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 |
|---|---|---|---|---|---|---|
| December 19, 2017 Filed Dec 21, 2017 21:38 UTC |
DUMONT MARCDirector
|
Exercise / conversionCommon Stock | 3,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-019013 · doc4.xml · nonDerivative · entry 1 DUMONT MARC · CIK 0001030600 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,086 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 19, 2017 Filed Dec 21, 2017 18:31 UTC |
Williams Julia AnnDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 3,086 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-019010 · doc4.xml · derivative · entry 6 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,086 shares Expires 2017-12-19 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 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 one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 18:31 UTC |
Williams Julia AnnDirector
|
Exercise / conversionCommon Stock | 3,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-019010 · doc4.xml · nonDerivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,086 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 19, 2017 Filed Dec 21, 2017 23:30 UTC |
Altman AndrewChief Operating Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-019009 · doc4.xml · derivative · entry 2 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 5,000 shares Expires 2020-06-19 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. F3 · derivative.expiration_date: Date at which final vesting occurs is indicated. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 23:30 UTC |
Altman AndrewChief Operating Officer
|
Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-019009 · doc4.xml · nonDerivative · entry 1 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,112 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 18, 2017 Filed Dec 20, 2017 20:13 UTC |
Wolin Kim PatriceEVP & Secretary
|
Tax withholdingCommon Stock | 13,007 | $0.67 | $8,714.69 |
DisclosureSEC source: 0001225208-17-018975 · doc4.xml · nonDerivative · entry 2 Wolin Kim Patrice · CIK 0001689616 · EVP & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,277 Read SEC document |
| December 18, 2017 Filed Dec 20, 2017 20:13 UTC |
Wolin Kim PatriceEVP & Secretary
|
GrantCommon Stock | 43,284 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018975 · doc4.xml · nonDerivative · entry 1 Wolin Kim Patrice · CIK 0001689616 · EVP & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,284 F1 · price: These shares were issued to the Reporting Person as a stock bonus pursuant to the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| December 18, 2017 Filed Dec 21, 2017 01:08 UTC |
Szot Matthew KDirector
|
GrantCommon Stock | 22,388 | $0.67 | $14,999.96 |
DisclosureSEC source: 0001225208-17-018974 · doc4.xml · nonDerivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Szot Family Trust Disclosed balance after: 56,388 F2 · price: These shares were issued to the Reporting Person in lieu of fees for services as a Board member of $15,000, pursuant to the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| December 18, 2017 Filed Dec 20, 2017 21:03 UTC |
WICKERSHAM GROVER T.Director
|
GrantCommon Stock | 35,000 | $0.67 | $23,450.00 |
DisclosureSEC source: 0001225208-17-018976 · doc4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,600 F1 · price: These shares were issued to the Reporting Person in lieu of fees for services as a Board member of $23,450, pursuant to the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| December 11, 2017 Filed Dec 26, 2017 17:55 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
GiftCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-019068 · 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: 392,977 Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 17:44 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
SaleCommon Stock | 6,000 | $0.82 | $4,920.60 |
DisclosureSEC source: 0001225208-17-018264 · 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: 387,201 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 |
| November 24, 2017 Filed Nov 28, 2017 20:10 UTC |
Williams Julia AnnDirector
|
PurchaseCommon Stock | 1,700 | $0.90 | $1,525.24 |
DisclosureSEC source: 0001225208-17-017718 · doc4.xml · nonDerivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Flagstaff Emergency Physicians Profit Sharing Plan Disclosed balance after: 23,750 F1 · balance_after: Several of the reporting person's previously filed reports on Form 4 incorrectly reported a portion of these shares as having been acquired with a "Direct" form of ownership, as follows: 1,950 shares (filed on January 31, 2017), 10,000 shares (filed on July 26, 2017), and 9,100 shares (filed on August 18, 2017). Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 17:14 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
SaleCommon Stock | 6,000 | $0.89 | $5,362.80 |
DisclosureSEC source: 0001225208-17-017646 · 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: 397,977 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. F2 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $0.8926 to $0.8966 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| November 02, 2017 Filed Nov 3, 2017 17:04 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
SaleCommon Stock | 6,000 | $2.72 | $16,339.20 |
DisclosureSEC source: 0001225208-17-016945 · 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: 393,201 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. F2 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $2.76 to $2.80 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| October 20, 2017 Filed Oct 24, 2017 17:18 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
