Last 12 months
Inside the activity.
39 purchase rows · 2 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 2 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 1 | 0 |
| Feb 2026 | 9 | 0 |
| Mar 2026 | 3 | 0 |
| Apr 2026 | 1 | 0 |
| May 2026 | 5 | 0 |
| Jun 2026 | 11 | 0 |
| Jul 2026 | 2 | 0 |
| Aug 2026 | 3 | 0 |
| Sep 2026 | 4 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Szot Matthew KDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 13,187 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009486 · doc4.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,187 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Szot Matthew KDirector
|
Exercise / conversionCommon Stock | 13,187 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009486 · doc4.xml · nonDerivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Szot Family Trust Disclosed balance after: 76,238 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Morrison Jamie BechtelDirector
|
GrantStock Option (right to buy) · Derivative | 42,521 | $0.00 Strike: $1.42 | $0.00 |
DisclosureSEC source: 0001225208-19-009485 · doc4.xml · derivative · entry 4 Morrison Jamie Bechtel · CIK 0001729595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,521 Underlying: Common Stock · 42,521 shares Expires 2024-06-18 F4 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates). Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Morrison Jamie BechtelDirector
|
GrantRestricted Stock Units · Derivative | 23,944 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009485 · doc4.xml · derivative · entry 3 Morrison Jamie Bechtel · CIK 0001729595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,944 Underlying: Common Stock · 23,944 shares Expires 2020-06-18 F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F3 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F3 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Morrison Jamie BechtelDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 17,308 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009485 · doc4.xml · derivative · entry 2 Morrison Jamie Bechtel · CIK 0001729595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,308 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Morrison Jamie BechtelDirector
|
Exercise / conversionCommon Stock | 17,308 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009485 · doc4.xml · nonDerivative · entry 1 Morrison Jamie Bechtel · CIK 0001729595 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,261 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Chiavarini Delphine FrancoisDirector
|
GrantStock Option (right to buy) · Derivative | 31,618 | $0.00 Strike: $1.42 | $0.00 |
DisclosureSEC source: 0001225208-19-009483 · doc4.xml · derivative · entry 4 Chiavarini Delphine Francois · CIK 0001744264 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,618 Underlying: Common Stock · 31,618 shares Expires 2024-06-18 F4 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates). Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Chiavarini Delphine FrancoisDirector
|
GrantRestricted Stock Units · Derivative | 16,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009483 · doc4.xml · derivative · entry 3 Chiavarini Delphine Francois · CIK 0001744264 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,901 Underlying: Common Stock · 16,901 shares Expires 2020-06-18 F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F3 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F3 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Chiavarini Delphine FrancoisDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 9,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009483 · doc4.xml · derivative · entry 2 Chiavarini Delphine Francois · CIK 0001744264 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,341 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 18, 2019 Filed Jun 21, 2019 00:13 UTC |
Chiavarini Delphine FrancoisDirector
|
Exercise / conversionCommon Stock | 9,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-009483 · doc4.xml · nonDerivative · entry 1 Chiavarini Delphine Francois · CIK 0001744264 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,341 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 19:07 UTC |
SIEGEL KENNETH SDirector · CEO
|
GrantStock Option (right to buy) · Derivative | 700,000 | $0.00 Strike: $1.47 | $0.00 |
DisclosureSEC source: 0001225208-19-009443 · doc4.xml · derivative · entry 1 SIEGEL KENNETH S · CIK 0001167024 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700,000 Underlying: Common Stock · 700,000 shares Expires 2029-06-17 F1 · derivative.exercise_date: Date at which first vesting occurs is indicated. 1/12th of the total stock options granted vests on the first vesting date and an additional 1/12th quarterly thereafter. Read SEC document |
| March 30, 2019 Filed Apr 2, 2019 19:46 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006208 · doc4.xml · derivative · entry 5 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,336 Underlying: Common Stock · 18,333 shares Expires 2019-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-third of the total restricted stock units ("RSUs") granted vests on the first vesting date with the remaining RSUs to vest in equal quarterly tranches over the next 24 months of continuous service. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| March 30, 2019 Filed Apr 2, 2019 19:46 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Tax withholdingCommon Stock | 9,652 | $1.22 | $11,775.44 |
DisclosureSEC source: 0001225208-19-006208 · doc4.xml · nonDerivative · entry 3 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,372 Read SEC document |
| March 30, 2019 Filed Apr 2, 2019 19:46 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006208 · doc4.xml · nonDerivative · entry 2 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,024 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| March 30, 2019 Filed Apr 2, 2019 19:46 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006207 · doc4.xml · derivative · entry 4 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,336 Underlying: Common Stock · 18,333 shares Expires 2019-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-third of the total restricted stock units ("RSUs") granted vests on the first vesting date with the remaining RSUs to vest in equal quarterly tranches over the next 24 months of continuous service. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| March 30, 2019 Filed Apr 2, 2019 19:46 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Tax withholdingCommon Stock | 9,972 | $1.22 | $12,165.84 |
