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SONX

Sonendo, Inc.

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9738
SEC CIK
0001407973
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185

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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
September 14, 2023 Filed Sep 18, 2023 13:04 UTC
Watts Michael PatrickChief Financial Officer
Tax withholdingCommon Stock 8,016 $0.90 $7,240.05
Disclosure

SEC source: 0001562180-23-006887 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 562,547

F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023.

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September 14, 2023 Filed Sep 18, 2023 13:04 UTC
Chen Roy TChief Talent Officer
Tax withholdingCommon Stock 4,633 $0.90 $4,184.53
Disclosure

SEC source: 0001562180-23-006888 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 303,519

F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023.

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September 11, 2023 Filed Sep 12, 2023 14:33 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 440 $1.00 $440.00
Disclosure

SEC source: 0001562180-23-006823 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,152

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.00 USD to $1.00 USD; the price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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September 05, 2023 Filed Sep 6, 2023 13:01 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 300 $1.00 $300.00
Disclosure

SEC source: 0001562180-23-006723 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,592

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.00 USD to $1.00 USD; the price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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September 01, 2023 Filed Sep 5, 2023 14:50 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 3,023 $1.00 $3,023.00
Disclosure

SEC source: 0001562180-23-006676 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,892

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.00 USD to $1.00 USD; the price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 31, 2023 Filed Sep 5, 2023 14:50 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 1,700 $1.01 $1,712.58
Disclosure

SEC source: 0001562180-23-006675 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 311,915

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.00 USD to $1.03 USD; the price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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August 16, 2023 Filed Aug 17, 2023 17:05 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 668 $1.18 $786.04
Disclosure

SEC source: 0001562180-23-006416 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,615

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.15 USD to $1.21 USD; the price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 03, 2023 Filed Aug 7, 2023 15:12 UTC
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 1,062 $1.35 $1,436.25
Disclosure

SEC source: 0001562180-23-006216 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 758,755

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.34 to $1.36. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 03, 2023 Filed Aug 7, 2023 15:11 UTC
Watts Michael PatrickChief Financial Officer
SaleCommon Stock 1,155 $1.35 $1,562.02
Disclosure

SEC source: 0001562180-23-006214 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 570,563

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.34 to $1.36. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
August 03, 2023 Filed Aug 7, 2023 15:11 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 577 $1.35 $780.33
Disclosure

SEC source: 0001562180-23-006215 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 314,283

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.34 to $1.36. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 26, 2023 Filed Jun 27, 2023 17:46 UTC
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 6,164 $1.19 $7,327.76
Disclosure

SEC source: 0001562180-23-005520 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 759,817

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.16 to $1.21. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 26, 2023 Filed Jun 27, 2023 17:46 UTC
Watts Michael PatrickChief Financial Officer
SaleCommon Stock 4,033 $1.19 $4,794.43
Disclosure

SEC source: 0001562180-23-005521 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 571,718

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.16 to $1.21. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 26, 2023 Filed Jun 27, 2023 17:46 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 2,084 $1.19 $2,477.46
Disclosure

SEC source: 0001562180-23-005519 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 314,860

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.16 to $1.21. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 21:16 UTC
Bergheim BjarneDirector · President and CEO
SaleCommon Stock 9,590 $1.09 $10,436.80
Disclosure

SEC source: 0001562180-23-005397 · primarydocument.xml · nonDerivative · entry 2

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,042,356

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.05 to $1.13. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 21:17 UTC
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 4,020 $1.09 $4,374.97
Disclosure

SEC source: 0001562180-23-005399 · primarydocument.xml · nonDerivative · entry 2

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 765,981

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.05 to $1.13. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 21:17 UTC
Watts Michael PatrickChief Financial Officer
SaleCommon Stock 3,272 $1.09 $3,560.92
Disclosure

SEC source: 0001562180-23-005398 · primarydocument.xml · nonDerivative · entry 2

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 575,751

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.05 to $1.13. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 21:16 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 1,844 $1.09 $2,006.83
Disclosure

SEC source: 0001562180-23-005396 · primarydocument.xml · nonDerivative · entry 2

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 316,944

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.05 to $1.13. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 21:04 UTC GrantStock Option (Right to Buy) · Derivative 32,520 $0.00 Strike: $1.08 $0.00
Disclosure

SEC source: 0001562180-23-005395 · primarydocument.xml · derivative · entry 2

Bihl Anthony P III · CIK 0001432665 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,520