SaleCommon Stock | 6,000 | $1.52 | $9,126.00 |
DisclosureSEC source: 0001225208-17-016509 · 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: 403,977 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. F2 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $1.52 to $1.53 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| October 10, 2017 Filed Nov 3, 2017 17:04 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
GiftCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016945 · 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: 399,201 Read SEC document |
| October 03, 2017 Filed Oct 3, 2017 17:28 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
SaleCommon Stock | 6,000 | $1.97 | $11,808.00 |
DisclosureSEC source: 0001225208-17-015825 · 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: 439,201 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. F2 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $1.92 to $2.10 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| September 30, 2017 Filed Oct 3, 2017 17:28 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-015824 · 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: 128,334 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. Read SEC document |
| September 30, 2017 Filed Oct 3, 2017 17:28 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Tax withholdingCommon Stock | 5,014 | $1.85 | $9,275.90 |
DisclosureSEC source: 0001225208-17-015824 · 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: 409,977 Read SEC document |
| September 30, 2017 Filed Oct 3, 2017 17:28 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-015824 · 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: 414,991 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 |
| September 30, 2017 Filed Oct 3, 2017 17:28 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-015825 · 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: 128,334 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. F3 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F4 · 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. Read SEC document |
| September 30, 2017 Filed Oct 3, 2017 17:28 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Tax withholdingCommon Stock | 5,344 | $1.85 | $9,886.40 |
DisclosureSEC source: 0001225208-17-015825 · 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: 445,201 Read SEC document |
| September 30, 2017 Filed Oct 3, 2017 17:28 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-015825 · 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: 450,545 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 |
| September 22, 2017 Filed Sep 26, 2017 17:10 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
SaleCommon Stock | 6,000 | $1.79 | $10,740.00 |
DisclosureSEC source: 0001225208-17-015272 · 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: 396,658 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 |
| September 19, 2017 Filed Sep 22, 2017 00:16 UTC |
Altman AndrewChief Operating Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-015187 · doc4.xml · derivative · entry 4 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2017-09-19 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. Read SEC document |
| September 19, 2017 Filed Sep 22, 2017 00:16 UTC |
Altman AndrewChief Operating Officer
|
GrantRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-015187 · doc4.xml · derivative · entry 3 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2017-09-19 F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| September 19, 2017 Filed Sep 22, 2017 00:16 UTC |
Altman AndrewChief Operating Officer
|
Tax withholdingCommon Stock | 1,888 | $1.76 | $3,322.88 |
DisclosureSEC source: 0001225208-17-015187 · doc4.xml · nonDerivative · entry 2 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,112 Read SEC document |
| September 19, 2017 Filed Sep 22, 2017 00:16 UTC |
Altman AndrewChief Operating Officer
|
Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-015187 · doc4.xml · nonDerivative · entry 1 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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 |
| September 19, 2017 Filed Oct 10, 2017 21:46 UTC Amendment |
Altman AndrewChief Operating Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016172 · doc4a.xml · derivative · entry 2 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 5,000 shares Expires 2020-06-19 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-twelfth of the total restricted stock units ("RSUs") granted vests on the first vesting date and quarterly thereafter over three years of continuous service. Read SEC document |
| September 19, 2017 Filed Oct 10, 2017 21:46 UTC Amendment |
Altman AndrewChief Operating Officer
|
Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016172 · doc4a.xml · nonDerivative · entry 1 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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 |
| September 05, 2017 Filed Sep 7, 2017 16:36 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
SaleCommon Stock | 6,000 | $2.31 | $13,834.20 |
DisclosureSEC source: 0001225208-17-014746 · 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: 430,212 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. F2 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $2.30 to $2.33 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 16:48 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