DisclosureSEC source: 0001225208-19-006207 · doc4.xml · nonDerivative · entry 2 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 406,626 Read SEC document |
| March 30, 2019 Filed Apr 2, 2019 19:46 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006207 · doc4.xml · nonDerivative · entry 1 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 416,598 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| February 14, 2019 Filed Feb 15, 2019 16:07 UTC |
SIEGEL KENNETH SDirector
|
GrantStock Option (right to buy) · Derivative | 8,218 | $0.00 Strike: $0.85 | $0.00 |
DisclosureSEC source: 0001225208-19-002751 · doc4.xml · derivative · entry 2 SIEGEL KENNETH S · CIK 0001167024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,218 Underlying: Common Stock · 8,218 shares Expires 2024-02-14 Read SEC document |
| February 14, 2019 Filed Feb 15, 2019 16:07 UTC |
SIEGEL KENNETH SDirector
|
GrantRestricted Stock Units · Derivative | 6,262 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-002751 · doc4.xml · derivative · entry 1 SIEGEL KENNETH S · CIK 0001167024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,262 Underlying: Common Stock · 6,262 shares Expires not disclosed F1 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of 06/19/2019 or the date of the Company's 2019 annual stockholder meeting (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of 06/19/2019 or the date of the Company's 2019 annual stockholder meeting (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| January 11, 2019 Filed Apr 2, 2019 19:46 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-006208 · doc4.xml · nonDerivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,691 Read SEC document |
| December 31, 2018 Filed Dec 31, 2018 18:05 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-017078 · doc4.xml · derivative · entry 5 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,669 Underlying: Common Stock · 18,333 shares Expires 2019-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-third of the total restricted stock units ("RSUs") granted vests on the first vesting date with the remaining RSUs to vest in equal quarterly tranches over the next 24 months of continuous service. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| December 31, 2018 Filed Dec 31, 2018 18:05 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Tax withholdingCommon Stock | 8,516 | $0.58 | $4,897.55 |
DisclosureSEC source: 0001225208-18-017078 · doc4.xml · nonDerivative · entry 3 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 393,691 Read SEC document |
| December 31, 2018 Filed Dec 31, 2018 18:05 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-017078 · doc4.xml · nonDerivative · entry 2 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,207 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| December 31, 2018 Filed Dec 31, 2018 18:08 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-017079 · doc4.xml · derivative · entry 5 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,669 Underlying: Common Stock · 18,333 shares Expires 2019-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-third of the total restricted stock units ("RSUs") granted vests on the first vesting date with the remaining RSUs to vest in equal quarterly tranches over the next 24 months of continuous service. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| December 31, 2018 Filed Dec 31, 2018 18:08 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Tax withholdingCommon Stock | 8,846 | $0.58 | $5,087.33 |
DisclosureSEC source: 0001225208-18-017079 · doc4.xml · nonDerivative · entry 3 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 398,265 Read SEC document |
| December 31, 2018 Filed Dec 31, 2018 18:08 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-017079 · doc4.xml · nonDerivative · entry 2 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 407,111 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 27, 2018 Filed Dec 31, 2018 18:05 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
GiftCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-017078 · doc4.xml · nonDerivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,874 Read SEC document |
| December 27, 2018 Filed Dec 31, 2018 18:08 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
GiftCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-017079 · doc4.xml · nonDerivative · entry 1 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,778 Read SEC document |
| September 30, 2018 Filed Oct 2, 2018 18:15 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-014180 · doc4.xml · derivative · entry 4 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,002 Underlying: Common Stock · 18,333 shares Expires 2019-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-third of the total restricted stock units ("RSUs") granted vests on the first vesting date with the remaining RSUs to vest in equal quarterly tranches over the next 24 months of continuous service. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| September 30, 2018 Filed Oct 2, 2018 18:15 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Tax withholdingCommon Stock | 4,464 | $0.69 | $3,080.16 |
DisclosureSEC source: 0001225208-18-014180 · doc4.xml · nonDerivative · entry 2 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 433,874 Read SEC document |
| September 30, 2018 Filed Oct 2, 2018 18:15 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-014180 · doc4.xml · nonDerivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,338 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| September 30, 2018 Filed Oct 2, 2018 18:15 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-014181 · doc4.xml · derivative · entry 4 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,002 Underlying: Common Stock · 18,333 shares Expires 2019-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-third of the total restricted stock units ("RSUs") granted vests on the first vesting date with the remaining RSUs to vest in equal quarterly tranches over the next 24 months of continuous service. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| September 30, 2018 Filed Oct 2, 2018 18:15 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Tax withholdingCommon Stock | 4,794 | $0.69 | $3,307.86 |
DisclosureSEC source: 0001225208-18-014181 · doc4.xml · nonDerivative · entry 2 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,778 Read SEC document |
