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SONX

Sonendo, Inc.

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9738
SEC CIK
0001407973
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185

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private 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
June 29, 2022 Filed Jul 1, 2022 12:47 UTC GrantStock Options (Right to buy) · Derivative 49,586 $0.00 Strike: $1.73 $0.00
Disclosure

SEC source: 0001562180-22-005429 · primarydocument.xml · derivative · entry 2

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,586

Underlying: Common Stock · 49,586 shares

Expires 2032-06-28

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:47 UTC GrantCommon Stock 34,682 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-005429 · primarydocument.xml · nonDerivative · entry 1

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,682

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:47 UTC
Stern SadieDirector
GrantStock Options (Right to buy) · Derivative 49,586 $0.00 Strike: $1.73 $0.00
Disclosure

SEC source: 0001562180-22-005428 · primarydocument.xml · derivative · entry 2

Stern Sadie · CIK 0001797971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,586

Underlying: Common Stock · 49,586 shares

Expires 2032-06-28

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:47 UTC
Stern SadieDirector
GrantCommon Stock 34,682 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-005428 · primarydocument.xml · nonDerivative · entry 1

Stern Sadie · CIK 0001797971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,682

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:47 UTC GrantStock Options (Right to buy) · Derivative 49,586 $0.00 Strike: $1.73 $0.00
Disclosure

SEC source: 0001562180-22-005427 · primarydocument.xml · derivative · entry 2

MCGINNIS KAREN K · CIK 0001188264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,586

Underlying: Common Stock · 49,586 shares

Expires 2032-06-28

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:47 UTC GrantCommon Stock 34,682 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-005427 · primarydocument.xml · nonDerivative · entry 1

MCGINNIS KAREN K · CIK 0001188264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,682

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:46 UTC GrantStock Options (Right to buy) · Derivative 49,586 $0.00 Strike: $1.73 $0.00
Disclosure

SEC source: 0001562180-22-005425 · primarydocument.xml · derivative · entry 2

BEAVER CAROLYN · CIK 0001335581 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,586

Underlying: Common Stock · 49,586 shares

Expires 2032-06-28

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:46 UTC GrantCommon Stock 34,682 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-005425 · primarydocument.xml · nonDerivative · entry 1

BEAVER CAROLYN · CIK 0001335581 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,482

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:46 UTC
BERGHEIM OLAVDirector · 10% owner
GrantStock Options (Right to buy) · Derivative 49,586 $0.00 Strike: $1.73 $0.00
Disclosure

SEC source: 0001562180-22-005424 · primarydocument.xml · derivative · entry 9

BERGHEIM OLAV · CIK 0001207793 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,586

Underlying: Common Stock · 49,586 shares

Expires 2032-06-28

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 2023 annual meeting of stockholders, subject to the Reporting Person's continued service on the Board through the applicable vesting date.

Read SEC document
June 29, 2022 Filed Jul 1, 2022 12:46 UTC
BERGHEIM OLAVDirector · 10% owner
GrantCommon Stock 34,682 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-005424 · primarydocument.xml · nonDerivative · entry 1

BERGHEIM OLAV · CIK 0001207793 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,092

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 2023 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, 2022 Filed Jun 17, 2022 16:35 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 28,500 $2.25 $64,167.75
Disclosure

SEC source: 0001562180-22-005201 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 979,349

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.11 to $2.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
June 15, 2022 Filed Jun 16, 2022 09:02 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 16,500 $2.17 $35,814.90
Disclosure

SEC source: 0001562180-22-005130 · primarydocument.xml · nonDerivative · entry 2

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 950,849

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.12 to $2.32, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
June 14, 2022 Filed Jun 16, 2022 09:02 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 5,000 $2.07 $10,363.50
Disclosure

SEC source: 0001562180-22-005130 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 934,349

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.04 to $2.09, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
June 01, 2022 Filed Jun 3, 2022 16:04 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 1,800 $2.75 $4,950.00
Disclosure

