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Nasdaq · USD

SCNX

Scienture Holdings, Inc.

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7802
SEC CIK
0001382574
Parsed reports
69

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 13, 2020 Filed Jul 21, 2020 23:28 UTC
Patel PrashantDirector · President · 10% owner
SaleCommon stock 500 $5.71 $2,855.00
Disclosure

SEC source: 0001493152-20-013735 · ownership.xml · nonDerivative · entry 1

Patel Prashant · CIK 0001617460 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,274,500

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the April 2020 grant of certain restricted stock which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3(b).

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June 12, 2020 Filed Jun 16, 2020 21:00 UTC
AJJARAPU SURENDRA KDirector · CEO · 10% owner
OtherCommon stock 201,613 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-20-011267 · ownership.xml · nonDerivative · entry 1

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,112,516

F1 · kind: In April 2018, Mr. Ajjarapu, through an entity which he owned, entered into an agreement with a third party to purchase certain shares of common stock of Nexgen Memantine, Inc. ("Nexgen"). The purchase price for the shares was $1.5 million, which amount was due prior to December 31, 2019. In order to secure the payment of the purchase price, Mr. Ajjarapu provided the seller a security interest in, and pledged into escrow, 212,500 of his shares of the Issuer's common stock. Mr. Ajjarapu retained all voting and other rights associated with the pledged stock.

F2 · kind: The purchase agreement provided that if the purchase price was not paid on December 31, 2019, an amount of Mr. Ajjarapu's shares equal in value to $1.5 million, based on 30-day average stock prices, would be transferred to the seller to satisfy the $1.5 million obligation. The purchase price was not paid on December 31, 2019, and Mr. Ajjarapu, effective on June 12, 2020, transferred 201,613 shares of the Issuer's common stock to the seller, based on a 30-day average stock price of $7.44, to satisfy the stock purchase obligation.

F2 · price: The purchase agreement provided that if the purchase price was not paid on December 31, 2019, an amount of Mr. Ajjarapu's shares equal in value to $1.5 million, based on 30-day average stock prices, would be transferred to the seller to satisfy the $1.5 million obligation. The purchase price was not paid on December 31, 2019, and Mr. Ajjarapu, effective on June 12, 2020, transferred 201,613 shares of the Issuer's common stock to the seller, based on a 30-day average stock price of $7.44, to satisfy the stock purchase obligation.

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April 14, 2020 Filed Apr 16, 2020 00:00 UTC GrantCommon stock 8,987 $6.12 $55,000.44
Disclosure

SEC source: 0001493152-20-006499 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,987

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2020 and January 1 and April 1, 2021, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

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April 14, 2020 Filed Apr 16, 2020 00:55 UTC
AJJARAPU SURENDRA KDirector · CEO · 10% owner
GrantCommon stock 49,020 $6.12 $300,002.40
Disclosure

SEC source: 0001493152-20-006506 · ownership.xml · nonDerivative · entry 2

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,314,129

F3 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest upon the Company reaching certain milestones as of December 31, 2020, as set forth in greater detail in the Reporting Person's employment agreement with the Company, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as CEO of the Issuer.

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April 14, 2020 Filed Apr 16, 2020 00:55 UTC
AJJARAPU SURENDRA KDirector · CEO · 10% owner
GrantCommon stock 74,484 $6.12 $455,842.08
Disclosure

SEC source: 0001493152-20-006506 · ownership.xml · nonDerivative · entry 1

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,265,109

F1 · shares: Shares are fully earned as of April 14, 2020. The table above includes the full amount of such shares which are fully earned by the Reporting Person as of April 14, 2020, even though such shares have not been issued as of the date of this filing.

F2 · price: Issued to the Reporting Person as a compensation bonus for 2019. Exempt under Rule 16b-3(d).

Read SEC document
April 14, 2020 Filed Apr 16, 2020 00:02 UTC GrantCommon stock 8,987 $6.12 $55,000.44
Disclosure

SEC source: 0001493152-20-006501 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,987

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2020 and January 1 and April 1, 2021, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

Read SEC document
April 14, 2020 Filed Apr 16, 2020 00:05 UTC GrantCommon stock 8,987 $6.12 $55,000.44
Disclosure

SEC source: 0001493152-20-006503 · ownership.xml · nonDerivative · entry 1

Tenaerts Pamela · CIK 0001794913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,987

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2020 and January 1 and April 1, 2021, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

Read SEC document
April 14, 2020 Filed Apr 15, 2020 23:58 UTC GrantCommon stock 12,500 $6.12 $76,500.00
Disclosure

SEC source: 0001493152-20-006497 · ownership.xml · nonDerivative · entry 1

Doss Howard A. · CIK 0001616534 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2020 and January 1 and April 1, 2021, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as Chief Financial Officer.