SaleCommon Stock | 6,000 | $2.37 | $14,220.60 |
DisclosureSEC source: 0001225208-17-014303 · 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: 402,658 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 |
| August 18, 2017 Filed Aug 19, 2017 00:16 UTC |
Altman AndrewChief Operating Officer
|
PurchaseCommon Stock | 2,028 | $2.46 | $4,987.05 |
DisclosureSEC source: 0001615774-17-004579 · s107267_form4.xml · nonDerivative · entry 4 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| August 17, 2017 Filed Aug 18, 2017 20:19 UTC |
Williams Julia AnnDirector
|
PurchaseCommon Stock | 9,000 | $2.80 | $25,200.00 |
DisclosureSEC source: 0001615774-17-004581 · s107268_form4.xml · nonDerivative · entry 2 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,050 Read SEC document |
| August 17, 2017 Filed Aug 19, 2017 00:16 UTC |
Altman AndrewChief Operating Officer
|
PurchaseCommon Stock | 14,372 | $2.81 | $40,332.14 |
DisclosureSEC source: 0001615774-17-004579 · s107267_form4.xml · nonDerivative · entry 3 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,972 Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 20:19 UTC |
Williams Julia AnnDirector
|
PurchaseCommon Stock | 100 | $2.75 | $275.00 |
DisclosureSEC source: 0001615774-17-004581 · s107268_form4.xml · nonDerivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,050 Read SEC document |
| August 16, 2017 Filed Aug 19, 2017 00:16 UTC |
Altman AndrewChief Operating Officer
|
PurchaseCommon Stock | 1,000 | $2.82 | $2,820.00 |
DisclosureSEC source: 0001615774-17-004579 · s107267_form4.xml · nonDerivative · entry 2 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,600 Read SEC document |
| August 16, 2017 Filed Aug 19, 2017 00:16 UTC |
Altman AndrewChief Operating Officer
|
PurchaseCommon Stock | 2,600 | $2.79 | $7,252.44 |
DisclosureSEC source: 0001615774-17-004579 · s107267_form4.xml · nonDerivative · entry 1 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,600 Read SEC document |
| July 26, 2017 Filed Jul 26, 2017 19:44 UTC |
Williams Julia AnnDirector
|
PurchaseCommon Stock | 10,000 | $3.21 | $32,099.00 |
DisclosureSEC source: 0001615774-17-003841 · s106927_form4.xml · nonDerivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,950 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.06 to $3.25, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| July 26, 2017 Filed Jul 27, 2017 13:40 UTC |
WICKERSHAM GROVER T.Director
|
PurchaseCommon Stock | 10,000 | $3.04 | $30,442.00 |
DisclosureSEC source: 0001615774-17-003858 · s106937_form4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,600 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00 to $3.23, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 19:41 UTC |
WICKERSHAM GROVER T.Director
|
PurchaseCommon Stock | 2,500 | $2.81 | $7,025.00 |
DisclosureSEC source: 0001615774-17-003839 · s106926_form4.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Lindsay Ann Wickersham 1999 Trust Disclosed balance after: 53,500 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $3.19, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 19:41 UTC |
WICKERSHAM GROVER T.Director
|
PurchaseCommon Stock | 12,500 | $2.86 | $35,750.00 |
DisclosureSEC source: 0001615774-17-003839 · s106926_form4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,600 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.68 to $3.19, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| July 17, 2017 Filed Jul 20, 2017 14:25 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
SaleCommon Stock | 393 | $5.15 | $2,023.95 |
DisclosureSEC source: 0001638599-17-000715 · doc4_4855.xml · nonDerivative · entry 3 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,876 F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 14, 2017. Read SEC document |
| July 17, 2017 Filed Jul 20, 2017 14:25 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
SaleCommon Stock | 18 | $5.17 | $93.06 |
DisclosureSEC source: 0001638599-17-000715 · doc4_4855.xml · nonDerivative · entry 2 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,269 F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 14, 2017. Read SEC document |
| July 17, 2017 Filed Jul 20, 2017 14:25 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
SaleCommon Stock | 1,000 | $5.13 | $5,130.00 |
DisclosureSEC source: 0001638599-17-000715 · doc4_4855.xml · nonDerivative · entry 1 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,287 F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 14, 2017. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 15:28 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 73,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000673 · doc4_4826.xml · derivative · entry 4 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,667 Underlying: Common Stock · 73,333 shares Expires 2020-06-30 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. F2 · derivative.exercise_price: This transaction represents the settlement of RSUs as described in Footnote 1. One-third of the RSUs vested on June 30, 2017 and was settled for 50,281 shares of Common Stock. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 15:28 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Tax withholdingCommon Stock | 23,052 | $5.94 | $136,928.88 |
