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Nasdaq · USD

SONO

Sonos Inc

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Tapewire entity
1773
SEC CIK
0001314727
Parsed reports
419

Last 12 months

Inside the activity.

17 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202501
Jan 202600
Feb 202690
Mar 202660
Apr 202600
May 202610
Jun 202600
Jul 202602
Aug 202600
Sep 202603
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 15, 2025 Filed May 19, 2025 20:05 UTC
Braman ShamayneChief People Officer
Tax withholdingCommon Stock 4,190 $10.92 $45,754.80
Disclosure

SEC source: 0001127602-25-014883 · form4.xml · nonDerivative · entry 2

Braman Shamayne · CIK 0001963743 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,629

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

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May 15, 2025 Filed May 19, 2025 20:05 UTC
Braman ShamayneChief People Officer
Exercise / conversionCommon Stock 13,689 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-014883 · form4.xml · nonDerivative · entry 1

Braman Shamayne · CIK 0001963743 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,819

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
May 13, 2025 Filed May 14, 2025 21:05 UTC
Conrad ThomasDirector · Interim CEO
Exercise / conversionRestricted Stock Units · Derivative 29,971 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-014343 · form4.xml · derivative · entry 3

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,942

Underlying: Common Stock · 29,971 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

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May 13, 2025 Filed May 14, 2025 21:05 UTC
Conrad ThomasDirector · Interim CEO
Tax withholdingCommon Stock 14,750 $11.25 $165,937.50
Disclosure

SEC source: 0001127602-25-014343 · form4.xml · nonDerivative · entry 2

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,256

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
May 13, 2025 Filed May 14, 2025 21:05 UTC
Conrad ThomasDirector · Interim CEO
Exercise / conversionCommon Stock 29,971 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-014343 · form4.xml · nonDerivative · entry 1

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,006

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
April 11, 2025 Filed Apr 15, 2025 21:04 UTC
Conrad ThomasDirector · Interim CEO
Exercise / conversionRestricted Stock Units · Derivative 29,971 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-012082 · form4.xml · derivative · entry 3

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,913

Underlying: Common Stock · 29,971 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
April 11, 2025 Filed Apr 15, 2025 21:04 UTC
Conrad ThomasDirector · Interim CEO
Tax withholdingCommon Stock 10,364 $8.28 $85,813.92
Disclosure

SEC source: 0001127602-25-012082 · form4.xml · nonDerivative · entry 2

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,035

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
April 11, 2025 Filed Apr 15, 2025 21:04 UTC
Conrad ThomasDirector · Interim CEO
Exercise / conversionCommon Stock 29,971 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-012082 · form4.xml · nonDerivative · entry 1

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,399

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
April 07, 2025 Filed Apr 8, 2025 00:08 UTC
Gray Adam10% owner
PurchaseCommon Stock 62,506 $8.38 $523,800.28
Disclosure

SEC source: 0000950170-25-051745 · ownership.xml · nonDerivative · entry 2

Coliseum Capital Management, LLC · CIK 0001409751 · 10% owner

Shackelton Christopher S · CIK 0001430708 · 10% owner

Coliseum Capital, LLC · CIK 0001409585 · 10% owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · 10% owner

Gray Adam · CIK 0001454123 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 12,118,088

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.03 to $8.55, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares of Common Stock reported herein are held directly by (a) Coliseum Capital Partners, L.P. ("CCP"), an investment limited partnership of which Coliseum Capital, LLC, a Delaware limited liability company ("CC"), is general partner and for which Coliseum Capital Management, LLC, a Delaware limited liability company ("CCM"), serves as investment adviser; and (b) a separate account investment advisory client of CCM (the "Separate Account").

F3 · ownership.nature: Christopher S. Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC. Each of Shackelton, Gray, CCP, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

F5 · ownership.nature: Following the transactions reported herein, CCP directly owned 9,802,969 shares of Common Stock and the Separate Account directly owned 2,315,119 shares of Common Stock.

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April 07, 2025 Filed Apr 10, 2025 12:43 UTC
Barra HugoDirector
GrantCommon Stock 16,626 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-011866 · form4.xml · nonDerivative · entry 1

Barra Hugo · CIK 0001826662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,626

F1 · kind: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on April 7, 2025.

