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Nasdaq · USD

SKYE

Skye Bioscience, Inc.

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Tapewire entity
8098
SEC CIK
0001516551
Parsed reports
149

Last 12 months

Inside the activity.

0 purchase rows · 30 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 2026018
Sep 2026012
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 29, 2024 Filed Mar 4, 2024 06:20 UTC
TYLE PRAVEENDirector
GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $14.56 $0.00
Disclosure

SEC source: 0001516551-24-000022 · wk-form4_1709551223.xml · derivative · entry 1

TYLE PRAVEEN · CIK 0001296936 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $14.56 per option share for ten years from February 29, 2024 and the options will vest in equal monthly installments over the one year period beginning February 29, 2024.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 06:24 UTC GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $14.56 $0.00
Disclosure

SEC source: 0001516551-24-000027 · wk-form4_1709551460.xml · derivative · entry 1

DALESANDRO MARGARET · CIK 0001208853 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $14.56 per option share for ten years from February 29, 2024 and the options will vest in equal monthly installments over the one year period beginning February 29, 2024.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 23:02 UTC GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $14.56 $0.00
Disclosure

SEC source: 0001516551-24-000039 · wk-form4_1709593294.xml · derivative · entry 1

Charych Deborah H. · CIK 0001965700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $14.56 per option share for ten years from February 29, 2024 and the options will vest in equal monthly installments over the one year period beginning February 29, 2024.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 23:01 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $14.56 $0.00
Disclosure

SEC source: 0001516551-24-000038 · wk-form4_1709593247.xml · derivative · entry 1

Jenkins Annalisa · CIK 0001639481 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $14.56 per option share for ten years from February 29, 2024 and the options will vest in equal monthly installments over the one year period beginning February 29, 2024.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 21:04 UTC GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $14.56 $0.00
Disclosure

SEC source: 0001516551-24-000030 · wk-form4_1709586211.xml · derivative · entry 1

Schwab Andrew J. · CIK 0001598549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $14.56 per option share for ten years from February 29, 2024 and the options will vest in equal monthly installments over the one year period beginning February 29, 2024.

Read SEC document
February 29, 2024 Filed Mar 4, 2024 11:23 UTC GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $14.56 $0.00
Disclosure

SEC source: 0001516551-24-000025 · wk-form4_1709551390.xml · derivative · entry 1

Ward Keith Wayne · CIK 0001662394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-03-01

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $14.56 per option share for ten years from February 29, 2024 and the options will vest in equal monthly installments over the one year period beginning February 29, 2024.

Read SEC document
January 31, 2024 Filed Feb 2, 2024 21:32 UTC
PARMAR KUSH10% owner
PurchaseCommon Stock 5,206,074 $2.31 $12,026,030.94
Disclosure

SEC source: 0001209191-24-002643 · doc4.xml · nonDerivative · entry 1

5AM Partners VII, LLC · CIK 0001873545 · 10% owner

5AM Ventures VII, L.P. · CIK 0001844435 · 10% owner

5AM Partners II, LLC · CIK 0001555952 · 10% owner

5AM Ventures II LP · CIK 0001386509 · 10% owner

5AM CO-INVESTORS II LP · CIK 0001390376 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

PARMAR KUSH · CIK 0001664281 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By 5AM Ventures VII, L.P.

Disclosed balance after: 7,943,520

F1 · ownership.nature: The securities are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Partners VII and may be deemed to have shared voting and investment power over the securities beneficially owned by Ventures VII. Each of Partners VII and Dr. Parmar disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Mr. Schwab is a director of the Issuer and files separate Section 16 reports.

Read SEC document
January 31, 2024 Filed Feb 2, 2024 21:35 UTC
Schwab Andrew J.Director · 10% owner
GrantCommon Stock 5,206,074 $2.31 $12,026,030.94
Disclosure

SEC source: 0001209191-24-002649 · doc4.xml · nonDerivative · entry 1

Schwab Andrew J. · CIK 0001598549 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By 5AM Ventures VII, L.P.

