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Summit Therapeutics Inc.

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3477
SEC CIK
0001599298
Parsed reports
130

Last 12 months

Inside the activity.

6 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202660
Jul 202600
Aug 202600
Sep 202600
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
April 08, 2025 Filed Apr 9, 2025 21:19 UTC
Zanganeh MahkamDirector · Co-Chief Executive Officer · 10% owner
OtherCommon Stock 3,985,055 $1.58 $6,296,386.90
Disclosure

SEC source: 0001599298-25-000060 · wk-form4_1744233562.xml · nonDerivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 555,680,151

F1 · kind: On April 8, 2025, the Reporting Person's spouse exercised warrants to purchase an aggregate of 3,985,055 shares of the Issuer's common stock at an exercise price of $1.58 per share

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
January 12, 2025 Filed Jan 14, 2025 16:06 UTC
Anand BhaskarChief Accounting Officer
GrantStock Option (right to buy) · Derivative 75,000 Not disclosed Strike: $17.85 Not disclosed
Disclosure

SEC source: 0001599298-25-000036 · wk-form4_1736888785.xml · derivative · entry 1

Anand Bhaskar · CIK 0001890784 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2035-01-12

F2 · price: Not Applicable.

F1 · derivative.exercise_date: The option was granted on January 12, 2025. The shares underlying the option shall vest in four equal annual installments, with the first such installment occurring on January 12, 2026.

Read SEC document
January 02, 2025 Filed Jan 7, 2025 00:49 UTC
DUGGAN ROBERT WDirector · Co-Chief Executive Officer · 10% owner
GrantStock Option (right to buy) · Derivative 10,724 $9.18 Strike: $18.35 $98,446.32
Disclosure

SEC source: 0001599298-25-000030 · wk-form4_1736210941.xml · derivative · entry 6

DUGGAN ROBERT W · CIK 0001055919 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,724

Underlying: Common Stock · 10,724 shares

Expires 2035-01-02

F4 · price: The option was issued to the reporting person pursuant to the Director Retainer Option Election Plan of issuer in lieu of retainer fees of $98,400.

F3 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 7, 2025 00:30 UTC
Huber JeffDirector
GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $18.35 Not disclosed
Disclosure

SEC source: 0001599298-25-000028 · wk-form4_1736209802.xml · derivative · entry 1

Huber Jeff · CIK 0001463740 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2035-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 6, 2025 19:11 UTC GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $18.35 Not disclosed
Disclosure

SEC source: 0001599298-25-000025 · wk-form4_1736208674.xml · derivative · entry 1

Ronaghi Mostafa · CIK 0001441876 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2035-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 7, 2025 00:39 UTC
Zanganeh MahkamDirector · Co-Chief Executive Officer · 10% owner
GrantStock Option (right to buy) · Derivative 10,724 $9.18 Strike: $18.35 $98,446.32
Disclosure

SEC source: 0001599298-25-000029 · wk-form4_1736210375.xml · derivative · entry 6

Zanganeh Mahkam · CIK 0001507650 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 10,724

Underlying: Common Stock · 10,724 shares

Expires 2035-01-02

F3 · derivative.exercise_date: The option was granted on January 2, 2025 to the Reporting Person's spouse. The shares underlying the option shall vest in four quarterly installments, subject to continued service on each vesting date.

F1 · balance_after: The Reporting Person disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
January 02, 2025 Filed Jan 6, 2025 18:57 UTC GrantStock Option (right to buy) · Derivative 6,855 $9.18 Strike: $18.35 $62,928.90
Disclosure

SEC source: 0001599298-25-000022 · wk-form4_1736207824.xml · derivative · entry 2

Booth Robert F. · CIK 0001507567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,855

Underlying: Common Stock · 6,855 shares

Expires 2035-01-02

F4 · price: The option was issued to the reporting person pursuant to the Director Retainer Option Election Plan of issuer in lieu of retainer fees of $62,900.

