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Nasdaq · USD

SENS

Senseonics Holdings, Inc.

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Tapewire entity
5469
SEC CIK
0001616543
Parsed reports
441

Last 12 months

Inside the activity.

8 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202540
Dec 202500
Jan 202600
Feb 202600
Mar 202620
Apr 202600
May 202610
Jun 202600
Jul 202600
Aug 202610
Sep 202600
Oct 202600

Latest available

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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
June 13, 2018 Filed Jun 15, 2018 22:11 UTC SaleCommon Stock 211,832 $3.96 $839,829.15
Disclosure

SEC source: 0001209191-18-038148 · doc4.xml · nonDerivative · entry 1

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,510,803

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.85 to $4.11, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 2 to this Form 4.

F3 · ownership.nature: The reported securities are directly owned by Delphi Ventures VIII, L.P. ("DV VIII"). Delphi Management Partners VIII, L.L.C. ("DMP VIII"), the general partner of DV VIII, may be deemed to have sole dispositive and voting power over the securities directly owned by DV VIII. James J. Bochnowski, David L. Douglass, Deepika R. Pakianathan and Douglas A. Roeder are the managing members of DMP VIII and may be deemed to share voting and dispositive power over the securities held by DV VIII. Such persons and entities disclaim the existence of a "group" and disclaim beneficial ownership of the securities held by DV VIII, except to the extent of any pecuniary interest therein.

Read SEC document
June 12, 2018 Filed Jun 13, 2018 23:09 UTC SaleCommon Stock 2,536 $3.91 $9,903.33
Disclosure

SEC source: 0001209191-18-037591 · doc4.xml · nonDerivative · entry 4

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 104,700

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 19, 2018.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.79 to $3.98, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 5 to this Form 4.

F4 · ownership.nature: The reported securities are directly owned by Delphi Bioinvestments VIII, L.P. ("DBI VIII"). Delphi Management Partners VIII, L.L.C. ("DMP VIII"), the general partner of DBI VIII, may be deemed to have sole dispositive and voting power over the securities directly owned by DBI VIII. James J. Bochnowski, David L. Douglass, Deepika R. Pakianathan and Douglas A. Roeder are the managing members of DMP VIII and may be deemed to share voting and dispositive power over the securities held by DBI VIII. Such persons and entities disclaim the existence of a "group" and disclaim beneficial ownership of the securities held by DBI VIII, except to the extent of any pecuniary interest therein.

Read SEC document
June 12, 2018 Filed Jun 13, 2018 23:09 UTC SaleCommon Stock 259,690 $3.91 $1,014,115.42
Disclosure

SEC source: 0001209191-18-037591 · doc4.xml · nonDerivative · entry 3

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,722,635

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 19, 2018.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.79 to $3.98, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 5 to this Form 4.

F3 · ownership.nature: The reported securities are directly owned by Delphi Ventures VIII, L.P. ("DV VIII"). Delphi Management Partners VIII, L.L.C. ("DMP VIII"), the general partner of DV VIII, may be deemed to have sole dispositive and voting power over the securities directly owned by DV VIII. James J. Bochnowski, David L. Douglass, Deepika R. Pakianathan and Douglas A. Roeder are the managing members of DMP VIII and may be deemed to share voting and dispositive power over the securities held by DV VIII. Such persons and entities disclaim the existence of a "group" and disclaim beneficial ownership of the securities held by DV VIII, except to the extent of any pecuniary interest therein.

Read SEC document
June 11, 2018 Filed Jun 13, 2018 23:09 UTC SaleCommon Stock 2,489 $3.84 $9,547.31
Disclosure

SEC source: 0001209191-18-037591 · doc4.xml · nonDerivative · entry 2

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 107,236

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.79 to $3.96, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 2 to this Form 4.

F4 · ownership.nature: The reported securities are directly owned by Delphi Bioinvestments VIII, L.P. ("DBI VIII"). Delphi Management Partners VIII, L.L.C. ("DMP VIII"), the general partner of DBI VIII, may be deemed to have sole dispositive and voting power over the securities directly owned by DBI VIII. James J. Bochnowski, David L. Douglass, Deepika R. Pakianathan and Douglas A. Roeder are the managing members of DMP VIII and may be deemed to share voting and dispositive power over the securities held by DBI VIII. Such persons and entities disclaim the existence of a "group" and disclaim beneficial ownership of the securities held by DBI VIII, except to the extent of any pecuniary interest therein.