Disclosed balance after: 7,943,520

F1 · ownership.nature: The securities are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. The Reporting Person is a managing member of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
November 06, 2023 Filed Nov 6, 2023 20:29 UTC
ARSENAULT KAITLYNChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 32,053 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001516551-23-000096 · wk-form4_1699320590.xml · derivative · entry 2

ARSENAULT KAITLYN · CIK 0001877242 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,436

Underlying: Common Stock · 32,053 shares

Expires 2033-08-25

F3 · derivative.exercise_date: The option grant shall be exercisable for a price of $3.50 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the four year period beginning August 24, 2023. Upon a change in control of the Issuer, 100% of the options will become fully vested.

Read SEC document
November 06, 2023 Filed Nov 6, 2023 20:29 UTC
ARSENAULT KAITLYNChief Financial Officer
GrantCommon Stock 128,209 $0.00 $0.00
Disclosure

SEC source: 0001516551-23-000096 · wk-form4_1699320590.xml · nonDerivative · entry 1

ARSENAULT KAITLYN · CIK 0001877242 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,738

F1 · shares: Represents a restricted stock unit ("RSU") award that vests on the following performance milestones : 25% vests upon achieving a market cap of $125M, an additional 25% vests upon achieving a market cap of $250M, an additional 25% vests upon achieving a market cap of $400M, an additional 25% vest at an exit of $500M or greater; provided, however, that no RSUs shall vest until the compensation committee of the Issuer determines that shares can be sold into the market to cover withholding tax obligations associated with the vesting of the RSUs. Notwithstanding anything to the foregoing, all of the RSUS shall vest if an exit greater than $500M is achieved at an earlier date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 06, 2023 Filed Nov 6, 2023 20:29 UTC GrantCommon Stock 173,721 $0.00 $0.00
Disclosure

SEC source: 0001516551-23-000093 · wk-form4_1699320557.xml · nonDerivative · entry 1

Grayson Paul A. · CIK 0001861554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 246,252

F1 · shares: Represents a restricted stock unit ("RSU") award that vests on the following performance milestones : 25% vests upon achieving a market cap of $125M, an additional 25% vests upon achieving a market cap of $250M, an additional 25% vests upon achieving a market cap of $400M, an additional 25% vest at an exit of $500M or greater; provided, however, that no RSUs shall vest until the compensation committee of the Issuer determines that shares can be sold into the market to cover withholding tax obligations associated with the vesting of the RSUs. Notwithstanding anything to the foregoing, all of the RSUS shall vest if an exit greater than $500M is achieved at an earlier date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 06, 2023 Filed Nov 7, 2023 01:29 UTC
DHILLON PUNITDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 21,586 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001516551-23-000095 · wk-form4_1699320579.xml · derivative · entry 2

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,599

Underlying: Common Stock · 21,586 shares

Expires 2033-08-25

F3 · derivative.exercise_date: The option grant shall be exercisable for a price of $3.50 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the four year period beginning August 24, 2023. Upon a change in control of the Issuer, 100% of the options will become fully vested.

Read SEC document
November 06, 2023 Filed Nov 7, 2023 01:29 UTC
DHILLON PUNITDirector · Chief Executive Officer
GrantCommon Stock 194,270 $0.00 $0.00
Disclosure

SEC source: 0001516551-23-000095 · wk-form4_1699320579.xml · nonDerivative · entry 1

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 297,006

F1 · shares: Represents a restricted stock unit ("RSU") award that vests on the following performance milestones : 25% vests upon achieving a market cap of $125M, an additional 25% vests upon achieving a market cap of $250M, an additional 25% vests upon achieving a market cap of $400M, an additional 25% vest at an exit of $500M or greater; provided, however, that no RSUs shall vest until the compensation committee of the Issuer determines that shares can be sold into the market to cover withholding tax obligations associated with the vesting of the RSUs. Notwithstanding anything to the foregoing, all of the RSUS shall vest if an exit greater than $500M is achieved at an earlier date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 06, 2023 Filed Nov 6, 2023 20:29 UTC
TYLE PRAVEENDirector
GrantStock Option (Right to Buy) · Derivative 14,110 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001516551-23-000092 · wk-form4_1699320545.xml · derivative · entry 1