F3 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 6, 2025 18:57 UTC GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $18.35 Not disclosed
Disclosure

SEC source: 0001599298-25-000022 · wk-form4_1736207824.xml · derivative · entry 1

Booth Robert F. · CIK 0001507567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2035-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the director remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 6, 2025 19:05 UTC GrantStock Option (right to buy) · Derivative 16,991 $9.18 Strike: $18.35 $155,977.38
Disclosure

SEC source: 0001599298-25-000023 · wk-form4_1736208323.xml · derivative · entry 2

Clark Kenneth A · CIK 0001561736 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,991

Underlying: Common Stock · 16,991 shares

Expires 2035-01-02

F4 · price: The option was issued to the reporting person pursuant to the issuers Director Retainer Option Election Plan in lieu of retainer fees of $155,900

F3 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 6, 2025 19:05 UTC GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $18.35 Not disclosed
Disclosure

SEC source: 0001599298-25-000023 · wk-form4_1736208323.xml · derivative · entry 1

Clark Kenneth A · CIK 0001561736 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2035-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 7, 2025 00:24 UTC
Xia YuDirector
GrantStock Option (right to buy) · Derivative 5,438 $9.18 Strike: $18.35 $49,920.84
Disclosure

SEC source: 0001599298-25-000027 · wk-form4_1736209460.xml · derivative · entry 2

Xia Yu · CIK 0001963544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,438

Underlying: Common Stock · 5,438 shares

Expires 2035-01-02

F4 · price: The option was issued to the reporting person pursuant to the issuer's Director Retainer Option Election Plan in lieu of retainer fees of $49,900.

F3 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 7, 2025 00:24 UTC
Xia YuDirector
GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $18.35 Not disclosed
Disclosure

SEC source: 0001599298-25-000027 · wk-form4_1736209460.xml · derivative · entry 1

Xia Yu · CIK 0001963544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2035-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 7, 2025 00:17 UTC GrantStock Option (right to buy) · Derivative 3,073 $9.18 Strike: $18.35 $28,210.14
Disclosure

SEC source: 0001599298-25-000026 · wk-form4_1736209060.xml · derivative · entry 2

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,073

Underlying: Common Stock · 3,073 shares

Expires 2035-01-02

F4 · price: The option was issued to the reporting person pursuant to the Director Retainer Option Election Plan of issuer in lieu of retainer fees of $28,200.

F3 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the director remaining as a non-salaried director on each such vesting date.

Read SEC document
January 02, 2025 Filed Jan 7, 2025 00:17 UTC GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $18.35 Not disclosed
Disclosure

SEC source: 0001599298-25-000026 · wk-form4_1736209060.xml · derivative · entry 1

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2035-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2025. The shares underlying the option shall vest in four quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the reporting person remaining as a non-salaried director on each such vesting date.

Read SEC document
October 11, 2024 Filed Oct 15, 2024 17:08 UTC GrantStock Option (right to buy) · Derivative 200,000 Not disclosed Strike: $19.95 Not disclosed
Disclosure

SEC source: 0001599298-24-000150 · wk-form4_1729026485.xml · derivative · entry 1

Clark Kenneth A · CIK 0001561736 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-10-11

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on October 11, 2024. The shares underlying the option shall vest in four equal annual installments, subject to the reporting person continuing to serve as a member of the Strategic Advisory Committee of the Board, with the first installment occurring on October 11, 2025.

Read SEC document
October 03, 2024 Filed Oct 3, 2024 20:54 UTC
Zanganeh MahkamDirector · Co-Chief Executive Officer
OtherWarrant (right to buy) · Derivative 315,681 $0.00 Strike: $1.58 $0.00
Disclosure

SEC source: 0001599298-24-000146 · wk-form4_1727988861.xml · derivative · entry 5

Zanganeh Mahkam · CIK 0001507650 · Director · Co-Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Shaun Zanganeh Irrevocable Trust, with the Reporting Person as Trustee

Disclosed balance after: 0

Underlying: Common Stock · 315,681 shares

Expires 2029-12-24

F1 · kind: On October 3, 2024, the Shaun Zanganeh Irrevocable Trust exercised a warrant to purchase 315,681 shares of the Issuer's common stock at an exercise price of $1.58 per share.