Read SEC document
June 11, 2018 Filed Jun 13, 2018 23:09 UTC SaleCommon Stock 254,896 $3.84 $977,730.08
Disclosure

SEC source: 0001209191-18-037591 · doc4.xml · nonDerivative · entry 1

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,982,325

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.79 to $3.96, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 2 to this Form 4.

F3 · ownership.nature: The reported securities are directly owned by Delphi Ventures VIII, L.P. ("DV VIII"). Delphi Management Partners VIII, L.L.C. ("DMP VIII"), the general partner of DV VIII, may be deemed to have sole dispositive and voting power over the securities directly owned by DV VIII. James J. Bochnowski, David L. Douglass, Deepika R. Pakianathan and Douglas A. Roeder are the managing members of DMP VIII and may be deemed to share voting and dispositive power over the securities held by DV VIII. Such persons and entities disclaim the existence of a "group" and disclaim beneficial ownership of the securities held by DV VIII, except to the extent of any pecuniary interest therein.

Read SEC document
May 30, 2018 Filed Jun 1, 2018 20:16 UTC GrantStock Option (right to buy) · Derivative 50,847 $0.00 Strike: $3.27 $0.00
Disclosure

SEC source: 0001209191-18-034661 · doc4.xml · derivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,847

Underlying: Common Stock · 50,847 shares

Expires 2028-05-29

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the NYSE American on the date of grant, May 30, 2018.

F2 · shares: This grant was made as compensation for the reporting person's service on the Issuer's board of directors. Under the Issuer's non-employee director compensation policy, each non-employee director who continues to serve as a member of the Issuer's board of directors is eligible to receive an annual stock option grant following each annual meeting of the Issuer's stockholders. The number of shares underlying the option is equal to a Black Scholes option value of $106,500.

F3 · derivative.exercise_date: The shares underlying the option will vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service (as defined in the Issuer's 2015 Equity Incentive Plan, as amended) through such vesting date.

Read SEC document
May 30, 2018 Filed Jun 1, 2018 20:21 UTC GrantStock Option (right to buy) · Derivative 50,847 $0.00 Strike: $3.27 $0.00
Disclosure

SEC source: 0001209191-18-034676 · doc4.xml · derivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,847

Underlying: Common Stock · 50,847 shares

Expires 2028-05-29

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the NYSE American on the date of grant, May 30, 2018.

F2 · shares: This grant was made as compensation for the reporting person's service on the Issuer's board of directors. Under the Issuer's non-employee director compensation policy, each non-employee director who continues to serve as a member of the Issuer's board of directors is eligible to receive an annual stock option grant following each annual meeting of the Issuer's stockholders. The number of shares underlying the option is equal to a Black Scholes option value of $106,500.

F3 · derivative.exercise_date: The shares underlying the option will vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service (as defined in the Issuer's 2015 Equity Incentive Plan, as amended) through such vesting date.

Read SEC document
May 30, 2018 Filed Jun 1, 2018 20:24 UTC GrantStock Option (right to buy) · Derivative 50,847 $0.00 Strike: $3.27 $0.00
Disclosure

SEC source: 0001209191-18-034683 · doc4.xml · derivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,847

Underlying: Common Stock · 50,847 shares

Expires 2028-05-29

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the NYSE American on the date of grant, May 30, 2018.

F2 · shares: This grant was made as compensation for the reporting person's service on the Issuer's board of directors. Under the Issuer's non-employee director compensation policy, each non-employee director who continues to serve as a member of the Issuer's board of directors is eligible to receive an annual stock option grant following each annual meeting of the Issuer's stockholders. The number of shares underlying the option is equal to a Black Scholes option value of $106,500.

F3 · derivative.exercise_date: The shares underlying the option will vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service (as defined in the Issuer's 2015 Equity Incentive Plan, as amended) through such vesting date.

Read SEC document
May 30, 2018 Filed Jun 1, 2018 20:27 UTC GrantStock Option (right to buy) · Derivative 50,847 $0.00 Strike: $3.27 $0.00
Disclosure

SEC source: 0001209191-18-034687 · doc4.xml · derivative · entry 1

ROEDER DOUGLAS A · CIK 0001270735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,847

Underlying: Common Stock · 50,847 shares

Expires 2028-05-29

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the NYSE American on the date of grant, May 30, 2018.