SEC source: 0001562180-22-004757 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 929,349

Read SEC document
May 31, 2022 Filed Jun 2, 2022 16:45 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 6,452 $2.74 $17,646.87
Disclosure

SEC source: 0001562180-22-004706 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 927,549

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.725 to $2.75, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 25, 2022 Filed May 26, 2022 08:07 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 11,748 $2.60 $30,550.67
Disclosure

SEC source: 0001562180-22-004415 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 921,097

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.58 to $2.65, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 25, 2022 Filed May 26, 2022 12:07 UTC PurchaseCommon Stock 43,597 $2.65 $115,532.05
Disclosure

SEC source: 0001562180-22-004414 · primarydocument.xml · nonDerivative · entry 2

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Read SEC document
May 24, 2022 Filed May 25, 2022 16:03 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 5,000 $2.67 $13,363.00
Disclosure

SEC source: 0001562180-22-004385 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 909,349

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $2.70, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 24, 2022 Filed May 26, 2022 12:07 UTC PurchaseCommon Stock 1,403 $2.68 $3,760.04
Disclosure

SEC source: 0001562180-22-004414 · primarydocument.xml · nonDerivative · entry 1

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,403

Read SEC document
May 23, 2022 Filed May 24, 2022 16:07 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 13,000 $2.70 $35,102.60
Disclosure

SEC source: 0001562180-22-004361 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 904,349

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.63 to $2.75, 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.

Read SEC document
May 23, 2022 Filed May 25, 2022 16:02 UTC
Smith Michael JohnChief Commercial Officer
PurchaseCommon Stock 7,769 $2.70 $20,998.05
Disclosure

SEC source: 0001562180-22-004384 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,863

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.70 to $2.72, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 18, 2022 Filed May 20, 2022 19:10 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 12,000 $2.67 $32,059.20
Disclosure

SEC source: 0001562180-22-004313 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 891,349

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $2.70, 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.

Read SEC document
May 17, 2022 Filed May 18, 2022 16:03 UTC
Smith Michael JohnChief Commercial Officer
PurchaseCommon Stock 16,468 $2.73 $44,957.64
Disclosure

SEC source: 0001562180-22-004188 · primarydocument.xml · nonDerivative · entry 2

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,857

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.70 to $2.80, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 17, 2022 Filed May 19, 2022 09:04 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 20,000 $2.78 $55,600.00
Disclosure

SEC source: 0001562180-22-004227 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 883,450

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $2.92, 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.

Read SEC document
May 17, 2022 Filed May 19, 2022 09:03 UTC PurchaseCommon Stock 20,000 $2.90 $58,000.00
Disclosure

SEC source: 0001562180-22-004226 · primarydocument.xml · nonDerivative · entry 1

Bihl Anthony P III · CIK 0001432665 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,000

Read SEC document
May 16, 2022 Filed May 18, 2022 09:03 UTC
Bergheim BjarneDirector · President and CEO
PurchaseCommon Stock 30,000 $2.95 $88,500.00
Disclosure

SEC source: 0001562180-22-004177 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 863,450

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $3.15, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 16, 2022 Filed May 18, 2022 16:03 UTC
Smith Michael JohnChief Commercial Officer
PurchaseCommon Stock 5,000 $3.00 $15,000.00
Disclosure

SEC source: 0001562180-22-004188 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,389

Read SEC document
May 16, 2022 Filed May 18, 2022 09:03 UTC PurchaseCommon Stock 15,000 $2.85 $42,750.00
Disclosure

SEC source: 0001562180-22-004176 · primarydocument.xml · nonDerivative · entry 1

Bihl Anthony P III · CIK 0001432665 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.69 to $2.89, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 13, 2022 Filed May 16, 2022 13:06 UTC PurchaseCommon Stock 50,000 $2.65 $132,500.00
Disclosure

SEC source: 0001562180-22-004021 · primarydocument.xml · nonDerivative · entry 1

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.64 to $2.66, 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.

