018 Filed Jul 10, 2018 20:27 UTC |
Apple Tree Partners II - Annex, L.P.10% owner
|
OtherCommon Stock | 655,797 | $0.00 | $0.00 |
DisclosureSEC source: 0001012975-18-000907 · edgar.xml · nonDerivative · entry 1 Apple Tree Partners II - Annex, L.P. · CIK 0001553255 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On July 6, 2018, Apple Tree Partners II - Annex, L.P. distributed 655,797 shares of the Issuer's Common Stock on a pro rata basis to its partners for no consideration. Following the distribution, Apple Tree Partners II - Annex, L.P. was no longer a holder of record of the Issuer's shares. F2 · ownership.direct: Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II - Annex, L.P., and Dr. Harrison disclaims beneficial ownership of the shares previously held by Apple Tree Partners II - Annex, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison had sole voting and investment power over the shares previously held by Apple Tree Partners II - Annex, L.P. Read SEC document |
| June 26, 2018 Filed Jun 26, 2018 18:15 UTC |
APPLE TREE PARTNERS II LP10% owner
|
SaleCommon Stock | 10,528 | $5.45 | $57,424.98 |
DisclosureSEC source: 0001012975-18-000866 · edgar.xml · nonDerivative · entry 3 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,380,241 F4 · price: The transaction was executed in multiple trades at prices ranging from $5.30 to $5.75. The price above reflects the weighted average transaction price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.direct: Dr. Seth L. Harrison is the general partner of Apple Tree Ventures II, L.P., the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| June 25, 2018 Filed Jun 26, 2018 18:15 UTC |
APPLE TREE PARTNERS II LP10% owner
|
SaleCommon Stock | 913 | $5.86 | $5,353.01 |
DisclosureSEC source: 0001012975-18-000866 · edgar.xml · nonDerivative · entry 2 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,390,769 F3 · price: The transaction was executed in multiple trades at prices ranging from $5.75 to $6.00. The price above reflects the weighted average transaction price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.direct: Dr. Seth L. Harrison is the general partner of Apple Tree Ventures II, L.P., the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 18:15 UTC |
APPLE TREE PARTNERS II LP10% owner
|
SaleCommon Stock | 94,816 | $5.98 | $566,743.68 |
DisclosureSEC source: 0001012975-18-000866 · edgar.xml · nonDerivative · entry 1 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,391,682 F1 · price: The transaction was executed in multiple trades at prices ranging from $5.66 to $6.12. The price above reflects the weighted average transaction price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.direct: Dr. Seth L. Harrison is the general partner of Apple Tree Ventures II, L.P., the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| June 21, 2018 Filed Jun 21, 2018 21:36 UTC |
APPLE TREE PARTNERS II LP10% owner
|
SaleCommon Stock | 1,447 | $5.30 | $7,669.10 |
DisclosureSEC source: 0001012975-18-000862 · edgar.xml · nonDerivative · entry 2 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,486,498 F1 · ownership.direct: Dr. Seth L. Harrison is the general partner of Apple Tree Ventures II, L.P., the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 18:16 UTC |
Ambros Reinhard J.Director
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $6.02 | $0.00 |
DisclosureSEC source: 0000899243-18-017967 · doc4.xml · derivative · entry 1 Ambros Reinhard J. · CIK 0001709690 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-20 F1 · derivative.exercise_date: This option was granted on June 21, 2018. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 21, 2019 or (ii) the date of the Issuer's 2019 Annual Meeting of Stockholders. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 18:13 UTC |
Winder Caleb MaxfieldDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $6.02 | $0.00 |
DisclosureSEC source: 0000899243-18-017961 · doc4.xml · derivative · entry 1 Winder Caleb Maxfield · CIK 0001709840 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-20 F1 · derivative.exercise_date: This option was granted on June 21, 2018. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 21, 2019 or (ii) the date of the Issuer's 2019 Annual Meeting of Stockholders. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 18:25 UTC |
Shanafelt ArmenDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $6.02 | $0.00 |
DisclosureSEC source: 0000899243-18-017977 · doc4.xml · derivative · entry 1 Shanafelt Armen · CIK 0001656151 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-20 F1 · derivative.exercise_date: This option was granted on June 21, 2018. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 21, 2019 or (ii) the date of the Issuer's 2019 Annual Meeting of Stockholders. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 22:48 UTC |
Morrison Jodie PopeDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $6.02 | $0.00 |
DisclosureSEC source: 0000899243-18-017982 · doc4.xml · derivative · entry 1 Morrison Jodie Pope · CIK 0001618247 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-20 F1 · derivative.exercise_date: This option was granted on June 21, 2018. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 21, 2019 or (ii) the date of the Issuer's 2019 Annual Meeting of Stockholders. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 22:20 UTC |
Bailey Jeffrey AllenDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $6.02 | $0.00 |
DisclosureSEC source: 0000899243-18-017972 · doc4.xml · derivative · entry 1 Bailey Jeffrey Allen · CIK 0001500210 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-20 F1 · derivative.exercise_date: This option was granted on June 21, 2018. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 21, 2019 or (ii) the date of the Issuer's 2019 Annual Meeting of Stockholders. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 22:12 UTC |
MCARTHUR JOHN HDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $6.02 | $0.00 |
DisclosureSEC source: 0000899243-18-017960 · doc4.xml · derivative · entry 1 MCARTHUR JOHN H · CIK 0001242370 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-20 F1 · derivative.exercise_date: This option was granted on June 21, 2018. The shares underlying the option are scheduled to vest in full on the earlier of (i) June 21, 2019 or (ii) the date of the Issuer's 2019 Annual Meeting of Stockholders. Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 21:36 UTC |
APPLE TREE PARTNERS II LP10% owner
|
SaleCommon Stock | 5,200 | $5.30 | $27,563.64 |
DisclosureSEC source: 0001012975-18-000862 · edgar.xml · nonDerivative · entry 1 APPLE TREE PARTNERS II LP · CIK 0001143789 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,487,945 F1 · ownership.direct: Dr. Seth L. Harrison is the general partner of Apple Tree Ventures II, L.P., the general partner of Apple Tree Partners II, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II, L.P. 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.