F2 · shares: This grant was made as compensation for the reporting person's service on the Issuer's board of directors. Under the Issuer's non-employee director compensation policy, each non-employee director who continues to serve as a member of the Issuer's board of directors is eligible to receive an annual stock option grant following each annual meeting of the Issuer's stockholders. The number of shares underlying the option is equal to a Black Scholes option value of $106,500.

F3 · derivative.exercise_date: The shares underlying the option will vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service (as defined in the Issuer's 2015 Equity Incentive Plan, as amended) through such vesting date.

Read SEC document
May 30, 2018 Filed Jun 1, 2018 16:29 UTC
BARRETT M JAMESDirector · 10% owner
GrantStock Option (right to buy) · Derivative 50,847 $0.00 Strike: $3.27 $0.00
Disclosure

SEC source: 0001209191-18-034689 · doc4.xml · derivative · entry 1

BARRETT M JAMES · CIK 0001219855 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,847

Underlying: Common Stock · 50,847 shares

Expires 2028-05-29

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the NYSE American on the date of grant, May 30, 2018.

F2 · shares: This grant was made as compensation for the reporting person's service on the Issuer's board of directors. Under the Issuer's non-employee director compensation policy, each non-employee director who continues to serve as a member of the Issuer's board of directors is eligible to receive an annual stock option grant following each annual meeting of the Issuer's stockholders. The number of shares underlying the option is equal to a Black Scholes option value of $106,500.

F3 · derivative.exercise_date: The shares underlying the option will vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service (as defined in the Issuer's 2015 Equity Incentive Plan, as amended) through such vesting date.

Read SEC document
May 30, 2018 Filed Jun 1, 2018 16:30 UTC GrantStock Option (right to buy) · Derivative 50,847 $0.00 Strike: $3.27 $0.00
Disclosure

SEC source: 0001209191-18-034691 · doc4.xml · derivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,847

Underlying: Common Stock · 50,847 shares

Expires 2028-05-29

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the NYSE American on the date of grant, May 30, 2018.

F2 · shares: This grant was made as compensation for the reporting person's service on the Issuer's board of directors. Under the Issuer's non-employee director compensation policy, each non-employee director who continues to serve as a member of the Issuer's board of directors is eligible to receive an annual stock option grant following each annual meeting of the Issuer's stockholders. The number of shares underlying the option is equal to a Black Scholes option value of $106,500.

F3 · derivative.exercise_date: The shares underlying the option will vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service (as defined in the Issuer's 2015 Equity Incentive Plan, as amended) through such vesting date.

Read SEC document
May 30, 2018 Filed Jun 1, 2018 20:19 UTC GrantStock Option (right to buy) · Derivative 50,847 $0.00 Strike: $3.27 $0.00
Disclosure

SEC source: 0001209191-18-034671 · doc4.xml · derivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,847

Underlying: Common Stock · 50,847 shares

Expires 2028-05-29

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the NYSE American on the date of grant, May 30, 2018.

F2 · shares: This grant was made as compensation for the reporting person's service on the Issuer's board of directors. Under the Issuer's non-employee director compensation policy, each non-employee director who continues to serve as a member of the Issuer's board of directors is eligible to receive an annual stock option grant following each annual meeting of the Issuer's stockholders. The number of shares underlying the option is equal to a Black Scholes option value of $106,500.

F3 · derivative.exercise_date: The shares underlying the option will vest in full on the earlier of the one year anniversary of the date of grant or the next annual stockholders meeting, subject to the reporting person's continuous service (as defined in the Issuer's 2015 Equity Incentive Plan, as amended) through such vesting date.

Read SEC document
April 09, 2018 Filed Apr 11, 2018 20:18 UTC
JAIN MukulChief Operating Officer
Exercise / conversionStock option (right to buy) · Derivative 15,706 $0.00 Strike: $0.54 $0.00
Disclosure

SEC source: 0001209191-18-024629 · doc4.xml · derivative · entry 3

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,599

Underlying: Common Stock · 15,706 shares

Expires 2024-06-04

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

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

F3 · derivative.exercise_date: Shares vest monthly over four years beginning on June 4, 2014.