TYLE PRAVEEN · CIK 0001296936 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

Underlying: Common Stock · 14,110 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $3.50 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
November 06, 2023 Filed Nov 6, 2023 20:29 UTC GrantStock Option (Right to Buy) · Derivative 14,110 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001516551-23-000094 · wk-form4_1699320568.xml · derivative · entry 1

DALESANDRO MARGARET · CIK 0001208853 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

Underlying: Common Stock · 14,110 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $3.50 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
November 06, 2023 Filed Nov 7, 2023 01:32 UTC GrantStock Option (Right to Buy) · Derivative 14,110 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001516551-23-000098 · wk-form4_1699320737.xml · derivative · entry 1

Ward Keith Wayne · CIK 0001662394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

Underlying: Common Stock · 14,110 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $3.50 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
November 06, 2023 Filed Nov 7, 2023 01:30 UTC GrantStock Option (Right to Buy) · Derivative 14,110 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001516551-23-000097 · wk-form4_1699320601.xml · derivative · entry 1

Charych Deborah H. · CIK 0001965700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

Underlying: Common Stock · 14,110 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $3.50 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
November 06, 2023 Filed Nov 7, 2023 01:29 UTC GrantStock Option (Right to Buy) · Derivative 14,110 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001516551-23-000091 · wk-form4_1699320532.xml · derivative · entry 1

Schwab Andrew J. · CIK 0001598549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

Underlying: Common Stock · 14,110 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $3.50 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
August 29, 2023 Filed Aug 29, 2023 22:39 UTC
DHILLON PUNITDirector · Chief Executive Officer
PurchaseCommon Stock 881,000 $0.02 $16,474.70
Disclosure

SEC source: 0001516551-23-000062 · wk-form4_1693348773.xml · nonDerivative · entry 4

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,554,828

Read SEC document
August 29, 2023 Filed Aug 31, 2023 15:26 UTC Amendment
DHILLON PUNITDirector · Chief Executive Officer
PurchaseCommon Stock 881,000 $0.02 $16,474.70
Disclosure

SEC source: 0001516551-23-000069 · wk-form4a_1693495603.xml · nonDerivative · entry 4

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,683,957

Read SEC document
August 28, 2023 Filed Aug 29, 2023 22:39 UTC
DHILLON PUNITDirector · Chief Executive Officer
OtherCommon Stock 110,000 $0.02 $1,881.00
Disclosure

SEC source: 0001516551-23-000062 · wk-form4_1693348773.xml · nonDerivative · entry 3

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,673,828

Read SEC document
August 28, 2023 Filed Aug 31, 2023 15:26 UTC Amendment
DHILLON PUNITDirector · Chief Executive Officer
OtherCommon Stock 110,000 $0.02 $1,881.00
Disclosure

SEC source: 0001516551-23-000069 · wk-form4a_1693495603.xml · nonDerivative · entry 3

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,802,957

Read SEC document
August 25, 2023 Filed Aug 29, 2023 18:53 UTC
ARSENAULT KAITLYNChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 3,345,530 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001516551-23-000064 · wk-form4_1693349578.xml · derivative · entry 2

ARSENAULT KAITLYN · CIK 0001877242 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,345,530

Underlying: Common Stock · 3,345,530 shares

Expires 2033-08-25

F3 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.014 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the four year period beginning August 24, 2023. Upon a change in control of the Issuer, 100% of the options will become fully vested.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 18:53 UTC
ARSENAULT KAITLYNChief Financial Officer
GrantCommon Stock 13,382,118 $0.00 $0.00
Disclosure

SEC source: 0001516551-23-000064 · wk-form4_1693349578.xml · nonDerivative · entry 1

ARSENAULT KAITLYN · CIK 0001877242 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,382,118