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April 14, 2020 Filed Apr 16, 2020 10:31 UTC
Patel PrashantDirector · President · 10% owner
GrantCommon stock 50,000 $6.12 $306,000.00
Disclosure

SEC source: 0001493152-20-006510 · ownership.xml · nonDerivative · entry 1

Patel Prashant · CIK 0001617460 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,255,000

F1 · shares: Shares are fully earned as of April 14, 2020, The table above includes the full amount of such shares which are fully earned by the Reporting Person as of April 14, 2020, even though such shares have not been issued as of the date of this report.

F2 · price: Issued to the Reporting Person as a compensation bonus for 2019. Exempt under Rule 16b-3(d).

Read SEC document
April 14, 2020 Filed Apr 15, 2021 20:31 UTC Amendment GrantCommon stock 8,987 $6.12 $55,000.44
Disclosure

SEC source: 0001493152-21-008891 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,968

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2020 and January 1 and April 1, 2021, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

F3 · balance_after: This Amended Form 4 is being filed to update the Reporting Person's beneficial ownership to include 981 shares of common stock which were inadvertently left out of the original filing.

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April 01, 2020 Filed Apr 2, 2020 18:44 UTC GrantStock Option · Derivative 16,667 Not disclosed Strike: $7.50 Not disclosed
Disclosure

SEC source: 0001493152-20-005683 · ownership.xml · derivative · entry 1

Tenaerts Pamela · CIK 0001794913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 16,667 shares

Expires 2029-11-19

F2 · price: Granted in consideration for service on the Board of Directors. Granted under the Issuer's 2019 Equity Incentive Plan. Exempt pursuant to Rule 16b3(d).

F1 · derivative.exercise_date: Options vest at the rate of 6.25% of such options per quarter (beginning November 19, 2019) for four years, subject to the Reporting Person's continued service to the Issuer.

Read SEC document
January 06, 2020 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 200 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 22

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 981

Read SEC document
January 06, 2020 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 200 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 21

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,181

Read SEC document
January 06, 2020 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 200 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 20

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,381

Read SEC document
October 08, 2019 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 1,000 $1.00 $1,000.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 19

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,581

Read SEC document
October 04, 2019 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 500 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 18

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 581

Read SEC document
August 09, 2019 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 700 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 17

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,081

Read SEC document
August 09, 2019 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 500 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 16

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,781

Read SEC document
August 09, 2019 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 15

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,281

Read SEC document
August 05, 2019 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 1,000 $0.55 $550.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 14

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,281

Read SEC document
July 09, 2019 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 13

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,281

Read SEC document
July 09, 2019 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 12

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,281

Read SEC document
July 02, 2019 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 200 $0.62 $124.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 11

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,281

Read SEC document
June 11, 2019 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 1,000 $0.54 $540.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 10

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,081

Read SEC document
May 13, 2019 Filed May 14, 2019 19:43 UTC GrantStock Option · Derivative 50,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001078782-19-000428 · primary_doc.xml · derivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,923

Underlying: Common Stock · 50,000 shares

Expires 2019-05-13

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

Read SEC document
May 13, 2019 Filed May 14, 2019 19:50 UTC
AJJARAPU SURENDRA KDirector · CEO · 10% owner
GrantStock Option · Derivative 100,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001078782-19-000430 · primary_doc.xml · derivative · entry 1

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,473,750

Underlying: Common Stock · 100,000 shares

Expires 2019-05-13

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

Read SEC document
May 13, 2019 Filed May 14, 2019 19:54 UTC GrantStock Option · Derivative 20,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001078782-19-000431 · primary_doc.xml · derivative · entry 1

Doss Howard A. · CIK 0001616534 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,281

Underlying: Common Stock · 20,000 shares

Expires 2019-05-13

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

Read SEC document
May 13, 2019 Filed May 14, 2019 19:47 UTC
Patel PrashantDirector · President · 10% owner
GrantStock Option · Derivative 100,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001078782-19-000429 · primary_doc.xml · derivative · entry 1

Patel Prashant · CIK 0001617460 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,250,000

