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 30, 2017 Filed Jul 5, 2017 15:29 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionCommon Stock | 73,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001638599-17-000674 · doc4_4831.xml · nonDerivative · entry 1 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 461,295 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 50,250 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 |
| June 19, 2017 Filed Jun 21, 2017 20:39 UTC |
Altman AndrewChief Operating Officer
|
GrantRestricted Stock Units · Derivative | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000647 · doc4_4818.xml · derivative · entry 1 Altman Andrew · CIK 0001709826 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units may be settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest on a quarterly basis over a 3-year period and will be subject to the terms and conditions of the Company's 2015 Equity Incentive Plan and standard form of restricted stock unit agreement. F2 · derivative.expiration_date: The restricted stock units vest on a quarterly basis over a 3-year period and will be subject to the terms and conditions of the Company's 2015 Equity Incentive Plan and standard form of restricted stock unit agreement. Read SEC document |
| June 12, 2017 Filed Jun 12, 2017 22:12 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
SaleCommon Stock | 1,000 | $5.85 | $5,850.00 |
DisclosureSEC source: 0001638599-17-000573 · doc4_4778.xml · nonDerivative · entry 3 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,287 Read SEC document |
| June 09, 2017 Filed Jun 12, 2017 22:12 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
SaleCommon Stock | 4,000 | $5.85 | $23,400.00 |
DisclosureSEC source: 0001638599-17-000573 · doc4_4778.xml · nonDerivative · entry 2 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,287 Read SEC document |
| June 08, 2017 Filed Jun 12, 2017 22:12 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
SaleCommon Stock | 5,000 | $5.57 | $27,874.00 |
DisclosureSEC source: 0001638599-17-000573 · doc4_4778.xml · nonDerivative · entry 1 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,287 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.50 to $5.61. 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 1 to this Form 4. Read SEC document |
| May 19, 2017 Filed May 24, 2017 18:32 UTC |
DUMONT MARCDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.99 | $0.00 |
DisclosureSEC source: 0001638599-17-000485 · doc4_4730.xml · derivative · entry 2 DUMONT MARC · CIK 0001030600 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2022-05-18 F3 · derivative.exercise_date: The stock option will be fully vested on the earlier of the date immediately preceding the date of the Company's 2018 annual stockholder meeting, or the one year anniversary of the date of grant (subject to optionee's continued service to the Company through such vesting date). Read SEC document |
| May 19, 2017 Filed May 24, 2017 18:32 UTC |
DUMONT MARCDirector
|
GrantRestricted Stock Units · Derivative | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000485 · doc4_4730.xml · derivative · entry 1 DUMONT MARC · CIK 0001030600 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,577 Underlying: Common Stock · 3,577 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant May 19, 2017, which was $6.99, for a total of 3,577 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 |
| May 19, 2017 Filed May 24, 2017 18:42 UTC |
RAMSEY ROBERT E JRDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.99 | $0.00 |
DisclosureSEC source: 0001638599-17-000492 · doc4_4731.xml · derivative · entry 2 RAMSEY ROBERT E JR · CIK 0001041998 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2022-05-18 F3 · derivative.exercise_date: The stock option will be fully vested on the earlier of the date immediately preceding the date of the Company's 2018 annual stockholder meeting, or the one year anniversary of the date of grant (subject to optionee's continued service to the Company through such vesting date). Read SEC document |
| May 19, 2017 Filed May 24, 2017 18:42 UTC |
RAMSEY ROBERT E JRDirector
|
GrantRestricted Stock Units · Derivative | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000492 · doc4_4731.xml · derivative · entry 1 RAMSEY ROBERT E JR · CIK 0001041998 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,577 Underlying: Common Stock · 3,577 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant May 19, 2017, which was $6.99, for a total of 3,577 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 |
| May 19, 2017 Filed May 24, 2017 18:39 UTC |
Williams Julia AnnDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.99 | $0.00 |
DisclosureSEC source: 0001638599-17-000490 · doc4_4729.xml · derivative · entry 2 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2022-05-18 F3 · derivative.exercise_date: The stock option will be fully vested on the earlier of the date immediately preceding the date of the Company's 2018 annual stockholder meeting, or the one year anniversary of the date of grant (subject to optionee's continued service to the Company through such vesting date). Read SEC document |
| May 19, 2017 Filed May 24, 2017 18:39 UTC |
Williams Julia AnnDirector
|
GrantRestricted Stock Units · Derivative | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000490 · doc4_4729.xml · derivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,577 Underlying: Common Stock · 3,577 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant May 19, 2017, which was $6.99, for a total of 3,577 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 |