F1 · shares: Represents a restricted stock unit ("RSU") award that vests on the following performance milestones : 25% vests upon achieving a market cap of $125M, an additional 25% vests upon achieving a market cap of $250M, an additional 25% vests upon achieving a market cap of $400M, an additional 25% vest at an exit of $500M or greater; provided, however, that no RSUs shall vest until the compensation committee of the Issuer determines that shares can be sold into the market to cover withholding tax obligations associated with the vesting of the RSUs . Notwithstanding anything to the foregoing, all of the RSUS shall vest if an exit greater than $500M is achieved at an earlier date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 19:25 UTC GrantCommon Stock 18,132,596 Not disclosed Not disclosed
Disclosure

SEC source: 0001516551-23-000066 · wk-form4_1693351547.xml · nonDerivative · entry 1

Grayson Paul A. · CIK 0001861554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,132,596

F1 · shares: Represents a restricted stock unit ("RSU") award that vests on the following performance milestones : 25% vests upon achieving a market cap of $125M, an additional 25% vests upon achieving a market cap of $250M, an additional 25% vests upon achieving a market cap of $400M, an additional 25% vest at an exit of $500M or greater; provided, however, that no RSUs shall vest until the compensation committee of the Issuer determines that shares can be sold into the market to cover withholding tax obligations associated with the vesting of the RSUs . Notwithstanding anything to the foregoing, all of the RSUS shall vest if an exit greater than $500M is achieved at an earlier date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 22:39 UTC
DHILLON PUNITDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 2,253,046 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001516551-23-000062 · wk-form4_1693348773.xml · derivative · entry 5

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,253,046

Underlying: Common Stock · 2,253,046 shares

Expires 2033-08-25

F3 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.014 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the four year period beginning August 24, 2023. Upon a change in control of the Issuer, 100% of the options will become fully vested.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 22:39 UTC
DHILLON PUNITDirector · Chief Executive Officer
GrantCommon Stock 20,277,414 Not disclosed Not disclosed
Disclosure

SEC source: 0001516551-23-000062 · wk-form4_1693348773.xml · nonDerivative · entry 1

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,554,828

F1 · shares: Represents a restricted stock unit ("RSU") award that vests on the following performance milestones : 25% vests upon achieving a market cap of $125M, an additional 25% vests upon achieving a market cap of $250M, an additional 25% vests upon achieving a market cap of $400M, an additional 25% vest at an exit of $500M or greater; provided, however, that no RSUs shall vest until the compensation committee of the Issuer determines that shares can be sold into the market to cover withholding tax obligations associated with the vesting of the RSUs . Notwithstanding anything to the foregoing, all of the RSUS shall vest if an exit greater than $500M is achieved at an earlier date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 18:22 UTC
TYLE PRAVEENDirector
GrantStock Option (Right to Buy) · Derivative 1,472,692 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001516551-23-000060 · wk-form4_1693347739.xml · derivative · entry 1

TYLE PRAVEEN · CIK 0001296936 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,472,692

Underlying: Common Stock · 1,472,692 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.014 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 18:21 UTC GrantStock Option (Right to Buy) · Derivative 1,472,692 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001516551-23-000058 · wk-form4_1693347662.xml · derivative · entry 1

DALESANDRO MARGARET · CIK 0001208853 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,472,692

Underlying: Common Stock · 1,472,692 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.014 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
August 25, 2023 Filed Aug 30, 2023 01:36 UTC GrantStock Option (Right to Buy) · Derivative 1,472,692 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001516551-23-000068 · wk-form4_1693359362.xml · derivative · entry 1

Schwab Andrew J. · CIK 0001598549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,472,692

Underlying: Common Stock · 1,472,692 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.014 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 22:17 UTC GrantStock Option (Right to Buy) · Derivative 1,472,692 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001516551-23-000056 · wk-form4_1693347437.xml · derivative · entry 1

Ward Keith Wayne · CIK 0001662394 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,472,692

Underlying: Common Stock · 1,472,692 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.014 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 22:02 UTC GrantStock Option (Right to Buy) · Derivative 1,472,692 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001516551-23-000054 · wk-form4_1693346510.xml · derivative · entry 1

Charych Deborah H. · CIK 0001965700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,472,692

Underlying: Common Stock · 1,472,692 shares

Expires 2033-08-25

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.014 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the one year period beginning August 24, 2023.