DisclosureSEC source: 0001638599-17-000673 · doc4_4826.xml · nonDerivative · entry 2 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 408,658 F1 · shares: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on June 30, 2016. The RSUs vest over a three-year period, with one-third of the units vesting on June 30, 2017 and the remaining units vesting in equal quarterly tranches over the following twenty-four months of continuous service. On June 30, 2017, the RSUs partially settled for 50,281 shares of Common Stock, the amount of which was calculated by (a) 73,333 shares of Common Stock, the total number of shares of common stock subject to the RSUs that have vested as of June 30, 2017, less (b) 23,052 shares of Common Stock, which is the number of shares of Common Stock necessary for tax payments to be made on the reporting person's behalf per the terms of the agreement governing the RSUs. F1 · price: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on June 30, 2016. The RSUs vest over a three-year period, with one-third of the units vesting on June 30, 2017 and the remaining units vesting in equal quarterly tranches over the following twenty-four months of continuous service. On June 30, 2017, the RSUs partially settled for 50,281 shares of Common Stock, the amount of which was calculated by (a) 73,333 shares of Common Stock, the total number of shares of common stock subject to the RSUs that have vested as of June 30, 2017, less (b) 23,052 shares of Common Stock, which is the number of shares of Common Stock necessary for tax payments to be made on the reporting person's behalf per the terms of the agreement governing the RSUs. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 15:28 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 73,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001638599-17-000673 · doc4_4826.xml · nonDerivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 431,710 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 · shares: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on June 30, 2016. The RSUs vest over a three-year period, with one-third of the units vesting on June 30, 2017 and the remaining units vesting in equal quarterly tranches over the following twenty-four months of continuous service. On June 30, 2017, the RSUs partially settled for 50,281 shares of Common Stock, the amount of which was calculated by (a) 73,333 shares of Common Stock, the total number of shares of common stock subject to the RSUs that have vested as of June 30, 2017, less (b) 23,052 shares of Common Stock, which is the number of shares of Common Stock necessary for tax payments to be made on the reporting person's behalf per the terms of the agreement governing the RSUs. F1 · price: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on June 30, 2016. The RSUs vest over a three-year period, with one-third of the units vesting on June 30, 2017 and the remaining units vesting in equal quarterly tranches over the following twenty-four months of continuous service. On June 30, 2017, the RSUs partially settled for 50,281 shares of Common Stock, the amount of which was calculated by (a) 73,333 shares of Common Stock, the total number of shares of common stock subject to the RSUs that have vested as of June 30, 2017, less (b) 23,052 shares of Common Stock, which is the number of shares of Common Stock necessary for tax payments to be made on the reporting person's behalf per the terms of the agreement governing the RSUs. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 15:29 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 73,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000674 · doc4_4831.xml · derivative · entry 4 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,667 Underlying: Common Stock · 73,333 shares Expires 2020-06-30 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. F2 · derivative.exercise_price: This transaction represents the settlement of RSUs as described in Footnote 1. One-third of the RSUs vested on June 30, 2017 and was settled for 50,250 shares of Common Stock. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 15:29 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Tax withholdingCommon Stock | 23,083 | $5.94 | $137,113.02 |
DisclosureSEC source: 0001638599-17-000674 · doc4_4831.xml · nonDerivative · entry 2 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,212 F1 · shares: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on June 30, 2016. The RSUs vest over a three-year period, with one-third of the units vesting on June 30, 2017 and the remaining units vesting in equal quarterly tranches over the following twenty-four months of continuous service. On June 30, 2017, the RSUs partially settled for 50,250 shares of Common Stock, the amount of which was calculated by (a) 73,333 shares of Common Stock, the total number of shares of common stock subject to the RSUs that have vested as of June 30, 2017, less (b) 23,083 shares of Common Stock, which is the number of shares of Common Stock necessary for tax payments to be made on the reporting person's behalf per the terms of the agreement governing the RSUs. F1 · price: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on June 30, 2016. The RSUs vest over a three-year period, with one-third of the units vesting on June 30, 2017 and the remaining units vesting in equal quarterly tranches over the following twenty-four months of continuous service. On June 30, 2017, the RSUs partially settled for 50,250 shares of Common Stock, the amount of which was calculated by (a) 73,333 shares of Common Stock, the total number of shares of common stock subject to the RSUs that have vested as of June 30, 2017, less (b) 23,083 shares of Common Stock, which is the number of shares of Common Stock necessary for tax payments to be made on the reporting person's behalf per the terms of the agreement governing the RSUs. 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.