Read SEC document
October 03, 2024 Filed Oct 3, 2024 20:54 UTC
Zanganeh MahkamDirector · Co-Chief Executive Officer
OtherCommon Stock 315,681 $1.58 $498,775.98
Disclosure

SEC source: 0001599298-24-000146 · wk-form4_1727988861.xml · nonDerivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · Director · Co-Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Shaun Zanganeh Irrevocable Trust, with the Reporting Person as Trustee

Disclosed balance after: 10,199,776

F1 · kind: On October 3, 2024, the Shaun Zanganeh Irrevocable Trust exercised a warrant to purchase 315,681 shares of the Issuer's common stock at an exercise price of $1.58 per share.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
September 11, 2024 Filed Sep 13, 2024 22:25 UTC
DUGGAN ROBERT WDirector · Co-Chief Executive Officer · 10% owner
GrantCommon Stock 3,325,991 $22.70 $75,499,995.70
Disclosure

SEC source: 0001599298-24-000139 · wk-form4_1726266298.xml · nonDerivative · entry 1

DUGGAN ROBERT W · CIK 0001055919 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 551,695,096

F1 · shares: Acquired in a private placement transaction pursuant to the terms of a definitive agreement, dated as of September 11, 2024, pursuant to which the Issuer agreed to sell shares of common stock to the Reporting Person at a purchase price of $22.70 per share. The transaction closed on September 13, 2024.

F2 · balance_after: Excludes shares underlying options and warrants held by the Reporting Person.

Read SEC document
September 11, 2024 Filed Sep 13, 2024 17:26 UTC
Anand BhaskarChief Accounting Officer
GrantCommon Stock 22,026 $22.70 $499,990.20
Disclosure

SEC source: 0001599298-24-000135 · wk-form4_1726262759.xml · nonDerivative · entry 1

Anand Bhaskar · CIK 0001890784 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,426

F1 · shares: Acquired in a private placement transaction pursuant to the terms of a definitive agreement, dated as of September 11, 2024, pursuant to which the Issuer agreed to sell shares of common stock to the Reporting Person at a purchase price of $22.70 per share. The transaction closed on September 13, 2024.

Read SEC document
September 11, 2024 Filed Sep 13, 2024 21:40 UTC
Huber JeffDirector
GrantCommon Stock 44,052 $22.70 $999,980.40
Disclosure

SEC source: 0001599298-24-000138 · wk-form4_1726263613.xml · nonDerivative · entry 1

Huber Jeff · CIK 0001463740 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Caspian Capital LLC

Disclosed balance after: 44,052

F1 · shares: Acquired in a private placement transaction pursuant to the terms of a definitive agreement, dated as of September 11, 2024, pursuant to which the Issuer agreed to sell shares of common stock to Caspian Capital LLC ('Caspian Capital') at a purchase price of $22.70 per share. The transaction closed on September 13, 2024.

F2 · ownership.nature: The Reporting Person is a manager and member of Caspian Capital.

Read SEC document
September 11, 2024 Filed Sep 13, 2024 23:29 UTC
Zanganeh MahkamDirector · Co-Chief Executive Officer
GrantCommon Stock 44,052 $22.70 $999,980.40
Disclosure

SEC source: 0001599298-24-000141 · wk-form4_1726270177.xml · nonDerivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · Director · Co-Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Mahkam Zanganeh Revocable Trust, with the Reporting Person as Trustee

Disclosed balance after: 24,967,852

F1 · shares: Acquired in a private placement transaction pursuant to the terms of a definitive agreement, dated as of September 11, 2024, pursuant to which the Issuer agreed to sell shares of common stock to the Mahkam Zanganeh Revocable Trust, with the Reporting Person as Trustee, at a purchase price of $22.70 per share. The transaction closed on September 13, 2024.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
September 11, 2024 Filed Sep 13, 2024 21:29 UTC
Soni Manmeet SinghDirector · COO and CFO
GrantCommon Stock 44,052 $22.70 $999,980.40
Disclosure

SEC source: 0001599298-24-000136 · wk-form4_1726262933.xml · nonDerivative · entry 1

Soni Manmeet Singh · CIK 0001569769 · Director · COO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,020,242

F1 · shares: Acquired in a private placement transaction pursuant to the terms of a definitive agreement, dated as of September 11, 2024, pursuant to which the Issuer agreed to sell shares of common stock to the Reporting Person at a purchase price of $22.70 per share. The transaction closed on September 13, 2024.