Read SEC document
May 13, 2022 Filed May 17, 2022 19:02 UTC
Bergheim BjarneDirector · President and CEO
SaleCommon Stock 4,101 $2.78 $11,397.09
Disclosure

SEC source: 0001562180-22-004149 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 879,349

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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
May 13, 2022 Filed May 17, 2022 19:04 UTC
Collins Jacqueline ArnoldVP, General Counsel
SaleCommon Stock 933 $2.78 $2,592.90
Disclosure

SEC source: 0001562180-22-004155 · primarydocument.xml · nonDerivative · entry 1

Collins Jacqueline Arnold · CIK 0001875445 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,319

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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
May 13, 2022 Filed May 17, 2022 19:04 UTC
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 1,958 $2.78 $5,441.48
Disclosure

SEC source: 0001562180-22-004152 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,389

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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
May 13, 2022 Filed May 17, 2022 19:06 UTC
Watts Michael PatrickChief Financial Officer
SaleCommon Stock 2,129 $2.78 $5,916.70
Disclosure

SEC source: 0001562180-22-004151 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,170

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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
May 13, 2022 Filed May 17, 2022 19:04 UTC
Chen Roy TChief Talent Officer
SaleCommon Stock 1,058 $2.78 $2,940.29
Disclosure

SEC source: 0001562180-22-004154 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,844

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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
May 13, 2022 Filed May 17, 2022 09:00 UTC PurchaseCommon Stock 15,000 $2.67 $40,050.00
Disclosure

SEC source: 0001562180-22-004079 · primarydocument.xml · nonDerivative · entry 1

Bihl Anthony P III · CIK 0001432665 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.67 to $2.68, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
May 13, 2022 Filed May 17, 2022 23:06 UTC
Kirkpatrick Andrew JChief Operating Officer
SaleCommon Stock 1,659 $2.78 $4,610.53
Disclosure

SEC source: 0001562180-22-004153 · primarydocument.xml · nonDerivative · entry 1

Kirkpatrick Andrew J · CIK 0001704812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,678

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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 13, 2022 Filed May 17, 2022 23:03 UTC
Khakpour MehrezadChief Technology Officer
SaleCommon Stock 2,424 $2.78 $6,736.54
Disclosure

SEC source: 0001562180-22-004150 · primarydocument.xml · nonDerivative · entry 1

Khakpour Mehrezad · CIK 0001876455 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,720

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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 13, 2022 Filed May 20, 2022 19:02 UTC Amendment
Bergheim BjarneDirector · President and CEO
SaleCommon Stock 4,101 $2.78 $11,397.09
Disclosure

SEC source: 0001562180-22-004310 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 829,349

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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.

F3 · balance_after: This Form 4/A is being filed to correct an error in Column 5 of the original Form 4 filed by the Reporting Person on May 17, 2022 regarding the amount of securities beneficially owned by the Reporting Person following the transaction reported therein, which error also affected the totals reported in Column 5 of the subsequent Form 4s filed by the Reporting Person on May 18, 2022 and May 19, 2022.

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May 13, 2022 Filed May 20, 2022 19:02 UTC Amendment
Smith Michael JohnChief Commercial Officer
SaleCommon Stock 1,958 $2.78 $5,441.48
Disclosure

SEC source: 0001562180-22-004309 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,626

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by 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 $2.62 to $2.90. 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.

F3 · balance_after: This Form 4/A is being filed to correct an error in Column 5 of the original Form 4 filed by the Reporting Person on May 17, 2022 regarding the amount of securities beneficially owned by the Reporting Person following the transaction reported therein, which error also affected the total reported in Column 5 of the subsequent Form 4 filed by the Reporting Person on May 18, 2022.

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March 25, 2022 Filed Mar 29, 2022 19:23 UTC
Bergheim BjarneDirector · President and CEO
GrantCommon Stock 485,327 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002987 · primarydocument.xml · nonDerivative · entry 1

Bergheim Bjarne · CIK 0001875434 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 833,450

F1 · acquired: 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 25, 2022.