Read SEC document
August 25, 2023 Filed Aug 31, 2023 15:26 UTC Amendment
DHILLON PUNITDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 2,253,046 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001516551-23-000069 · wk-form4a_1693495603.xml · derivative · entry 6

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,253,046

Underlying: Common Stock · 2,253,046 shares

Expires 2033-08-25

F4 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.014 per option share for ten years from August 25, 2023 and the options will vest in equal monthly installments over the four year period beginning August 24, 2023. Upon a change in control of the Issuer, 100% of the options will become fully vested.

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August 25, 2023 Filed Aug 31, 2023 15:26 UTC Amendment
DHILLON PUNITDirector · Chief Executive Officer
GrantCommon Stock 20,277,414 Not disclosed Not disclosed
Disclosure

SEC source: 0001516551-23-000069 · wk-form4a_1693495603.xml · nonDerivative · entry 1

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,683,957

F1 · shares: Represents a restricted stock unit ("RSU") award that vests on the following performance milestones : 25% vests upon achieving a market cap of $125M, an additional 25% vests upon achieving a market cap of $250M, an additional 25% vests upon achieving a market cap of $400M, an additional 25% vest at an exit of $500M or greater; provided, however, that no RSUs shall vest until the compensation committee of the Issuer determines that shares can be sold into the market to cover withholding tax obligations associated with the vesting of the RSUs . Notwithstanding anything to the foregoing, all of the RSUS shall vest if an exit greater than $500M is achieved at an earlier date.

F2 · price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

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August 23, 2023 Filed Aug 29, 2023 22:39 UTC
DHILLON PUNITDirector · Chief Executive Officer
OtherCommon Stock 9,000 $0.01 $106.20
Disclosure

SEC source: 0001516551-23-000062 · wk-form4_1693348773.xml · nonDerivative · entry 2

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,563,828

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August 23, 2023 Filed Aug 31, 2023 15:26 UTC Amendment
DHILLON PUNITDirector · Chief Executive Officer
OtherCommon Stock 9,000 $0.01 $106.20
Disclosure

SEC source: 0001516551-23-000069 · wk-form4a_1693495603.xml · nonDerivative · entry 2

DHILLON PUNIT · CIK 0001425052 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,692,957

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August 18, 2023 Filed Aug 22, 2023 21:21 UTC
Schwab Andrew J.Director · 10% owner
GrantWarrant (Right to Buy) · Derivative 426,348,120 $0.00 Strike: $0.02 $0.00
Disclosure

SEC source: 0001516551-23-000052 · wk-form4_1692739248.xml · derivative · entry 6

Schwab Andrew J. · CIK 0001598549 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By 5AM Ventures VII, L.P.

Disclosed balance after: 426,348,120

Underlying: Common Stock · 426,348,120 shares

Expires 2033-08-18

F4 · price: The securities were purchased pursuant to a Securities Purchase Agreement, dated as of August 15, 2023 (the "Purchase Agreement"). The transactions contemplated by the Purchase Agreement closed concurrently with the Merger on August 18, 2023. Pursuant to the Purchase Agreement, 5AM Ventures VII, L.P. ("Ventures VII") purchased an aggregate of 852,696,240 shares of common stock (of which Ventures II and Co-Investors II were allocated 161,944,872 shares and 6,389,799 shares, respectively) for the total purchase price of $8.8 million and received warrants to purchase an aggregate of 426,348,120 shares of common stock for no additional consideration.