F2 · kind: The RSUs will vest in full upon the earlier of March 11, 2026 or the next annual meeting of stockholders, subject to the continuing service of the Reporting Person on the vesting date.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
April 03, 2025 Filed Apr 8, 2025 00:08 UTC
Gray Adam10% owner
PurchaseCommon Stock, $0.001 par value per share ("Common Stock") 147,157 $9.17 $1,349,429.69
Disclosure

SEC source: 0000950170-25-051745 · ownership.xml · nonDerivative · entry 1

Coliseum Capital Management, LLC · CIK 0001409751 · 10% owner

Shackelton Christopher S · CIK 0001430708 · 10% owner

Coliseum Capital, LLC · CIK 0001409585 · 10% owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · 10% owner

Gray Adam · CIK 0001454123 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 12,055,582

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.02 to $9.20, 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 (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares of Common Stock reported herein are held directly by (a) Coliseum Capital Partners, L.P. ("CCP"), an investment limited partnership of which Coliseum Capital, LLC, a Delaware limited liability company ("CC"), is general partner and for which Coliseum Capital Management, LLC, a Delaware limited liability company ("CCM"), serves as investment adviser; and (b) a separate account investment advisory client of CCM (the "Separate Account").

F3 · ownership.nature: Christopher S. Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC. Each of Shackelton, Gray, CCP, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

Read SEC document
March 13, 2025 Filed Mar 17, 2025 20:23 UTC
Conrad ThomasDirector · Interim CEO
Exercise / conversionRestricted Stock Units · Derivative 29,971 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-009680 · form4.xml · derivative · entry 3

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,884

Underlying: Common Stock · 29,971 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
March 13, 2025 Filed Mar 17, 2025 20:23 UTC
Conrad ThomasDirector · Interim CEO
Tax withholdingCommon Stock 10,364 $11.69 $121,155.16
Disclosure

SEC source: 0001127602-25-009680 · form4.xml · nonDerivative · entry 2

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,428

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
March 13, 2025 Filed Mar 17, 2025 20:23 UTC
Conrad ThomasDirector · Interim CEO
Exercise / conversionCommon Stock 29,971 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-009680 · form4.xml · nonDerivative · entry 1

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,792

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
March 11, 2025 Filed Mar 13, 2025 20:18 UTC GrantCommon Stock 15,427 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-009341 · form4.xml · nonDerivative · entry 1

Darrell Bracken · CIK 0001452606 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,040

F1 · kind: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on March 11, 2025.

F2 · kind: The RSUs will vest in full upon the earlier of March 11, 2026 or the next annual meeting of stockholders, subject to the continuing service of the Reporting Person on the vesting date. Vested shares will be delivered to the Reporting Person following the Reporting Person's separation of service.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
March 11, 2025 Filed Mar 13, 2025 20:20 UTC GrantCommon Stock 15,427 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-009342 · form4.xml · nonDerivative · entry 1

GENACHOWSKI JULIUS · CIK 0001184231 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,546

F1 · kind: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on March 11, 2025.

F2 · kind: The RSUs will vest in full upon the earlier of March 11, 2026 or the next annual meeting of stockholders, subject to the continuing service of the Reporting Person on the vesting date.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
March 11, 2025 Filed Mar 13, 2025 20:21 UTC GrantCommon Stock 15,427 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-009344 · form4.xml · nonDerivative · entry 1

Mildenhall Jonathan · CIK 0001828806 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,547

F1 · kind: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on March 11, 2025.

F2 · kind: The RSUs will vest in full upon the earlier of March 11, 2026 or the next annual meeting of stockholders, subject to the continuing service of the Reporting Person on the vesting date.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
March 11, 2025 Filed Mar 13, 2025 20:17 UTC
Coles JoannaDirector
GrantCommon Stock 15,427 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-009340 · form4.xml · nonDerivative · entry 1

Coles Joanna · CIK 0001699323 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,471

F1 · kind: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on March 11, 2025.

F2 · kind: The RSUs will vest in full on the earlier of March 11, 2026 or the next annual meeting of stockholders, subject to the continuing service of the Reporting Person on the vesting date.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
March 11, 2025 Filed Mar 13, 2025 20:14 UTC
Boone KarenDirector
GrantCommon Stock 15,427 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-009339 · form4.xml · nonDerivative · entry 1

Boone Karen · CIK 0001561290 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,546

F1 · kind: Represents the number of shares subject to restricted stock units ("RSUs") that were granted on March 11, 2025.

F2 · kind: The RSUs will vest in full on the earlier of March 11, 2026 or the next annual meeting of stockholders, subject to the continuing service of the Reporting Person on the vesting date.