Underlying: Common Stock · 100,000 shares

Expires 2019-05-13

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

Read SEC document
May 13, 2019 Filed May 16, 2019 15:29 UTC GrantStock Option · Derivative 50,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001078782-19-000454 · primary_doc.xml · derivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,048

Underlying: Common Stock · 50,000 shares

Expires 2029-05-13

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

Read SEC document
April 11, 2019 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 700 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 9

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,081

Read SEC document
February 05, 2019 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 2,000 $0.55 $1,100.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 8

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,781

Read SEC document
February 01, 2019 Filed Apr 15, 2021 20:30 UTC GiftCommon Stock 700 $0.00 $0.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 7

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,781

Read SEC document
December 20, 2018 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 3 $0.26 $0.78
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 6

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,481

Read SEC document
April 26, 2018 Filed Apr 30, 2018 21:43 UTC GrantStock Option · Derivative 50,000 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001078782-18-000490 · primary_doc.xml · derivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,423

Underlying: Common Stock · 50,000 shares

Expires 2028-04-01

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

Read SEC document
April 26, 2018 Filed Apr 30, 2018 22:11 UTC GrantStock Options · Derivative 37,500 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001078782-18-000492 · primary_doc.xml · derivative · entry 1

Doss Howard A. · CIK 0001616534 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,500

Underlying: Common Stock · 37,500 shares

Expires 2028-04-01

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

Read SEC document
April 26, 2018 Filed Apr 30, 2018 21:59 UTC GrantStock Option · Derivative 50,000 $0.00 Strike: $0.50 $0.00
Disclosure

SEC source: 0001078782-18-000491 · primary_doc.xml · derivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,423

Underlying: Common Stock · 50,000 shares

Expires 2018-04-01

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

Read SEC document
January 24, 2018 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 400 $0.37 $148.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 5

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,478

Read SEC document
December 20, 2017 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 800 $0.44 $352.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 4

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

Read SEC document
November 15, 2017 Filed Feb 12, 2018 22:03 UTC
AJJARAPU SURENDRA KDirector · CEO · 10% owner
SaleCommon Stock 250,000 $112,500.00 $28,125,000,000.00
Disclosure

SEC source: 0001078782-18-000131 · primary_doc.xml · nonDerivative · entry 1

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,743,750

Read SEC document
April 07, 2017 Filed Feb 14, 2018 23:19 UTC GrantStock Option · Derivative 176,923 $0.00 Strike: $0.65 $0.00
Disclosure

SEC source: 0001078782-18-000165 · primary_doc.xml · derivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 176,923 shares

Expires 2027-04-01

F1 · derivative.exercise_date: 76,923 of the options vest after one year, the remaining Options vest quarterly over four years.

Read SEC document
April 07, 2017 Filed Feb 14, 2018 23:18 UTC GrantStock Option · Derivative 76,923 $0.00 Strike: $0.65 $0.00
Disclosure

SEC source: 0001078782-18-000170 · primary_doc.xml · derivative · entry 2

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 76,923 shares

Expires 2027-04-01

F2 · derivative.exercise_date: Options vest over one year.

Read SEC document
March 30, 2017 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 4 $0.25 $1.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 3

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,278

Read SEC document
March 15, 2017 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 500 $0.30 $150.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 2

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,274

Read SEC document
March 07, 2017 Filed Apr 15, 2021 20:30 UTC SaleCommon Stock 500 $0.42 $210.00
Disclosure

SEC source: 0001493152-21-008889 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 774

Read SEC document
December 30, 2016 Filed Apr 24, 2017 23:02 UTC
AJJARAPU SURENDRA KDirector · CEO · 10% owner
GiftCommon Stock 156,250 $101,563.00 $15,869,218,750.00
Disclosure

SEC source: 0001078782-17-000547 · primary_doc.xml · nonDerivative · entry 1

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,993,750

Read SEC document
April 01, 2016 Filed Feb 14, 2018 23:19 UTC GrantStock Option · Derivative 15,000 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001078782-18-000171 · primary_doc.xml · derivative · entry 1

Doss Howard A. · CIK 0001616534 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2026-04-01

F1 · derivative.exercise_date: Options vest quarterly over four years.

Read SEC document
April 01, 2016 Filed Feb 14, 2018 23:18 UTC GrantStock Option · Derivative 25,000 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001078782-18-000170 · primary_doc.xml · derivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2026-04-01

F1 · derivative.exercise_date: Options vest quarterly over four years.

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.