Read SEC document
April 09, 2018 Filed Apr 11, 2018 20:18 UTC
JAIN MukulChief Operating Officer
SaleCommon Stock 15,706 $3.85 $60,468.10
Disclosure

SEC source: 0001209191-18-024629 · doc4.xml · nonDerivative · entry 2

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

F2 · price: This transaction was executed in multiple trades at prices ranging from $3.76 to $3.98, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
April 09, 2018 Filed Apr 11, 2018 20:18 UTC
JAIN MukulChief Operating Officer
Exercise / conversionCommon Stock 15,706 $0.54 $8,481.24
Disclosure

SEC source: 0001209191-18-024629 · doc4.xml · nonDerivative · entry 1

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,706

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

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

Read SEC document
April 06, 2018 Filed Apr 9, 2018 20:18 UTC
JAIN MukulChief Operating Officer
Exercise / conversionStock option (right to buy) · Derivative 24,294 $0.00 Strike: $0.54 $0.00
Disclosure

SEC source: 0001209191-18-024323 · doc4.xml · derivative · entry 3

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,305

Underlying: Common Stock · 24,294 shares

Expires 2024-06-04

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

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

F2 · derivative.exercise_date: Shares vest monthly over four years beginning on June 4, 2014.

Read SEC document
April 06, 2018 Filed Apr 9, 2018 20:18 UTC
JAIN MukulChief Operating Officer
SaleCommon Stock 24,294 $3.75 $91,102.50
Disclosure

SEC source: 0001209191-18-024323 · doc4.xml · nonDerivative · entry 2

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

Read SEC document
April 06, 2018 Filed Apr 9, 2018 20:18 UTC
JAIN MukulChief Operating Officer
Exercise / conversionCommon Stock 24,294 $0.54 $13,118.76
Disclosure

SEC source: 0001209191-18-024323 · doc4.xml · nonDerivative · entry 1

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,294

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

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

Read SEC document
April 02, 2018 Filed Apr 4, 2018 20:32 UTC
JAIN MukulChief Operating Officer
Exercise / conversionStock option (right to buy) · Derivative 27,437 $0.00 Strike: $0.54 $0.00
Disclosure

SEC source: 0001209191-18-023683 · doc4.xml · derivative · entry 3

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,437 shares

Expires 2022-03-12

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

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

F2 · derivative.exercise_date: Fully vested.

Read SEC document
April 02, 2018 Filed Apr 4, 2018 20:32 UTC
JAIN MukulChief Operating Officer
SaleCommon Stock 27,437 $3.25 $89,170.25
Disclosure

SEC source: 0001209191-18-023683 · doc4.xml · nonDerivative · entry 2

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

Read SEC document
April 02, 2018 Filed Apr 4, 2018 20:32 UTC
JAIN MukulChief Operating Officer
Exercise / conversionCommon Stock 27,437 $0.54 $14,815.98
Disclosure

SEC source: 0001209191-18-023683 · doc4.xml · nonDerivative · entry 1

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,437

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

F1 · kind: The option exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holder of the securities on December 7, 2016.

Read SEC document
April 02, 2018 Filed Apr 9, 2018 20:16 UTC GrantCommon Stock 5,050 $3.10 $15,655.00
Disclosure

SEC source: 0001209191-18-024319 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714,678

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $15,656.25 divided by $3.10, the closing price of Issuer's common stock on the NYSE American on April 2, 2018, the last trading day of the prior quarter.

Read SEC document
April 02, 2018 Filed Apr 9, 2018 20:17 UTC GrantCommon Stock 3,911 $3.10 $12,124.10
Disclosure

SEC source: 0001209191-18-024322 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,510

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,125 divided by $3.10, the closing price of Issuer's common stock on the NYSE American on April 2, 2018, the last trading day of the prior quarter.

Read SEC document
April 02, 2018 Filed Apr 9, 2018 20:18 UTC GrantCommon Stock 2,329 $3.10 $7,219.90
Disclosure

SEC source: 0001209191-18-024324 · doc4.xml · nonDerivative · entry 1

Prince Douglas S · CIK 0001666995 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,146

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $7,218.75 divided by $3.10, the closing price of Issuer's common stock on the NYSE American on April 2, 2018, the last trading day of the prior quarter.

Read SEC document
April 02, 2018 Filed Apr 9, 2018 16:52 UTC
BARRETT M JAMESDirector · 10% owner
GrantCommon Stock 3,145 $3.10 $9,749.50
Disclosure

SEC source: 0001209191-18-024358 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,749

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $9,750 divided by $3.10, the closing price of issuer's common stock on the NYSE American on April 2, 2018, the last trading day of the prior quarter.