Read SEC document
August 23, 2024 Filed Aug 23, 2024 20:42 UTC
Zanganeh MahkamDirector · Chief Executive Officer
GrantPerformance Stock Option (right to buy) · Derivative 2,397,640 Not disclosed Strike: $1.68 Not disclosed
Disclosure

SEC source: 0001599298-24-000123 · wk-form4_1724445740.xml · derivative · entry 3

Zanganeh Mahkam · CIK 0001507650 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,397,640

Underlying: Common Stock · 2,397,640 shares

Expires 2033-10-13

F2 · price: Not applicable.

F4 · derivative.exercise_date: These performance-based stock options vested on August 23, 2024, upon the attainment of the satisfaction of certain financial performance objectives. Note this does not include an additional 9,590,558 shares underlying options which were granted on October 13, 2023 that remain subject to the satisfaction of performance conditions.

Read SEC document
August 23, 2024 Filed Aug 23, 2024 20:42 UTC
Zanganeh MahkamDirector · Chief Executive Officer
GrantPerformance Stock Option (right to buy) · Derivative 100,000 Not disclosed Strike: $1.29 Not disclosed
Disclosure

SEC source: 0001599298-24-000123 · wk-form4_1724445740.xml · derivative · entry 2

Zanganeh Mahkam · CIK 0001507650 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-09-09

F2 · price: Not applicable.

F3 · derivative.exercise_date: These performance-based stock options vested on August 23, 2024, upon the attainment of the satisfaction of certain financial performance objectives. Note this does not include an additional 400,000 shares underlying options which were granted on September 9, 2022 that remain subject to the satisfaction of performance conditions.

Read SEC document
August 23, 2024 Filed Aug 23, 2024 20:42 UTC
Zanganeh MahkamDirector · Chief Executive Officer
GrantPerformance Stock Option (right to buy) · Derivative 260,000 Not disclosed Strike: $1.06 Not disclosed
Disclosure

SEC source: 0001599298-24-000123 · wk-form4_1724445740.xml · derivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires 2032-06-28

F2 · price: Not applicable.

F1 · derivative.exercise_date: These performance-based stock options vested on August 23, 2024, upon the attainment of the satisfaction of certain financial performance objectives. Note this does not include an additional 1,040,000 shares underlying options which were granted on June 28, 2022, that remain subject to the satisfaction of performance conditions.

Read SEC document
August 23, 2024 Filed Aug 23, 2024 20:44 UTC
Soni Manmeet SinghDirector · COO and CFO
GrantPerformance Stock Option (right to buy) · Derivative 2,800,000 Not disclosed Strike: $1.68 Not disclosed
Disclosure

SEC source: 0001599298-24-000125 · wk-form4_1724445873.xml · derivative · entry 1

Soni Manmeet Singh · CIK 0001569769 · Director · COO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,800,000

Underlying: Common Stock · 2,800,000 shares

Expires 2033-10-13

F2 · price: Not applicable.

F1 · derivative.exercise_date: These performance-based stock options vested on August 23, 2024, upon the attainment of the satisfaction of certain financial performance objectives. Note this does not include an additional 11,200,000 shares underlying options which were granted on October 13, 2023 that remain subject to the satisfaction of performance conditions.

Read SEC document
June 27, 2024 Filed Jun 27, 2024 21:20 UTC
Huber JeffDirector
GrantStock Option (right to buy) · Derivative 17,883 Not disclosed Strike: $7.87 Not disclosed
Disclosure

SEC source: 0001599298-24-000107 · wk-form4_1719523215.xml · derivative · entry 2

Huber Jeff · CIK 0001463740 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,883

Underlying: Common Stock · 17,883 shares

Expires 2034-06-27

F2 · price: Not applicable.