F5 · ownership.nature: The securities are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. The Reporting Person is a managing member of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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August 18, 2023 Filed Aug 22, 2023 21:21 UTC
Schwab Andrew J.Director · 10% owner
GrantCommon Stock 6,389,921 $0.01 $65,816.19
Disclosure

SEC source: 0001516551-23-000052 · wk-form4_1692739248.xml · nonDerivative · entry 5

Schwab Andrew J. · CIK 0001598549 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By 5AM Co-Investors II, L.P.

Disclosed balance after: 16,948,799

F4 · shares: The securities were purchased pursuant to a Securities Purchase Agreement, dated as of August 15, 2023 (the "Purchase Agreement"). The transactions contemplated by the Purchase Agreement closed concurrently with the Merger on August 18, 2023. Pursuant to the Purchase Agreement, 5AM Ventures VII, L.P. ("Ventures VII") purchased an aggregate of 852,696,240 shares of common stock (of which Ventures II and Co-Investors II were allocated 161,944,872 shares and 6,389,799 shares, respectively) for the total purchase price of $8.8 million and received warrants to purchase an aggregate of 426,348,120 shares of common stock for no additional consideration.

F4 · price: The securities were purchased pursuant to a Securities Purchase Agreement, dated as of August 15, 2023 (the "Purchase Agreement"). The transactions contemplated by the Purchase Agreement closed concurrently with the Merger on August 18, 2023. Pursuant to the Purchase Agreement, 5AM Ventures VII, L.P. ("Ventures VII") purchased an aggregate of 852,696,240 shares of common stock (of which Ventures II and Co-Investors II were allocated 161,944,872 shares and 6,389,799 shares, respectively) for the total purchase price of $8.8 million and received warrants to purchase an aggregate of 426,348,120 shares of common stock for no additional consideration.

F3 · ownership.nature: The securities are directly held by 5AM Co-Investors II, L.P. ("Co-Investors II"). Partners II is the sole general partner of Co-Investors II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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August 18, 2023 Filed Aug 22, 2023 21:21 UTC
Schwab Andrew J.Director · 10% owner
GrantCommon Stock 161,944,872 $0.01 $1,668,032.18
Disclosure

SEC source: 0001516551-23-000052 · wk-form4_1692739248.xml · nonDerivative · entry 4

Schwab Andrew J. · CIK 0001598549 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By 5AM Ventures II, L.P.

Disclosed balance after: 429,546,911

F4 · shares: The securities were purchased pursuant to a Securities Purchase Agreement, dated as of August 15, 2023 (the "Purchase Agreement"). The transactions contemplated by the Purchase Agreement closed concurrently with the Merger on August 18, 2023. Pursuant to the Purchase Agreement, 5AM Ventures VII, L.P. ("Ventures VII") purchased an aggregate of 852,696,240 shares of common stock (of which Ventures II and Co-Investors II were allocated 161,944,872 shares and 6,389,799 shares, respectively) for the total purchase price of $8.8 million and received warrants to purchase an aggregate of 426,348,120 shares of common stock for no additional consideration.

F4 · price: The securities were purchased pursuant to a Securities Purchase Agreement, dated as of August 15, 2023 (the "Purchase Agreement"). The transactions contemplated by the Purchase Agreement closed concurrently with the Merger on August 18, 2023. Pursuant to the Purchase Agreement, 5AM Ventures VII, L.P. ("Ventures VII") purchased an aggregate of 852,696,240 shares of common stock (of which Ventures II and Co-Investors II were allocated 161,944,872 shares and 6,389,799 shares, respectively) for the total purchase price of $8.8 million and received warrants to purchase an aggregate of 426,348,120 shares of common stock for no additional consideration.

F2 · ownership.nature: The securities are directly held by 5AM Ventures II, L.P. ("Ventures II"). 5AM Partners II, LLC ("Partners II") is the sole general partner of Ventures II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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August 18, 2023 Filed Aug 22, 2023 21:21 UTC
Schwab Andrew J.Director · 10% owner
GrantCommon Stock 684,361,447 $0.01 $7,048,922.90
Disclosure

SEC source: 0001516551-23-000052 · wk-form4_1692739248.xml · nonDerivative · entry 3

Schwab Andrew J. · CIK 0001598549 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By 5AM Ventures VII, L.P.