Underlying: Common Stock · 32,520 shares

Expires 2033-06-15

F2 · derivative.exercise_date: The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 21:04 UTC GrantCommon Stock 25,316 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005395 · primarydocument.xml · nonDerivative · entry 1

Bihl Anthony P III · CIK 0001432665 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,998

F1 · shares: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:03 UTC GrantStock Option (Right to Buy) · Derivative 32,520 $0.00 Strike: $1.08 $0.00
Disclosure

SEC source: 0001562180-23-005394 · primarydocument.xml · derivative · entry 2

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,520

Underlying: Common Stock · 32,520 shares

Expires 2033-06-15

F2 · derivative.exercise_date: The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:03 UTC GrantCommon Stock 25,316 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005394 · primarydocument.xml · nonDerivative · entry 1

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 224,498

F1 · shares: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:03 UTC GrantStock Option (Right to Buy) · Derivative 32,520 $0.00 Strike: $1.08 $0.00
Disclosure

SEC source: 0001562180-23-005393 · primarydocument.xml · derivative · entry 2

MCGINNIS KAREN K · CIK 0001188264 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,520

Underlying: Common Stock · 32,520 shares

Expires 2033-06-15

F2 · derivative.exercise_date: The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:03 UTC GrantCommon Stock 25,316 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005393 · primarydocument.xml · nonDerivative · entry 1

MCGINNIS KAREN K · CIK 0001188264 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,998

F1 · shares: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:03 UTC
Stern SadieDirector
GrantStock Option (Right to Buy) · Derivative 32,520 $0.00 Strike: $1.08 $0.00
Disclosure

SEC source: 0001562180-23-005392 · primarydocument.xml · derivative · entry 2

Stern Sadie · CIK 0001797971 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,520

Underlying: Common Stock · 32,520 shares

Expires 2033-06-15

F2 · derivative.exercise_date: The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:03 UTC
Stern SadieDirector
GrantCommon Stock 25,316 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005392 · primarydocument.xml · nonDerivative · entry 1

Stern Sadie · CIK 0001797971 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,998

F1 · shares: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:03 UTC GrantStock Option (Right to Buy) · Derivative 32,520 $0.00 Strike: $1.08 $0.00
Disclosure

SEC source: 0001562180-23-005391 · primarydocument.xml · derivative · entry 2

BEAVER CAROLYN · CIK 0001335581 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,520

Underlying: Common Stock · 32,520 shares

Expires 2033-06-15

F2 · derivative.exercise_date: The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:03 UTC GrantCommon Stock 25,316 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005391 · primarydocument.xml · nonDerivative · entry 1

BEAVER CAROLYN · CIK 0001335581 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,798

F1 · shares: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:02 UTC
BERGHEIM OLAVDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 32,520 $0.00 Strike: $1.08 $0.00
Disclosure

SEC source: 0001562180-23-005390 · primarydocument.xml · derivative · entry 9

BERGHEIM OLAV · CIK 0001207793 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,520

Underlying: Common Stock · 32,520 shares

Expires 2033-06-15

F8 · derivative.exercise_date: The Options vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date and (ii) the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 16, 2023 Filed Jun 21, 2023 01:02 UTC
BERGHEIM OLAVDirector · 10% owner
GrantCommon Stock 25,316 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005390 · primarydocument.xml · nonDerivative · entry 1

BERGHEIM OLAV · CIK 0001207793 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,408

F1 · shares: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in full on the earlier to occur of: (i) the one year anniversary of the Grant Date (ii) and the date of the 2024 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 21:16 UTC
Bergheim BjarneDirector · President and CEO
SaleCommon Stock 15,166 $1.12 $16,988.95
Disclosure

SEC source: 0001562180-23-005397 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,051,946

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.12 to $1.22. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 21:17 UTC
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 6,357 $1.12 $7,121.11
Disclosure

SEC source: 0001562180-23-005399 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 770,001

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.12 to $1.22. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 21:17 UTC
Watts Michael PatrickChief Financial Officer
SaleCommon Stock 5,175 $1.12 $5,797.04
Disclosure

SEC source: 0001562180-23-005398 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 579,023

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.12 to $1.22. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 21:16 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 2,915 $1.12 $3,265.38
Disclosure

SEC source: 0001562180-23-005396 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 318,788

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/14/2023. The sales were made through "sell to cover" transactions and do not represent discretionary transactions by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.12 to $1.22. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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May 03, 2023 Filed May 4, 2023 14:17 UTC
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 1,036 $1.24 $1,285.68
Disclosure

SEC source: 0001562180-23-003927 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 776,358