Read SEC document
April 02, 2018 Filed Apr 9, 2018 16:53 UTC GrantCommon Stock 3,911 $3.10 $12,124.10
Disclosure

SEC source: 0001209191-18-024359 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,510

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,125 divided by $3.10, the closing price of issuer's common stock on the NYSE American on April 2, 2018, the last trading day of the prior quarter.

Read SEC document
April 02, 2018 Filed Apr 9, 2018 20:16 UTC GrantCommon Stock 3,145 $3.10 $9,749.50
Disclosure

SEC source: 0001209191-18-024321 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,060

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $9,750 divided by $3.10, the closing price of Issuer's common stock on the NYSE American on April 2, 2018, the last trading day of the prior quarter.

Read SEC document
March 20, 2018 Filed Mar 22, 2018 20:41 UTC
Goodnow Timothy TDirector · President and CEO
Exercise / conversionStock option (right to buy) · Derivative 12,851 $0.00 Strike: $1.95 $0.00
Disclosure

SEC source: 0001209191-18-021263 · doc4.xml · derivative · entry 4

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,036

Underlying: Common Stock · 12,851 shares

Expires 2025-07-22

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

F1 · kind: On March 20, 2018, the Reporting Person completed this option exercise for cash. The Reporting Person did not sell any securities.

F3 · derivative.exercise_date: Shares vest monthly over four years beginning on July 24, 2015.

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March 20, 2018 Filed Mar 22, 2018 20:41 UTC
Goodnow Timothy TDirector · President and CEO
Exercise / conversionStock option (right to buy) · Derivative 35,916 $0.00 Strike: $0.54 $0.00
Disclosure

SEC source: 0001209191-18-021263 · doc4.xml · derivative · entry 3

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 389,689

Underlying: Common Stock · 35,916 shares

Expires 2024-06-04

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

F1 · kind: On March 20, 2018, the Reporting Person completed this option exercise for cash. The Reporting Person did not sell any securities.

F2 · derivative.exercise_date: Shares vest monthly over four years beginning on June 4, 2014.

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March 20, 2018 Filed Mar 22, 2018 20:41 UTC
Goodnow Timothy TDirector · President and CEO
Exercise / conversionCommon Stock 12,851 $1.95 $25,059.45
Disclosure

SEC source: 0001209191-18-021263 · doc4.xml · nonDerivative · entry 2

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,610

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

F1 · kind: On March 20, 2018, the Reporting Person completed this option exercise for cash. The Reporting Person did not sell any securities.

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March 20, 2018 Filed Mar 22, 2018 20:41 UTC
Goodnow Timothy TDirector · President and CEO
Exercise / conversionCommon Stock 35,916 $0.54 $19,394.64
Disclosure

SEC source: 0001209191-18-021263 · doc4.xml · nonDerivative · entry 1

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,759

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

F1 · kind: On March 20, 2018, the Reporting Person completed this option exercise for cash. The Reporting Person did not sell any securities.

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February 02, 2018 Filed Feb 5, 2018 18:28 UTC
Panlilio MirasolVP Global Sales and Marketing
GrantStock Option (right to buy) · Derivative 245,388 $0.00 Strike: $2.62 $0.00
Disclosure

SEC source: 0001209191-18-007640 · doc4.xml · derivative · entry 1

Panlilio Mirasol · CIK 0001667551 · VP Global Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,388

Underlying: Common Stock · 245,388 shares

Expires 2028-02-01

F1 · derivative.exercise_date: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

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February 02, 2018 Filed Feb 5, 2018 23:29 UTC
Goodnow Timothy TDirector · President and CEO
GrantStock Option (right to buy) · Derivative 777,797 $0.00 Strike: $2.62 $0.00
Disclosure

SEC source: 0001209191-18-007641 · doc4.xml · derivative · entry 1

Goodnow Timothy T · CIK 0001667588 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 777,797

Underlying: Common Stock · 777,797 shares

Expires 2028-02-01

F1 · derivative.exercise_date: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

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February 02, 2018 Filed Feb 5, 2018 23:30 UTC
JAIN MukulChief Operating Officer
GrantStock Option (right to buy) · Derivative 495,191 $0.00 Strike: $2.62 $0.00
Disclosure