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March 25, 2022 Filed Mar 29, 2022 19:23 UTC
Watts Michael PatrickChief Financial Officer
GrantCommon Stock 176,899 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002989 · primarydocument.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,299

F1 · acquired: 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 25, 2022.

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March 25, 2022 Filed Mar 29, 2022 19:22 UTC
Collins Jacqueline ArnoldVP, General Counsel
GrantCommon Stock 93,652 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002984 · primarydocument.xml · nonDerivative · entry 1

Collins Jacqueline Arnold · CIK 0001875445 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,252

F1 · acquired: 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 25, 2022.

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March 25, 2022 Filed Mar 29, 2022 19:23 UTC
Smith Michael JohnChief Commercial Officer
GrantCommon Stock 270,551 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002990 · primarydocument.xml · nonDerivative · entry 1

Smith Michael John · CIK 0001872655 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,584

F1 · acquired: 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 25, 2022.

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March 25, 2022 Filed Mar 29, 2022 19:23 UTC
Chen Roy TChief Talent Officer
GrantCommon Stock 93,652 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002986 · primarydocument.xml · nonDerivative · entry 1

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,902

F1 · acquired: 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 25, 2022.

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March 25, 2022 Filed Mar 29, 2022 23:23 UTC
Kirkpatrick Andrew JChief Operating Officer
GrantCommon Stock 156,087 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002988 · primarydocument.xml · nonDerivative · entry 1

Kirkpatrick Andrew J · CIK 0001704812 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,337

F1 · acquired: 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 25, 2022.

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March 25, 2022 Filed Mar 29, 2022 23:22 UTC
Khakpour MehrezadChief Technology Officer
GrantCommon Stock 156,087 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-002985 · primarydocument.xml · nonDerivative · entry 1

Khakpour Mehrezad · CIK 0001876455 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,144

F1 · acquired: 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 25, 2022.

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February 10, 2022 Filed Feb 14, 2022 17:31 UTC
Watts Michael PatrickChief Financial Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $4.02 $0.00
Disclosure

SEC source: 0001872686-22-000003 · edgar.xml · derivative · entry 2

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,625

Underlying: Common Stock · 10,000 shares

Expires 2027-12-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option vested in four equal annual installments beginning November 6, 2017.

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February 10, 2022 Filed Feb 14, 2022 17:31 UTC
Watts Michael PatrickChief Financial Officer
Exercise / conversionCommon Stock 10,000 $4.02 $40,200.00
Disclosure

SEC source: 0001872686-22-000003 · edgar.xml · nonDerivative · entry 1

Watts Michael Patrick · CIK 0001872686 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,400

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.

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December 06, 2021 Filed Dec 9, 2021 02:05 UTC GrantStock option (right to buy) · Derivative 38,035 $0.00 Strike: $9.50 $0.00
Disclosure

SEC source: 0000899243-21-047433 · doc4.xml · derivative · entry 1

Pudipeddi Vamsi Mohan Raj · CIK 0001768087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,035

Underlying: Common Stock · 38,035 shares

Expires 2031-12-05

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on December 6, 2021.

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November 30, 2021 Filed Dec 14, 2021 16:12 UTC
Chen Roy TChief Talent Officer
Exercise / conversionCommon Stock · Derivative 2,250 $0.00 Strike: $4.02 $0.00
Disclosure

SEC source: 0001872704-21-000001 · edgar.xml · derivative · entry 2

Chen Roy T · CIK 0001872704 · Chief Talent Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,578

Underlying: Common Stock · 2,250 shares

Expires 2028-03-12

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: These shares are subject to a lock-up agreement between the reporting person and BofA Securities, Inc. dated October 28, 2021 (the "Lock-up Date") pursuant to which they may not be sold until April 27, 2022.

F2 · derivative.exercise_date: The option vested as to 25% of the underlying shares of Common Stock on December 31, 2018 and with respect to the remaining shares in 36 equal monthly installments thereafter.

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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.