Disclosed balance after: 684,361,447

F4 · shares: The securities were purchased pursuant to a Securities Purchase Agreement, dated as of August 15, 2023 (the "Purchase Agreement"). The transactions contemplated by the Purchase Agreement closed concurrently with the Merger on August 18, 2023. Pursuant to the Purchase Agreement, 5AM Ventures VII, L.P. ("Ventures VII") purchased an aggregate of 852,696,240 shares of common stock (of which Ventures II and Co-Investors II were allocated 161,944,872 shares and 6,389,799 shares, respectively) for the total purchase price of $8.8 million and received warrants to purchase an aggregate of 426,348,120 shares of common stock for no additional consideration.

F4 · price: The securities were purchased pursuant to a Securities Purchase Agreement, dated as of August 15, 2023 (the "Purchase Agreement"). The transactions contemplated by the Purchase Agreement closed concurrently with the Merger on August 18, 2023. Pursuant to the Purchase Agreement, 5AM Ventures VII, L.P. ("Ventures VII") purchased an aggregate of 852,696,240 shares of common stock (of which Ventures II and Co-Investors II were allocated 161,944,872 shares and 6,389,799 shares, respectively) for the total purchase price of $8.8 million and received warrants to purchase an aggregate of 426,348,120 shares of common stock for no additional consideration.

F5 · ownership.nature: The securities are directly held by 5AM Ventures VII, L.P. ("Ventures VII"). 5AM Partners VII, LLC ("Partners VII") is the sole general partner of Ventures VII. The Reporting Person is a managing member of Partners VII and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures VII. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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August 18, 2023 Filed Aug 22, 2023 21:21 UTC
Schwab Andrew J.Director · 10% owner
GrantCommon Stock 10,558,878 Not disclosed Not disclosed
Disclosure

SEC source: 0001516551-23-000052 · wk-form4_1692739248.xml · nonDerivative · entry 2

Schwab Andrew J. · CIK 0001598549 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By 5AM Co-Investors II, L.P.

Disclosed balance after: 10,558,878

F1 · price: Pursuant to the Agreement and Plan of Merger and Reorganization, dated as of August 15, 2023 (the "Merger Agreement"), by and among the Issuer, Bird Rock Bio, Inc. ("Bird Rock Bio") and Aquila Merger Sub, Inc. ("Merger Sub"), Merger Sub merged with and into Bird Rock Bio (the "Merger"), with Bird Rock Bio surviving the Merger as a wholly-owned subsidiary of the Issuer. Upon the closing of the Merger, each share of Bird Rock Bio's Series A preferred stock, Series B preferred stock and Series C preferred stock was converted into the right to receive 18.560295 shares of the Issuer's common stock. The Merger closed on August 18, 2023.

F3 · ownership.nature: The securities are directly held by 5AM Co-Investors II, L.P. ("Co-Investors II"). Partners II is the sole general partner of Co-Investors II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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August 18, 2023 Filed Aug 22, 2023 21:21 UTC
Schwab Andrew J.Director · 10% owner
GrantCommon Stock 267,602,039 Not disclosed Not disclosed
Disclosure

SEC source: 0001516551-23-000052 · wk-form4_1692739248.xml · nonDerivative · entry 1

Schwab Andrew J. · CIK 0001598549 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By 5AM Ventures II, L.P.

Disclosed balance after: 267,602,039

F1 · price: Pursuant to the Agreement and Plan of Merger and Reorganization, dated as of August 15, 2023 (the "Merger Agreement"), by and among the Issuer, Bird Rock Bio, Inc. ("Bird Rock Bio") and Aquila Merger Sub, Inc. ("Merger Sub"), Merger Sub merged with and into Bird Rock Bio (the "Merger"), with Bird Rock Bio surviving the Merger as a wholly-owned subsidiary of the Issuer. Upon the closing of the Merger, each share of Bird Rock Bio's Series A preferred stock, Series B preferred stock and Series C preferred stock was converted into the right to receive 18.560295 shares of the Issuer's common stock. The Merger closed on August 18, 2023.