SEC source: 0001209191-18-007644 · doc4.xml · derivative · entry 1

JAIN Mukul · CIK 0001667593 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 495,191

Underlying: Common Stock · 495,191 shares

Expires 2028-02-01

F1 · derivative.exercise_date: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

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February 02, 2018 Filed Feb 5, 2018 18:31 UTC
Kelley Lynne EChief Medical Officer
GrantStock Option (right to buy) · Derivative 102,192 $0.00 Strike: $2.62 $0.00
Disclosure

SEC source: 0001209191-18-007645 · doc4.xml · derivative · entry 1

Kelley Lynne E · CIK 0001667584 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,192

Underlying: Common Stock · 102,192 shares

Expires 2028-02-01

F1 · derivative.exercise_date: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

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February 02, 2018 Filed Feb 5, 2018 23:30 UTC
Elsey R DonCFO, Secretary and Treasurer
GrantStock Option (right to buy) · Derivative 392,999 $0.00 Strike: $2.62 $0.00
Disclosure

SEC source: 0001209191-18-007643 · doc4.xml · derivative · entry 1

Elsey R Don · CIK 0001380742 · CFO, Secretary and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,999

Underlying: Common Stock · 392,999 shares

Expires 2028-02-01

F1 · derivative.exercise_date: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

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February 02, 2018 Filed Feb 5, 2018 23:32 UTC
Gill Michael J.Vice President of U.S. Sales
GrantStock Option (right to buy) · Derivative 245,388 $0.00 Strike: $2.62 $0.00
Disclosure

SEC source: 0001209191-18-007646 · doc4.xml · derivative · entry 1

Gill Michael J. · CIK 0001703973 · Vice President of U.S. Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,388

Underlying: Common Stock · 245,388 shares

Expires 2028-02-01

F1 · derivative.exercise_date: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

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January 02, 2018 Filed Jan 5, 2018 00:57 UTC GrantCommon Stock 4,558 $2.66 $12,124.28
Disclosure

SEC source: 0001209191-18-002260 · doc4.xml · nonDerivative · entry 1

Fiorentino Edward · CIK 0001666972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,599

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,125 divided by $2.66, the closing price of Issuer's common stock on the NYSE American on December 29, 2017, the last trading day of the prior quarter.

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January 02, 2018 Filed Jan 5, 2018 00:59 UTC GrantCommon Stock 5,885 $2.66 $15,654.10
Disclosure

SEC source: 0001209191-18-002262 · doc4.xml · nonDerivative · entry 1

DeFalco Stephen P · CIK 0001666964 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 709,628

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $15,656.25 divided by $2.66, the closing price of Issuer's common stock on the NYSE American on December 29, 2017, the last trading day of the prior quarter.

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January 02, 2018 Filed Jan 4, 2018 20:00 UTC
BARRETT M JAMESDirector · 10% owner
GrantCommon Stock 3,665 $2.66 $9,748.90
Disclosure

SEC source: 0001209191-18-002263 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 501,604

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $9,750 divided by $2.66, the closing price of issuer's common stock on the NYSE American on December 29, 2017, the last trading day of the prior quarter.

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January 02, 2018 Filed Jan 4, 2018 20:00 UTC GrantCommon Stock 4,558 $2.66 $12,124.28
Disclosure

SEC source: 0001209191-18-002264 · doc4.xml · nonDerivative · entry 1

Klein Peter Justin · CIK 0001608710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,599

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $12,125 divided by $2.66, the closing price of issuer's common stock on the NYSE American on December 29, 2017, the last trading day of the prior quarter.

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January 02, 2018 Filed Jan 5, 2018 00:58 UTC GrantCommon Stock 3,665 $2.66 $9,748.90
Disclosure

SEC source: 0001209191-18-002261 · doc4.xml · nonDerivative · entry 1

Steven Edelman · CIK 0001683354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,915

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $9,750 divided by $2.66, the closing price of Issuer's common stock on the NYSE American on December 29, 2017, the last trading day of the prior quarter.

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December 08, 2017 Filed Dec 8, 2017 21:56 UTC SaleCommon Stock 32,850 $2.59 $85,199.76
Disclosure

SEC source: 0001209191-17-064752 · doc4.xml · nonDerivative · entry 4

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 0

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.57 to $2.64, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

F1 · ownership.nature: The Reporting Person is the sole general partner of NEA Partners VII, Limited Partnership ("NEA Partners VII"). NEA Partners VII is the sole general partner of New Enterprise Associates VII, Limited Partnership ("NEA VII"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA VII shares in which the Reporting Person has no pecuniary interest.