F3 · derivative.exercise_date: The option was granted on June 27, 2024 and represents a pro rata amount of the annual 35,000 option board grant based approximately on the number of days the reporting person is anticipated to serve as a director in 2024. The shares underlying the option are scheduled to vest in full on December 31, 2024, subject to the director remaining as a non-salaried director on such vesting date.

Read SEC document
June 27, 2024 Filed Jun 27, 2024 21:20 UTC
Huber JeffDirector
GrantStock Option (right to buy) · Derivative 200,000 Not disclosed Strike: $7.87 Not disclosed
Disclosure

SEC source: 0001599298-24-000107 · wk-form4_1719523215.xml · derivative · entry 1

Huber Jeff · CIK 0001463740 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-06-27

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on June 27, 2024. The shares underlying the option shall vest in four equal annual installments, with the first such installment occurring on June 27, 2025, subject to the director remaining as a non-salaried director on each such vesting date.

Read SEC document
April 11, 2024 Filed Apr 15, 2024 09:21 UTC GrantStock Option (right to buy) · Derivative 25,315 Not disclosed Strike: $4.03 Not disclosed
Disclosure

SEC source: 0001599298-24-000070 · wk-form4_1713187295.xml · derivative · entry 2

Ronaghi Mostafa · CIK 0001441876 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,315

Underlying: Common Stock · 25,315 shares

Expires 2034-04-11

F2 · price: Not applicable.

F3 · derivative.exercise_date: The option was granted on April 11, 2024 and represents a pro rata amount of the annual 35,000 option board grant based approximately on the number of days the reporting person is anticipated to serve as a director in 2024. The shares underlying the option are scheduled to vest in full on December 31, 2024, subject to the director remaining as a non-salaried director on such vesting date.

Read SEC document
April 11, 2024 Filed Apr 15, 2024 09:21 UTC GrantStock Option (right to buy) · Derivative 200,000 Not disclosed Strike: $4.03 Not disclosed
Disclosure

SEC source: 0001599298-24-000070 · wk-form4_1713187295.xml · derivative · entry 1

Ronaghi Mostafa · CIK 0001441876 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-04-11

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on April 11, 2024. The shares underlying the option shall vest in four equal annual installments, with the first such installment occurring on April 11, 2025, subject to the director remaining as a non-salaried director on each such vesting date.

Read SEC document
April 02, 2024 Filed Apr 4, 2024 17:47 UTC
Anand BhaskarChief Accounting Officer
GrantStock Option (right to buy) · Derivative 600,000 Not disclosed Strike: $3.85 Not disclosed
Disclosure

SEC source: 0001599298-24-000058 · wk-form4_1712267219.xml · derivative · entry 1

Anand Bhaskar · CIK 0001890784 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2034-04-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on April 2, 2024. The shares underlying the option shall vest in four equal annual installments, with the first such installment occurring on April 2, 2025. Note this does not include an additional 600,000 options which were granted on April 2, 2024 and are subject to the satisfaction of performance conditions based on market capitalization and revenue targets.

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April 02, 2024 Filed Apr 4, 2024 21:52 UTC
Soni Manmeet SinghDirector · Chief Operating Officer
GrantStock Option (right to buy) · Derivative 1,100,000 Not disclosed Strike: $3.85 Not disclosed
Disclosure

SEC source: 0001599298-24-000060 · wk-form4_1712267527.xml · derivative · entry 1

Soni Manmeet Singh · CIK 0001569769 · Director · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,100,000

Underlying: Common Stock · 1,100,000 shares

Expires 2034-04-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on April 2, 2024. The shares underlying the option shall vest in four equal annual installments.

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March 27, 2024 Filed Mar 28, 2024 00:28 UTC
Zanganeh MahkamDirector · Chief Executive Officer
PurchaseCommon Stock 20,000 $3.71 $74,200.00
Disclosure

SEC source: 0001599298-24-000047 · wk-form4_1711585700.xml · nonDerivative · entry 4

Zanganeh Mahkam · CIK 0001507650 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 50,000

F5 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.68 to $3.75 per share, 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.