| May 19, 2017 Filed May 24, 2017 22:56 UTC |
Szot Matthew KDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.99 | $0.00 |
DisclosureSEC source: 0001638599-17-000499 · doc4_4732.xml · derivative · entry 2 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2022-05-18 F3 · derivative.exercise_date: The stock option will be fully vested on the earlier of the date immediately preceding the date of the Company's 2018 annual stockholder meeting, or the one year anniversary of the date of grant (subject to optionee's continued service to the Company through such vesting date). Read SEC document |
| May 19, 2017 Filed May 24, 2017 22:56 UTC |
Szot Matthew KDirector
|
GrantRestricted Stock Units · Derivative | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000499 · doc4_4732.xml · derivative · entry 1 Szot Matthew K · CIK 0001401385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,577 Underlying: Common Stock · 3,577 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant May 19, 2017, which was $6.99, for a total of 3,577 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 |
| May 19, 2017 Filed May 24, 2017 18:41 UTC |
WICKERSHAM GROVER T.Director
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.99 | $0.00 |
DisclosureSEC source: 0001638599-17-000491 · doc4_4733.xml · derivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2022-05-18 F3 · derivative.exercise_date: The stock option will be fully vested on the earlier of the date immediately preceding the date of the Company's 2018 annual stockholder meeting, or the one year anniversary of the date of grant (subject to optionee's continued service to the Company through such vesting date). Read SEC document |
| May 19, 2017 Filed May 24, 2017 18:41 UTC |
WICKERSHAM GROVER T.Director
|
GrantRestricted Stock Units · Derivative | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000491 · doc4_4733.xml · derivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,577 Underlying: Common Stock · 3,577 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant May 19, 2017 which was $6.99, for a total of 3,577 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 |
| April 20, 2017 Filed Apr 24, 2017 22:35 UTC Amendment |
CHESTERMAN THOMAS CCFO and Treasurer
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001638599-17-000378 · doc4a_4669.xml · derivative · entry 3 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2025-12-01 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 |
| April 20, 2017 Filed Apr 24, 2017 22:35 UTC Amendment |
CHESTERMAN THOMAS CCFO and Treasurer
|
Tax withholdingCommon Stock | 986 | $7.61 | $7,503.46 |
DisclosureSEC source: 0001638599-17-000378 · doc4a_4669.xml · nonDerivative · entry 2 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,287 Read SEC document |
| April 20, 2017 Filed Apr 24, 2017 22:35 UTC Amendment |
CHESTERMAN THOMAS CCFO and Treasurer
|
Exercise / conversionCommon Stock | 15,000 | $0.50 | $7,500.00 |
DisclosureSEC source: 0001638599-17-000378 · doc4a_4669.xml · nonDerivative · entry 1 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,273 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 |
| April 20, 2017 Filed Apr 24, 2017 20:51 UTC |
CHESTERMAN THOMAS CCEO and Treasurer
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001638599-17-000376 · doc4_4668.xml · derivative · entry 3 CHESTERMAN THOMAS C · CIK 0001247660 · CEO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2025-12-01 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 |
| April 20, 2017 Filed Apr 24, 2017 20:51 UTC |
CHESTERMAN THOMAS CCEO and Treasurer
|
Tax withholdingCommon Stock | 986 | $7.61 | $7,503.46 |
DisclosureSEC source: 0001638599-17-000376 · doc4_4668.xml · nonDerivative · entry 2 CHESTERMAN THOMAS C · CIK 0001247660 · CEO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,287 Read SEC document |
| April 20, 2017 Filed Apr 24, 2017 20:51 UTC |
CHESTERMAN THOMAS CCEO and Treasurer
|
Exercise / conversionCommon Stock | 15,000 | $0.50 | $7,500.00 |
DisclosureSEC source: 0001638599-17-000376 · doc4_4668.xml · nonDerivative · entry 1 CHESTERMAN THOMAS C · CIK 0001247660 · CEO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,273 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 |
| April 13, 2017 Filed Apr 13, 2017 19:07 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
GiftCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000368 · doc4_4663.xml · nonDerivative · entry 3 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 358,377 Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 19:07 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000368 · doc4_4663.xml · nonDerivative · entry 2 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 373,377 Read SEC document |
| April 11, 2017 Filed Apr 13, 2017 19:07 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
GiftCommon Stock | 4,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000368 · doc4_4663.xml · nonDerivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 374,377 Read SEC document |
| February 28, 2017 Filed Apr 13, 2017 21:10 UTC |
Williams Julia AnnDirector
|
GiftCommon Stock | 60 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000370 · doc4_4664.xml · nonDerivative · entry 2 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Julia A. Williams MD Trust Disclosed balance after: 97,262 Read SEC document |
| February 27, 2017 Filed Jul 8, 2020 21:31 UTC |
DUMONT MARCDirector
|
GiftCommon Stock | 89 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-009657 · doc4.xml · nonDerivative · entry 1 DUMONT MARC · CIK 0001030600 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89 F1 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F2 · balance_after: Reflects shares held following the reported transaction, as adjusted to reflect the Reverse Stock Split. Read SEC document |