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December 07, 2017 Filed Dec 8, 2017 21:56 UTC SaleCommon Stock 12,100 $2.61 $31,628.19
Disclosure

SEC source: 0001209191-17-064752 · doc4.xml · nonDerivative · entry 3

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 32,850

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.65, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F1 · ownership.nature: The Reporting Person is the sole general partner of NEA Partners VII, Limited Partnership ("NEA Partners VII"). NEA Partners VII is the sole general partner of New Enterprise Associates VII, Limited Partnership ("NEA VII"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA VII shares in which the Reporting Person has no pecuniary interest.

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December 06, 2017 Filed Dec 8, 2017 21:56 UTC OtherCommon Stock purchase warrant · Derivative 139,645 $0.00 Strike: $1.79 $0.00
Disclosure

SEC source: 0001209191-17-064752 · doc4.xml · derivative · entry 9

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 0

Underlying: Common Stock · 139,645 shares

Expires 2021-07-15

F8 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.nature: The Reporting Person is the sole general partner of NEA Partners VII, Limited Partnership ("NEA Partners VII"). NEA Partners VII is the sole general partner of New Enterprise Associates VII, Limited Partnership ("NEA VII"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA VII shares in which the Reporting Person has no pecuniary interest.

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December 06, 2017 Filed Dec 8, 2017 21:56 UTC SaleCommon Stock 94,695 $2.64 $249,994.80
Disclosure

SEC source: 0001209191-17-064752 · doc4.xml · nonDerivative · entry 2

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 44,950

F2 · kind: On December 6, 2017, NEA VII exercised a warrant to purchase 139,645 shares of the Issuer's common stock for $1.790207 a share. NEA VII paid the exercise price on a cashless basis, resulting in the Issuer withholding 94,695 of the warrant shares to pay the exercise price and issuing to NEA VII the remaining 44,950 shares.

F1 · ownership.nature: The Reporting Person is the sole general partner of NEA Partners VII, Limited Partnership ("NEA Partners VII"). NEA Partners VII is the sole general partner of New Enterprise Associates VII, Limited Partnership ("NEA VII"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA VII shares in which the Reporting Person has no pecuniary interest.

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December 06, 2017 Filed Dec 8, 2017 21:56 UTC OtherCommon Stock 139,645 $1.79 $249,992.48
Disclosure

SEC source: 0001209191-17-064752 · doc4.xml · nonDerivative · entry 1

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 139,645

F1 · ownership.nature: The Reporting Person is the sole general partner of NEA Partners VII, Limited Partnership ("NEA Partners VII"). NEA Partners VII is the sole general partner of New Enterprise Associates VII, Limited Partnership ("NEA VII"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA VII shares in which the Reporting Person has no pecuniary interest.

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November 30, 2017 Filed Dec 4, 2017 21:31 UTC OtherCommon Stock 48,377 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-063561 · doc4.xml · nonDerivative · entry 4

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,377

F6 · kind: The Reporting Person received 48,377 shares of common stock of the Issuer in the distribution by NEA Partners VII on November 30, 2017.

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November 30, 2017 Filed Dec 4, 2017 21:31 UTC OtherCommon Stock 652,090 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-063561 · doc4.xml · nonDerivative · entry 3

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 0

F5 · kind: NEA Partners VII made a pro rata distribution for no consideration of an aggregate of 652,090 shares of common stock of the Issuer to its general partners and limited partners on November 30, 3017.

F4 · ownership.nature: The Reporting Person is the sole general partner of NEA Partners VII, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA Partners VII in which the Reporting Person has no pecuniary interest.

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November 30, 2017 Filed Dec 4, 2017 21:31 UTC OtherCommon Stock 652,090 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-063561 · doc4.xml · nonDerivative · entry 2

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 652,090

F3 · kind: NEA Partners VII received 652,090 shares of common stock of the Issuer in the distribution by NEA VII on November 30, 2017.

F4 · ownership.nature: The Reporting Person is the sole general partner of NEA Partners VII, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA Partners VII in which the Reporting Person has no pecuniary interest.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.