F3 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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March 27, 2024 Filed Mar 28, 2024 00:28 UTC
Zanganeh MahkamDirector · Chief Executive Officer
PurchaseCommon Stock 34,321 $3.72 $127,674.12
Disclosure

SEC source: 0001599298-24-000047 · wk-form4_1711585700.xml · nonDerivative · entry 2

Zanganeh Mahkam · CIK 0001507650 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Mahkam Zanganeh Revocable Trust, with the Reporting Person as Trustee

Disclosed balance after: 24,923,800

F2 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.69 to $3.72 per share, 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.

F3 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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March 27, 2024 Filed Mar 28, 2024 00:28 UTC
Zanganeh MahkamDirector · Chief Executive Officer
PurchaseCommon Stock 26,000 $3.72 $96,720.00
Disclosure

SEC source: 0001599298-24-000047 · wk-form4_1711585700.xml · nonDerivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 520,814

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.70 to $3.73 per share, 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.

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March 26, 2024 Filed Mar 28, 2024 00:28 UTC
Zanganeh MahkamDirector · Chief Executive Officer
PurchaseCommon Stock 30,000 $3.75 $112,500.00
Disclosure

SEC source: 0001599298-24-000047 · wk-form4_1711585700.xml · nonDerivative · entry 3

Zanganeh Mahkam · CIK 0001507650 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 30,000

F4 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.73 to $3.78 per share, 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.

F3 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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March 26, 2024 Filed Mar 28, 2024 00:27 UTC
Dhingra AnkurChief Financial Officer
PurchaseCommon Stock 100,000 $3.75 $375,000.00
Disclosure

SEC source: 0001599298-24-000046 · wk-form4_1711585608.xml · nonDerivative · entry 1

Dhingra Ankur · CIK 0001849682 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dhingra Family Revocable Trust

Disclosed balance after: 354,958

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.74 to $3.76 per share, 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.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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January 02, 2024 Filed Jan 4, 2024 21:16 UTC
DUGGAN ROBERT WDirector · Co-Chief Executive Officer · 10% owner
GrantStock Option (right to buy) · Derivative 74,545 $1.32 Strike: $2.64 $98,399.40
Disclosure

SEC source: 0001599298-24-000006 · wk-form4_1704402965.xml · derivative · entry 1

DUGGAN ROBERT W · CIK 0001055919 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,545

Underlying: Common Stock · 74,545 shares

Expires 2034-01-02

F2 · price: The option was issued to the reporting person pursuant to the issuer's Director Retainer Option Election Plan in lieu of retainer fees of $98,400.

F1 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the reporting person remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 16:27 UTC GrantStock Option (right to buy) · Derivative 47,651 $1.32 Strike: $2.64 $62,899.32
Disclosure

SEC source: 0001599298-24-000014 · wk-form4_1704403621.xml · derivative · entry 2

Booth Robert F. · CIK 0001507567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,651

Underlying: Common Stock · 47,651 shares

Expires 2034-01-02

F4 · price: The option was issued to the reporting person pursuant to the issuer's Director Retainer Option Election Plan in lieu of retainer fees of $62,900.

F3 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the director remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 16:27 UTC GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $2.64 Not disclosed
Disclosure

SEC source: 0001599298-24-000014 · wk-form4_1704403621.xml · derivative · entry 1

Booth Robert F. · CIK 0001507567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the director remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 16:24 UTC GrantStock Option (right to buy) · Derivative 70,492 $1.32 Strike: $2.64 $93,049.44
Disclosure

SEC source: 0001599298-24-000012 · wk-form4_1704403461.xml · derivative · entry 2

Clark Kenneth A · CIK 0001561736 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,492

Underlying: Common Stock · 70,492 shares

Expires 2034-01-02

F4 · price: The option was issued to the reporting person pursuant to the issuer's Director Retainer Option Election Plan in lieu of retainer fees of $93,050.