| February 22, 2017 Filed Apr 13, 2017 21:10 UTC |
Williams Julia AnnDirector
|
GiftCommon Stock | 537 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000370 · doc4_4664.xml · nonDerivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Julia A. Williams MD Trust Disclosed balance after: 97,202 Read SEC document |
| February 02, 2017 Filed Feb 6, 2017 17:39 UTC |
Williams Julia AnnDirector
|
GiftCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-006263 · v458493_4.xml · nonDerivative · entry 3 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Founder and President of HERO Disclosed balance after: 4,000 F4 · shares: 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 |
| February 02, 2017 Filed Feb 6, 2017 17:39 UTC |
Williams Julia AnnDirector
|
GiftCommon Stock | 4,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-006263 · v458493_4.xml · nonDerivative · entry 2 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Julia A. Williams MD Trust Disclosed balance after: 96,665 F2 · shares: Reports gifts of shares to eight separate individuals in the aggregate amount of 4,100 shares of common stock. F3 · balance_after: One additional share is reported as indirectly held by the Julia A. Williams MD Trust, which is a correction due to an inadvertent rounding error, not previously reported. Read SEC document |
| February 02, 2017 Filed Feb 6, 2017 17:39 UTC |
Williams Julia AnnDirector
|
GiftCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-006263 · v458493_4.xml · nonDerivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Julia A. Williams MD Trust Disclosed balance after: 100,765 F1 · shares: Reports a gift of shares to Humanitarian Efforts Reaching Out (HERO), a nonprofit Arizona corporation ("HERO"). Dr. Williams is the founder and President of HERO. Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 19:21 UTC |
RAMSEY ROBERT E JRDirector
|
PurchaseCommon Stock | 7,000 | $7.46 | $52,188.50 |
DisclosureSEC source: 0001144204-17-005192 · v458096_4.xml · nonDerivative · entry 1 RAMSEY ROBERT E JR · CIK 0001041998 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 F1 · price: The shares were sold at prices ranging from $7.34 to $7.74. 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. Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 19:22 UTC |
Williams Julia AnnDirector
|
PurchaseCommon Stock | 1,950 | $7.94 | $15,483.00 |
DisclosureSEC source: 0001144204-17-005194 · v458098_4.xml · nonDerivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,950 Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 19:22 UTC |
WICKERSHAM GROVER T.Director
|
PurchaseCommon Stock | 1,600 | $7.45 | $11,912.96 |
DisclosureSEC source: 0001144204-17-005193 · v458097_4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,100 Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 18:07 UTC |
WICKERSHAM GROVER T.Director
|
PurchaseCommon Stock | 1,000 | $7.42 | $7,415.30 |
DisclosureSEC source: 0001144204-17-004107 · v457689_4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Lindsay Ann Wickersham 1999 Trust Disclosed balance after: 51,000 Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 16:53 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 5,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-141747 · v455950_form4.xml · derivative · entry 4 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,556 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. F2 · derivative.exercise_price: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. F2 · derivative.exercise_date: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. F2 · derivative.expiration_date: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 16:53 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Tax withholdingCommon Stock | 1,755 | $8.19 | $14,373.45 |
DisclosureSEC source: 0001144204-16-141747 · v455950_form4.xml · nonDerivative · entry 2 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 379,277 F1 · shares: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 3,801 shares of Common Stock, the amount of which was calculated by (a) $45,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 5,556 shares of Common Stock, less (b) 1,755, 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 |
| December 27, 2016 Filed Dec 29, 2016 16:53 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
Exercise / conversionCommon Stock | 5,556 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-141747 · v455950_form4.xml · nonDerivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,032 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 December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 3,801 shares of Common Stock, the amount of which was calculated by (a) $45,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 5,556 shares of Common Stock, less (b) 1,755, 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 December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 3,801 shares of Common Stock, the amount of which was calculated by (a) $45,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 5,556 shares of Common Stock, less (b) 1,755, 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 |