F2 · ownership.nature: The securities are directly held by 5AM Ventures II, L.P. ("Ventures II"). 5AM Partners II, LLC ("Partners II") is the sole general partner of Ventures II. The Reporting Person is a managing member of Partners II and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures II. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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February 22, 2023 Filed Mar 17, 2023 18:52 UTC Disposition to issuerWarrants with Credit Facility of Oct 5, 2018 - T3 · Derivative 2,500,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0001567619-23-005234 · doc1.xml · derivative · entry 7

Emerald Health Sciences Inc. · CIK 0001728413 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500,000 shares

Expires 2024-03-29

F2 · kind: Aggregate exercise price for the warrants was paid through a reduction in the debt Issuer owed to Reporting Person under the Multi Draw Credit Facility.

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February 22, 2023 Filed Mar 17, 2023 18:52 UTC Disposition to issuerWarrants with Credit Facility of Oct 5, 2018 - T2 · Derivative 2,500,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0001567619-23-005234 · doc1.xml · derivative · entry 6

Emerald Health Sciences Inc. · CIK 0001728413 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500,000 shares

Expires 2024-02-01

F2 · kind: Aggregate exercise price for the warrants was paid through a reduction in the debt Issuer owed to Reporting Person under the Multi Draw Credit Facility.

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February 22, 2023 Filed Mar 17, 2023 18:52 UTC PurchaseWarrants with Credit Facility of Oct 5, 2018 · Derivative 2,500,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0001567619-23-005234 · doc1.xml · derivative · entry 5

Emerald Health Sciences Inc. · CIK 0001728413 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500,000 shares

Expires 2023-11-01

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February 22, 2023 Filed Mar 17, 2023 18:52 UTC Disposition to issuerWarrants · Derivative 9,141,486 $0.00 Strike: $0.02 $0.00
Disclosure

SEC source: 0001567619-23-005234 · doc1.xml · derivative · entry 4

Emerald Health Sciences Inc. · CIK 0001728413 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,141,486 shares

Expires 2024-12-30

Read SEC document
February 22, 2023 Filed Mar 17, 2023 18:52 UTC GrantCommon Stock 41,379,164 $0.04 $1,597,235.73
Disclosure

SEC source: 0001567619-23-005234 · doc1.xml · nonDerivative · entry 2

Emerald Health Sciences Inc. · CIK 0001728413 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,407,901

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February 22, 2023 Filed Mar 17, 2023 18:52 UTC GrantCommon Stock 16,641,486 $0.02 $282,905.26
Disclosure

SEC source: 0001567619-23-005234 · doc1.xml · nonDerivative · entry 1

Emerald Health Sciences Inc. · CIK 0001728413 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,028,737

Read SEC document
February 14, 2023 Filed Feb 16, 2023 22:30 UTC GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $0.04 $0.00
Disclosure

SEC source: 0001516551-23-000022 · wf-form4_167658660353462.xml · derivative · entry 1

Charych Deborah H. · CIK 0001965700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-02-14

F1 · derivative.exercise_date: 1. The option grant shall be exercisable for a price of $0.039 per option share for ten years from February 14, 2023 and the options will vest in equal monthly installments over the one year period beginning February 15, 2023.

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January 05, 2023 Filed Jan 6, 2023 17:21 UTC
TYLE PRAVEENDirector
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $0.02 $0.00
Disclosure

SEC source: 0001516551-23-000006 · wf-form4_167304366212912.xml · derivative · entry 1

TYLE PRAVEEN · CIK 0001296936 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-01-05

F1 · derivative.exercise_date: The option grant shall be exercisable for a price of $0.017 per option share for ten years from January 5, 2023 (the "Grant Date") and the options will vest in equal monthly installments over the one year period from the Grant Date.

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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.