F3 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:48 UTC
Findlay DeirdreChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 14,599 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005534 · form4.xml · derivative · entry 3

Findlay Deirdre · CIK 0001804989 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,771

Underlying: Common Stock · 14,599 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/3 of the RSUs vested on November 15, 2024, and 1/12 of the RSUs vest on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/3 of the RSUs vested on November 15, 2024, and 1/12 of the RSUs vest on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:48 UTC
Findlay DeirdreChief Commercial Officer
Tax withholdingCommon Stock 5,505 $13.17 $72,500.85
Disclosure

SEC source: 0001127602-25-005534 · form4.xml · nonDerivative · entry 2

Findlay Deirdre · CIK 0001804989 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,398

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:48 UTC
Findlay DeirdreChief Commercial Officer
Exercise / conversionCommon Stock 14,599 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-005534 · form4.xml · nonDerivative · entry 1

Findlay Deirdre · CIK 0001804989 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,903

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:42 UTC
Casey SaoriChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 10,542 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005522 · form4.xml · derivative · entry 4

Casey Saori · CIK 0002007626 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 314,962

Underlying: Common Stock · 10,542 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F5 · derivative.exercise_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2024, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F5 · derivative.expiration_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2024, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:42 UTC
Casey SaoriChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 99,500 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005522 · form4.xml · derivative · entry 3

Casey Saori · CIK 0002007626 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,504

Underlying: Common Stock · 99,500 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: These RSUs will vest on the following schedule: 33.33% of the shares subject to the RSU will vest on the first anniversary of the grant date of February 15, 2024 and thereafter will vest in equal quarterly installments over the next two years, until such time as the RSUs are 100% vested, subject to the continued employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: These RSUs will vest on the following schedule: 33.33% of the shares subject to the RSU will vest on the first anniversary of the grant date of February 15, 2024 and thereafter will vest in equal quarterly installments over the next two years, until such time as the RSUs are 100% vested, subject to the continued employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:42 UTC
Casey SaoriChief Financial Officer
Tax withholdingCommon Stock 43,625 $13.17 $574,541.25
Disclosure

SEC source: 0001127602-25-005522 · form4.xml · nonDerivative · entry 2

Casey Saori · CIK 0002007626 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,417

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:42 UTC
Casey SaoriChief Financial Officer
Exercise / conversionCommon Stock 110,042 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-005522 · form4.xml · nonDerivative · entry 1

Casey Saori · CIK 0002007626 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,042

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:52 UTC
Lazarus Edward PChief Legal & Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 22,675 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005544 · form4.xml · derivative · entry 5

Lazarus Edward P · CIK 0001610766 · Chief Legal & Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,673

Underlying: Common Stock · 22,675 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F6 · derivative.exercise_date: These RSUs will vest over a two year period as follows: 1) 15% of the shares subject to the RSUs will vest quarterly in year 1 following the vesting commencement date of November 15, 2024 and 2) 10% of the shares subject to the RSUs will vest quarterly in year 2, in each case subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F6 · derivative.expiration_date: These RSUs will vest over a two year period as follows: 1) 15% of the shares subject to the RSUs will vest quarterly in year 1 following the vesting commencement date of November 15, 2024 and 2) 10% of the shares subject to the RSUs will vest quarterly in year 2, in each case subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:52 UTC
Lazarus Edward PChief Legal & Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 10,235 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005544 · form4.xml · derivative · entry 4

Lazarus Edward P · CIK 0001610766 · Chief Legal & Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,348

Underlying: Common Stock · 10,235 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F5 · derivative.exercise_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2024, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F5 · derivative.expiration_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2024, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:52 UTC
Lazarus Edward PChief Legal & Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 8,959 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005544 · form4.xml · derivative · entry 3

Lazarus Edward P · CIK 0001610766 · Chief Legal & Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 363,583

Underlying: Common Stock · 8,959 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: These RSUs will vest based on the following schedule: (i) 1/12 of the shares subject to the RSUs shall vest on November 15, 2024 and (ii) the remaining RSUs will vest quarterly over the next eleven quarters in equal quarterly installments, until such time as the RSUs are 100% vested, in each case subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: These RSUs will vest based on the following schedule: (i) 1/12 of the shares subject to the RSUs shall vest on November 15, 2024 and (ii) the remaining RSUs will vest quarterly over the next eleven quarters in equal quarterly installments, until such time as the RSUs are 100% vested, in each case subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:52 UTC
Lazarus Edward PChief Legal & Strategy Officer
Tax withholdingCommon Stock 14,988 $13.17 $197,391.96
Disclosure

SEC source: 0001127602-25-005544 · form4.xml · nonDerivative · entry 2

Lazarus Edward P · CIK 0001610766 · Chief Legal & Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 365,731