| December 27, 2016 Filed Dec 29, 2016 16:56 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 3,241 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-141752 · v455948_form4.xml · derivative · entry 4 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,241 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. F2 · derivative.exercise_price: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. F2 · derivative.exercise_date: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. F2 · derivative.expiration_date: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 16:56 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Tax withholdingCommon Stock | 995 | $8.19 | $8,149.05 |
DisclosureSEC source: 0001144204-16-141752 · v455948_form4.xml · nonDerivative · entry 2 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,962 F1 · shares: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 2,246 shares of Common Stock, the amount of which was calculated by (a) $26,250 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 3,241 shares of Common Stock, less (b) 995, 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 |
| December 27, 2016 Filed Dec 29, 2016 16:56 UTC |
Dyer Cheryl AnnDirector · Pres. & Chief Research Officer
|
Exercise / conversionCommon Stock | 3,241 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-141752 · v455948_form4.xml · nonDerivative · entry 1 Dyer Cheryl Ann · CIK 0001689556 · Director · Pres. & Chief Research Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,957 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 December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 2,246 shares of Common Stock, the amount of which was calculated by (a) $26,250 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 3,241 shares of Common Stock, less (b) 995, 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 December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 2,246 shares of Common Stock, the amount of which was calculated by (a) $26,250 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 3,241 shares of Common Stock, less (b) 995, 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 |
| December 27, 2016 Filed Dec 29, 2016 22:00 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
Exercise / conversionRestricted Stock Units · Derivative | 10,494 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-141757 · v455945_form4.xml · derivative · entry 3 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,494 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. F2 · derivative.exercise_price: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. F2 · derivative.exercise_date: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. F2 · derivative.expiration_date: This transaction represents the settlement of RSUs as described in Footnote 1. The RSUs were fully-vested on the date of grant. Read SEC document |
| December 27, 2016 Filed Dec 29, 2016 22:00 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
Tax withholdingCommon Stock | 3,221 | $8.19 | $26,379.99 |
DisclosureSEC source: 0001144204-16-141757 · v455945_form4.xml · nonDerivative · entry 2 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,273 F1 · shares: These shares of Common Stock were acquired upon settlement of restricted stock units ("RSUs") granted to the reporting person on December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 7,273 shares of Common Stock, the amount of which was calculated by (a) $85,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 10,494 shares of Common Stock, less (b) 3,221, 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 |
| December 27, 2016 Filed Dec 29, 2016 22:00 UTC |
CHESTERMAN THOMAS CCFO and Treasurer
|
Exercise / conversionCommon Stock | 10,494 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-16-141757 · v455945_form4.xml · nonDerivative · entry 1 CHESTERMAN THOMAS C · CIK 0001247660 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,494 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 December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 7,273 shares of Common Stock, the amount of which was calculated by (a) $85,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 10,494 shares of Common Stock, less (b) 3,221, 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 December 19, 2016. The RSUs were fully vested and on December 27, 2016 settled for 7,273 shares of Common Stock, the amount of which was calculated by (a) $85,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a maximum of 10,494 shares of Common Stock, less (b) 3,221, 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 |
| December 19, 2016 Filed Dec 21, 2016 21:03 UTC |
DUMONT MARCDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $8.10 | $0.00 |
DisclosureSEC source: 0001144204-16-140793 · v455542_4.xml · derivative · entry 2 DUMONT MARC · CIK 0001030600 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2021-12-19 F3 · derivative.exercise_date: The option becomes vested and exercisable in four equal quarterly installments, beginning on January 1, 2017. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 21:03 UTC |
DUMONT MARCDirector
|
GrantRestricted Stock Units · Derivative | 3,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-140793 · v455542_4.xml · derivative · entry 1 DUMONT MARC · CIK 0001030600 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,086 Underlying: Common Stock · 3,086 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units ("RSUs") may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant, December 19, 2016, which was $8.10, for a total of 3,086 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the one year anniversary of the date of grant. Vested shares of Common Stock will be delivered to the reporting person promptly following settlement per the terms of the agreement governing the RSUs. F2 · derivative.expiration_date: The restricted stock units will vest on the one year anniversary of the date of grant. Vested shares of Common Stock will be delivered to the reporting person promptly following settlement per the terms of the agreement governing the RSUs. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 21:02 UTC |