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.27. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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May 03, 2023 Filed May 4, 2023 14:19 UTC
Watts Michael PatrickChief Financial Officer
SaleCommon Stock 1,126 $1.24 $1,397.37
Disclosure

SEC source: 0001562180-23-003930 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 584,198

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.27. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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May 03, 2023 Filed May 4, 2023 14:19 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 679 $1.24 $842.64
Disclosure

SEC source: 0001562180-23-003929 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 321,703

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.27. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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May 03, 2023 Filed May 4, 2023 18:19 UTC
Kirkpatrick Andrew JChief Operating Officer
SaleCommon Stock 879 $1.24 $1,090.84
Disclosure

SEC source: 0001562180-23-003928 · primarydocument.xml · nonDerivative · entry 1

Kirkpatrick Andrew J · CIK 0001704812 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 174,877

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · shares: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.27. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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March 27, 2023 Filed Mar 28, 2023 16:30 UTC
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 6,928 $1.81 $12,563.24
Disclosure

SEC source: 0001562180-23-003147 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 777,394

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.83. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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March 27, 2023 Filed Mar 28, 2023 16:30 UTC
Watts Michael PatrickChief Financial Officer
SaleCommon Stock 4,710 $1.81 $8,541.11
Disclosure

SEC source: 0001562180-23-003149 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 585,324

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.83. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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March 27, 2023 Filed Mar 28, 2023 16:30 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 2,505 $1.81 $4,542.57
Disclosure

SEC source: 0001562180-23-003148 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 322,382

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.83. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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March 27, 2023 Filed Mar 28, 2023 20:30 UTC
Kirkpatrick Andrew JChief Operating Officer
SaleCommon Stock 4,163 $1.81 $7,549.18
Disclosure

SEC source: 0001562180-23-003151 · primarydocument.xml · nonDerivative · entry 1

Kirkpatrick Andrew J · CIK 0001704812 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,756

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 03/25/2022. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.83. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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March 14, 2023 Filed Mar 16, 2023 13:06 UTC
Bergheim BjarneDirector · President and CEO
GrantCommon Stock 1,087,763 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002836 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,067,112

F1 · kind: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in 16 equal quarterly installments beginning on March 14, 2023.

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March 14, 2023 Filed Mar 16, 2023 13:08 UTC
Smith Michael JohnChief Commercial Officer
GrantCommon Stock 455,696 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002838 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 784,322

F1 · kind: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in 16 equal quarterly installments beginning on March 14, 2023.

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March 14, 2023 Filed Mar 16, 2023 13:08 UTC
Watts Michael PatrickChief Financial Officer
GrantCommon Stock 370,886 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002839 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,034

F1 · kind: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in 16 equal quarterly installments beginning on March 14, 2023.

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March 14, 2023 Filed Mar 16, 2023 13:07 UTC
Chen Roy TChief Talent Officer
GrantCommon Stock 214,345 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002837 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,887

F1 · kind: Represents an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest in 16 equal quarterly installments beginning on March 14, 2023.

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March 14, 2023 Filed Mar 16, 2023 17:08 UTC PurchaseCommon Stock 50,000 $1.60 $80,000.00
Disclosure

SEC source: 0001562180-23-002840 · primarydocument.xml · nonDerivative · entry 1

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,182

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.56 to $1.61, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

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February 03, 2023 Filed Feb 7, 2023 12:54 UTC
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 1,262 $2.47 $3,122.44
Disclosure

SEC source: 0001562180-23-001073 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,626

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.51. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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February 03, 2023 Filed Feb 7, 2023 12:54 UTC
Watts Michael PatrickChief Financial Officer
SaleCommon Stock 1,373 $2.47 $3,397.08
Disclosure

SEC source: 0001562180-23-001071 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,148

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.51. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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February 03, 2023 Filed Feb 7, 2023 12:54 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 683 $2.47 $1,689.88
Disclosure

SEC source: 0001562180-23-001072 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,542

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.51. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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February 03, 2023 Filed Feb 7, 2023 17:54 UTC
Kirkpatrick Andrew JChief Operating Officer
SaleCommon Stock 1,070 $2.47 $2,647.39
Disclosure

SEC source: 0001562180-23-001070 · primarydocument.xml · nonDerivative · entry 1

Kirkpatrick Andrew J · CIK 0001704812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,919

F1 · kind: Represents shares sold on behalf of the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs granted to the Reporting Person on 11/02/2021. The sale was made through a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.40 to $2.51. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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