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:52 UTC
Lazarus Edward PChief Legal & Strategy Officer
Exercise / conversionCommon Stock 41,869 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-005544 · form4.xml · nonDerivative · entry 1

Lazarus Edward P · CIK 0001610766 · Chief Legal & Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 380,719

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:54 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionRestricted Stock Units · Derivative 14,512 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005549 · form4.xml · derivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,480

Underlying: Common Stock · 14,512 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:54 UTC
Millington NicholasChief Innovation Officer
Tax withholdingCommon Stock 5,557 $13.17 $73,185.69
Disclosure

SEC source: 0001127602-25-005549 · form4.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 418,959

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:54 UTC
Millington NicholasChief Innovation Officer
Exercise / conversionCommon Stock 14,512 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-005549 · form4.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Innovation Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 424,516

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:38 UTC
Braman ShamayneChief People Officer
Exercise / conversionRestricted Stock Units · Derivative 12,471 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005513 · form4.xml · derivative · entry 5

Braman Shamayne · CIK 0001963743 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,854

Underlying: Common Stock · 12,471 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F6 · derivative.exercise_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F6 · derivative.expiration_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:38 UTC
Braman ShamayneChief People Officer
Exercise / conversionRestricted Stock Units · Derivative 15,935 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005513 · form4.xml · derivative · entry 4

Braman Shamayne · CIK 0001963743 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,325

Underlying: Common Stock · 15,935 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F5 · derivative.exercise_date: The shares subject to the RSUs vest in full on the third anniversary of the grant date of February 15, 2022, subject to the continuing employment of the Reporting Person on such vesting date. The RSUs are subject to double-trigger acceleration.

F5 · derivative.expiration_date: The shares subject to the RSUs vest in full on the third anniversary of the grant date of February 15, 2022, subject to the continuing employment of the Reporting Person on such vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:38 UTC
Braman ShamayneChief People Officer
Exercise / conversionRestricted Stock Units · Derivative 1,217 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005513 · form4.xml · derivative · entry 3

Braman Shamayne · CIK 0001963743 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,260

Underlying: Common Stock · 1,217 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F4 · derivative.exercise_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F4 · derivative.expiration_date: 1/16 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the applicable vesting commencement date, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:38 UTC
Braman ShamayneChief People Officer
Tax withholdingCommon Stock 9,519 $13.17 $125,365.23
Disclosure

SEC source: 0001127602-25-005513 · form4.xml · nonDerivative · entry 2

Braman Shamayne · CIK 0001963743 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,130

F3 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:38 UTC
Braman ShamayneChief People Officer
Exercise / conversionCommon Stock 29,623 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-005513 · form4.xml · nonDerivative · entry 1

Braman Shamayne · CIK 0001963743 · Chief People Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,649

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

Read SEC document
February 13, 2025 Filed Feb 18, 2025 23:32 UTC
Conrad ThomasDirector · Interim CEO
Exercise / conversionRestricted Stock Units · Derivative 29,971 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-005292 · form4.xml · derivative · entry 3

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,855

Underlying: Common Stock · 29,971 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F5 · derivative.exercise_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

F5 · derivative.expiration_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
February 13, 2025 Filed Feb 18, 2025 23:32 UTC
Conrad ThomasDirector · Interim CEO
Tax withholdingCommon Stock 10,364 $13.12 $135,975.68
Disclosure

SEC source: 0001127602-25-005292 · form4.xml · nonDerivative · entry 2

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,821

F4 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
February 13, 2025 Filed Feb 18, 2025 23:32 UTC
Conrad ThomasDirector · Interim CEO
Exercise / conversionCommon Stock 29,971 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-25-005292 · form4.xml · nonDerivative · entry 1

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,185

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · balance_after: Mr. Conrad was granted 10,656 RSUs on March 11, 2024, which were scheduled to vest in full on the earlier of March 11, 2025 or the next annual meeting of stockholders, subject to his continued service on the Company's Board of Directors (the "Board") as an independent director. Mr. Conrad accepted a position with the Company as Interim Chief Executive Officer and became a non-independent member of the Board, effective January 13, 2025, thus these RSUs vested on a pro rata basis. The reported amount has been reduced by 1,776 as compared to Mr. Conrad's prior Form 4 to reflect forfeited shares.