F3 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the director remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 16:24 UTC GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $2.64 Not disclosed
Disclosure

SEC source: 0001599298-24-000012 · wk-form4_1704403461.xml · derivative · entry 1

Clark Kenneth A · CIK 0001561736 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the director remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 21:33 UTC GrantStock Option (right to buy) · Derivative 21,363 $1.32 Strike: $2.64 $28,199.16
Disclosure

SEC source: 0001599298-24-000017 · wk-form4_1704404000.xml · derivative · entry 2

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,363

Underlying: Common Stock · 21,363 shares

Expires 2034-01-02

F4 · price: The option was issued to the reporting person pursuant to the issuer's Director Retainer Option Election Plan in lieu of retainer fees of $28,200.

F3 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the director remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 21:33 UTC GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $2.64 Not disclosed
Disclosure

SEC source: 0001599298-24-000017 · wk-form4_1704404000.xml · derivative · entry 1

Cesano Alessandra · CIK 0001827015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the director remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 21:22 UTC GrantStock Option (right to buy) · Derivative 52,575 $1.32 Strike: $2.64 $69,399.00
Disclosure

SEC source: 0001599298-24-000010 · wk-form4_1704403313.xml · derivative · entry 2

Mahatme Ujwala · CIK 0001823894 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,575

Underlying: Common Stock · 52,575 shares

Expires 2034-01-02

F4 · price: The option was issued to the reporting person pursuant to the issuer's Director Retainer Option Election Plan in lieu of retainer fees of $69,400.

F3 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 following election, subject to the director remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 21:22 UTC GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $2.64 Not disclosed
Disclosure

SEC source: 0001599298-24-000010 · wk-form4_1704403313.xml · derivative · entry 1

Mahatme Ujwala · CIK 0001823894 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the director remaining as a non-salaried director on each such vesting date.

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January 02, 2024 Filed Jan 4, 2024 21:19 UTC
Xia YuDirector
GrantStock Option (right to buy) · Derivative 200,000 Not disclosed Strike: $2.64 Not disclosed
Disclosure

SEC source: 0001599298-24-000008 · wk-form4_1704403182.xml · derivative · entry 2

Xia Yu · CIK 0001963544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 235,000

Underlying: Common Stock · 200,000 shares

Expires 2034-01-02

F2 · price: Not applicable.

F3 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option are scheduled to vest in four equal annual installments, with the first such installment occurring on January 2, 2025.

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January 02, 2024 Filed Jan 4, 2024 21:19 UTC
Xia YuDirector
GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $2.64 Not disclosed
Disclosure

SEC source: 0001599298-24-000008 · wk-form4_1704403182.xml · derivative · entry 1

Xia Yu · CIK 0001963544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-01-02

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on January 2, 2024. The shares underlying the option shall vest in four equal quarterly installments on March 31, June 30, September 30 and December 31 of the year of grant, subject to the director remaining as a non-salaried director on each such vesting date.

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December 13, 2023 Filed Dec 13, 2023 21:49 UTC
Dhingra AnkurChief Financial Officer
PurchaseCommon Stock 19,700 $2.17 $42,749.00
Disclosure

SEC source: 0001599298-23-000101 · wk-form4_1702504149.xml · nonDerivative · entry 2

Dhingra Ankur · CIK 0001849682 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dhingra Family Revocable Trust

Disclosed balance after: 254,958

F1 · shares: The Reporting Person purchased these shares in a single transaction on the open market.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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December 13, 2023 Filed Dec 13, 2023 21:49 UTC
Dhingra AnkurChief Financial Officer
PurchaseCommon Stock 700 $2.15 $1,505.00
Disclosure

SEC source: 0001599298-23-000101 · wk-form4_1702504149.xml · nonDerivative · entry 1

Dhingra Ankur · CIK 0001849682 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dhingra Family Revocable Trust

Disclosed balance after: 235,258

F1 · shares: The Reporting Person purchased these shares in a single transaction on the open market.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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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.