RAMSEY ROBERT E JRDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $8.10 | $0.00 |
DisclosureSEC source: 0001144204-16-140791 · v455541_4.xml · derivative · entry 2 RAMSEY ROBERT E JR · CIK 0001041998 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2021-12-19 F3 · derivative.exercise_date: The option becomes vested and exercisable in four equal quarterly installments, beginning on January 1, 2017. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 21:02 UTC |
RAMSEY ROBERT E JRDirector
|
GrantRestricted Stock Units · Derivative | 3,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-140791 · v455541_4.xml · derivative · entry 1 RAMSEY ROBERT E JR · CIK 0001041998 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,086 Underlying: Common Stock · 3,086 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units ("RSUs") may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant, December 19, 2016, which was $8.10, for a total of 3,086 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the one year anniversary of the date of grant. Vested shares of Common Stock will be delivered to the reporting person promptly following settlement per the terms of the agreement governing the RSUs. F2 · derivative.expiration_date: The restricted stock units will vest on the one year anniversary of the date of grant. Vested shares of Common Stock will be delivered to the reporting person promptly following settlement per the terms of the agreement governing the RSUs. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 21:08 UTC |
Mayer Loretta PowersDirector · CEO & Chief Scientific Officer
|
GrantRestricted Stock Units · Derivative | 5,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-140798 · v455546_4.xml · derivative · entry 1 Mayer Loretta Powers · CIK 0001689608 · Director · CEO & Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,556 Underlying: Common Stock · 5,556 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units ("RSUs") may be settled for that number of shares of Common Stock equal to $45,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a total of 5,556 shares of Common Stock, which amount may be reduced by the number of shares of Common Stock necessary for tax payments to be made on Dr. Mayer's behalf per the terms of the agreement governing the RSUs. F1 · shares: The restricted stock units ("RSUs") may be settled for that number of shares of Common Stock equal to $45,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a total of 5,556 shares of Common Stock, which amount may be reduced by the number of shares of Common Stock necessary for tax payments to be made on Dr. Mayer's behalf per the terms of the agreement governing the RSUs. F2 · derivative.exercise_date: The RSUs are fully-vested. Vested shares of Common Stock will be delivered to Dr. Mayer promptly following settlement per the terms of the agreement governing the RSUs. F2 · derivative.expiration_date: The RSUs are fully-vested. Vested shares of Common Stock will be delivered to Dr. Mayer promptly following settlement per the terms of the agreement governing the RSUs. F1 · derivative.underlying_shares: The restricted stock units ("RSUs") may be settled for that number of shares of Common Stock equal to $45,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a total of 5,556 shares of Common Stock, which amount may be reduced by the number of shares of Common Stock necessary for tax payments to be made on Dr. Mayer's behalf per the terms of the agreement governing the RSUs. F1 · balance_after: The restricted stock units ("RSUs") may be settled for that number of shares of Common Stock equal to $45,000 divided by the closing market price of the Common Stock on the date of grant, which was $8.10, for a total of 5,556 shares of Common Stock, which amount may be reduced by the number of shares of Common Stock necessary for tax payments to be made on Dr. Mayer's behalf per the terms of the agreement governing the RSUs. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 21:05 UTC |
Williams Julia AnnDirector
|
GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $8.10 | $0.00 |
DisclosureSEC source: 0001144204-16-140796 · v455544_4.xml · derivative · entry 2 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2021-12-19 F3 · derivative.exercise_date: The option becomes vested and exercisable in four equal quarterly installments, beginning on January 1, 2017. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 21:05 UTC |
Williams Julia AnnDirector
|
GrantRestricted Stock Units · Derivative | 3,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-140796 · v455544_4.xml · derivative · entry 1 Williams Julia Ann · CIK 0001689618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,086 Underlying: Common Stock · 3,086 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units ("RSUs") may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant, December 19, 2016, which was $8.10, for a total of 3,086 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the one year anniversary of the date of grant. Vested shares of Common Stock will be delivered to the reporting person promptly following settlement per the terms of the agreement governing the RSUs. F2 · derivative.expiration_date: The restricted stock units will vest on the one year anniversary of the date of grant. Vested shares of Common Stock will be delivered to the reporting person promptly following settlement 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.