Read SEC document
January 13, 2025 Filed Jan 15, 2025 23:59 UTC
Conrad ThomasDirector · Interim CEO
GrantRestricted Stock Units · Derivative 179,826 $0.00 $0.00
Disclosure

SEC source: 0001127602-25-001259 · form4.xml · derivative · entry 1

Conrad Thomas · CIK 0001522484 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,826

Underlying: Common Stock · 179,826 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F2 · derivative.exercise_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

F2 · derivative.expiration_date: 1/6 of the shares subject to the RSUs vest in equal installments on each monthly anniversary date following the vesting commencement date of January 13, 2025, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person as Interim Chief Executive Officer on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:43 UTC
Findlay DeirdreChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 58,396 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-027650 · form4.xml · derivative · entry 4

Findlay Deirdre · CIK 0001804989 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151,370

Underlying: Common Stock · 58,396 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F6 · derivative.exercise_date: 1/3 of the RSUs vested on November 15, 2024, and 1/12 of the RSUs vest on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F6 · derivative.expiration_date: 1/3 of the RSUs vested on November 15, 2024, and 1/12 of the RSUs vest on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:43 UTC
Findlay DeirdreChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 34,577 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-027650 · form4.xml · derivative · entry 3

Findlay Deirdre · CIK 0001804989 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,766

Underlying: Common Stock · 34,577 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: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F5 · derivative.exercise_date: One half of the shares subject to the RSUs vest on each of the one year and two year anniversaries of the grant date of November 15, 2023, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F5 · derivative.expiration_date: One half of the shares subject to the RSUs vest on each of the one year and two year anniversaries of the grant date of November 15, 2023, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:43 UTC
Findlay DeirdreChief Commercial Officer
Tax withholdingCommon Stock 35,297 $13.75 $485,333.75
Disclosure

SEC source: 0001127602-24-027650 · form4.xml · nonDerivative · entry 2

Findlay Deirdre · CIK 0001804989 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,304

F4 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were withheld by the Issuer in accordance with the agreement governing the RSUs to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting and settlement of RSUs.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:43 UTC
Findlay DeirdreChief Commercial Officer
Exercise / conversionCommon Stock 92,973 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-24-027650 · form4.xml · nonDerivative · entry 1

Findlay Deirdre · CIK 0001804989 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,601

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 · kind: Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

F2 · price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F3 · balance_after: Ms. Findlay was granted 10,011 RSUs on March 9, 2023, which were scheduled to vest in full on the earlier of March 9, 2024 or the next annual meeting of stockholders, subject to her continued service on the Company's Board of Directors (the "Board"). Ms. Findlay resigned from the Board effective October 3, 2023, in connection with her acceptance of a position with the Company as Chief Commercial Officer, thus her RSUs vested on a pro rata basis. The reported amount has been reduced by 5,005 as compared to Ms. Findlay's prior Form 4 to reflect forfeited shares.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:20 UTC
Casey SaoriChief Financial Officer
GrantRestricted Stock Units · Derivative 126,504 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-027645 · form4.xml · derivative · entry 1

Casey Saori · CIK 0002007626 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 425,004

Underlying: Common Stock · 126,504 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F2 · derivative.exercise_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2024, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F2 · derivative.expiration_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2024, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:53 UTC
Lazarus Edward PChief Legal & Strategy Officer
GrantRestricted Stock Units · Derivative 151,167 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-027652 · form4.xml · derivative · entry 7

Lazarus Edward P · CIK 0001610766 · Chief Legal & Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 372,542

Underlying: Common Stock · 151,167 shares

Expires not disclosed

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F8 · derivative.exercise_date: These RSUs will vest over a two year period as follows: 1) 15% of the shares subject to the RSUs will vest quarterly in year 1 following the vesting commencement date of November 15, 2024 and 2) 10% of the shares subject to the RSUs will vest quarterly in year 2, in each case subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F8 · derivative.expiration_date: These RSUs will vest over a two year period as follows: 1) 15% of the shares subject to the RSUs will vest quarterly in year 1 following the vesting commencement date of November 15, 2024 and 2) 10% of the shares subject to the RSUs will vest quarterly in year 2, in each case subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

Read SEC document
November 15, 2024 Filed Nov 19, 2024 22:53 UTC
Lazarus Edward PChief Legal & Strategy Officer
GrantRestricted Stock Units · Derivative 122,823 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-027652 · form4.xml · derivative · entry 6

Lazarus Edward P · CIK 0001610766 · Chief Legal & Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 221,375

Underlying: Common Stock · 122,823 shares

Expires not disclosed

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon vesting and settlement for no consideration.

F7 · derivative.exercise_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2024, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

F7 · derivative.expiration_date: 1/12 of the shares subject to the RSUs vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2024, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. The RSUs are subject to double-trigger acceleration.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.