| September 30, 2018 Filed Oct 2, 2018 18:15 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-014181 · doc4.xml · nonDerivative · entry 1 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,572 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 19:35 UTC |
Williams Julia AnnDirector
|
PurchaseCommon Stock | 1,000 | $1.15 | $1,150.00 |
DisclosureSEC source: 0001225208-18-012654 · doc4.xml · nonDerivative · entry 3 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Wild Erp, LLC Disclosed balance after: 5,000 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 19:35 UTC |
Williams Julia AnnDirector
|
PurchaseCommon Stock | 6,000 | $1.15 | $6,900.00 |
DisclosureSEC source: 0001225208-18-012654 · doc4.xml · nonDerivative · entry 2 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Julia A. Williams MD Trust Disclosed balance after: 147,087 Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 19:35 UTC |
Williams Julia AnnDirector
|
PurchaseCommon Stock | 4,000 | $1.15 | $4,600.00 |
DisclosureSEC source: 0001225208-18-012654 · doc4.xml · nonDerivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · HERO Disclosed balance after: 8,000 F1 · balance_after: The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares. F2 · ownership.nature: Humanitarian Efforts Reaching Out, a nonprofit Arizona Corporation ("HERO"). Dr. Williams is the founder and President of HERO. Read SEC document |
| June 30, 2018 Filed Jul 3, 2018 18:49 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011372 · doc4.xml · derivative · entry 4 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,335 Underlying: Common Stock · 18,333 shares Expires 2019-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-third of the total restricted stock units ("RSUs") granted vests on the first vesting date with the remaining RSUs to vest in equal quarterly tranches over the next 24 months of continuous service. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| June 30, 2018 Filed Jul 3, 2018 18:49 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Tax withholdingCommon Stock | 4,299 | $1.63 | $7,007.37 |
DisclosureSEC source: 0001225208-18-011372 · doc4.xml · nonDerivative · entry 2 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,005 Read SEC document |
| June 30, 2018 Filed Jul 3, 2018 18:49 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011372 · doc4.xml · nonDerivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,304 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| June 30, 2018 Filed Jul 3, 2018 18:49 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011371 · doc4.xml · derivative · entry 4 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,335 Underlying: Common Stock · 18,333 shares Expires 2019-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-third of the total restricted stock units ("RSUs") granted vests on the first vesting date with the remaining RSUs to vest in equal quarterly tranches over the next 24 months of continuous service. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| June 30, 2018 Filed Jul 3, 2018 18:49 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Tax withholdingCommon Stock | 4,629 | $1.63 | $7,545.27 |
DisclosureSEC source: 0001225208-18-011371 · doc4.xml · nonDerivative · entry 2 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425,239 Read SEC document |
| June 30, 2018 Filed Jul 3, 2018 18:49 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-011371 · doc4.xml · nonDerivative · entry 1 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 429,868 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 18:32 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
SaleCommon Stock | 6,000 | $2.13 | $12,780.00 |
DisclosureSEC source: 0001225208-18-010895 · doc4.xml · nonDerivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 405,971 F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person July 5, 2017. Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 19:32 UTC |
DUMONT MARCDirector
|
GrantStock Option (right to buy) · Derivative | 19,373 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001225208-18-010850 · doc4.xml · derivative · entry 2 DUMONT MARC · CIK 0001030600 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,373 Underlying: Common Stock · 19,373 shares Expires 2023-06-19 F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the date of the Company's 2019 annual stockholder meeting will vest as of such date (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 19:32 UTC |
DUMONT MARCDirector
|
GrantRestricted Stock Units · Derivative | 8,791 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010850 · doc4.xml · derivative · entry 1 DUMONT MARC · CIK 0001030600 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,791 Underlying: Common Stock · 8,791 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 19:32 UTC |
Williams Julia AnnDirector
|
GrantStock Option (right to buy) · Derivative | 17,528 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001225208-18-010854 · doc4.xml · derivative · entry 2 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,528 Underlying: Common Stock · 17,528 shares Expires 2023-06-19 F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the date of the Company's 2019 annual stockholder meeting will vest as of such date (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 19:32 UTC |
Williams Julia AnnDirector
|
GrantRestricted Stock Units · Derivative | 7,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010854 · doc4.xml · derivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,692 Underlying: Common Stock · 7,692 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 23:32 UTC |
Szot Matthew KDirector
|
GrantStock Option (right to buy) · Derivative | 26,753 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001225208-18-010852 · doc4.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,753 Underlying: Common Stock · 26,753 shares Expires 2023-06-19 F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the date of the Company's 2019 annual stockholder meeting will vest as of such date (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 23:32 UTC |
Szot Matthew KDirector
|
GrantRestricted Stock Units · Derivative | 13,187 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010852 · doc4.xml · derivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,187 Underlying: Common Stock · 13,187 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.