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Nasdaq · USD

SPRY

ARS Pharmaceuticals, Inc.

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883
SEC CIK
0001671858
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268

Last 12 months

Inside the activity.

0 purchase rows · 5 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202503
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202602
Jul 202600
Aug 202600
Sep 202600
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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
December 03, 2024 Filed Dec 5, 2024 02:45 UTC
Chakma JustinChief Business Officer
Exercise / conversionCommon Stock 41,740 $0.84 $35,061.60
Disclosure

SEC source: 0001415889-24-028351 · form4-12042024_091201.xml · nonDerivative · entry 4

Chakma Justin · CIK 0001951238 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,380

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

Read SEC document
December 03, 2024 Filed Dec 5, 2024 02:45 UTC
Chakma JustinChief Business Officer
Exercise / conversionCommon Stock 3,260 $0.84 $2,738.40
Disclosure

SEC source: 0001415889-24-028351 · form4-12042024_091201.xml · nonDerivative · entry 3

Chakma Justin · CIK 0001951238 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,640

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

Read SEC document
December 03, 2024 Filed Dec 5, 2024 02:40 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 62,378 $0.00 Strike: $3.15 $0.00
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · derivative · entry 13

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 73,836

Underlying: Common Stock · 62,378 shares

Expires 2032-05-01

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

F6 · derivative.exercise_date: Immediately exercisable.

Read SEC document
December 03, 2024 Filed Dec 5, 2024 02:40 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 25,606 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · derivative · entry 12

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,606 shares

Expires 2030-04-28

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.

F6 · derivative.exercise_date: Immediately exercisable.

Read SEC document
December 03, 2024 Filed Dec 5, 2024 02:40 UTC SaleCommon Stock 87,984 $13.26 $1,166,896.60
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · nonDerivative · entry 7

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The shares reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2024.

F4 · price: The weighted average sale price for the transaction reported was $13.2626 and the range of prices were between $12.92 and $13.62. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
December 03, 2024 Filed Dec 5, 2024 02:40 UTC Exercise / conversionCommon Stock 62,378 $3.15 $196,490.70
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · nonDerivative · entry 6

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 298,330

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

Read SEC document
December 03, 2024 Filed Dec 5, 2024 02:40 UTC Exercise / conversionCommon Stock 25,606 $1.27 $32,519.62
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · nonDerivative · entry 5

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 235,952

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

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:45 UTC
Chakma JustinChief Business Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $0.84 $0.00
Disclosure

SEC source: 0001415889-24-028351 · form4-12042024_091201.xml · derivative · entry 6

Chakma Justin · CIK 0001951238 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,260

Underlying: Common Stock · 45,000 shares

Expires 2029-12-16

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

F3 · derivative.exercise_date: Immediately exercisable.

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:45 UTC
Chakma JustinChief Business Officer
SaleCommon Stock 45,000 $13.67 $615,217.50
Disclosure

SEC source: 0001415889-24-028351 · form4-12042024_091201.xml · nonDerivative · entry 2

Chakma Justin · CIK 0001951238 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,380

F1 · price: The weighted average sale price for the transaction reported was $13.6715, and the range of prices were between $13.324 and $14.035. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each price will be provided.

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:45 UTC
Chakma JustinChief Business Officer
Exercise / conversionCommon Stock 45,000 $0.84 $37,800.00
Disclosure

SEC source: 0001415889-24-028351 · form4-12042024_091201.xml · nonDerivative · entry 1

Chakma Justin · CIK 0001951238 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,380

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

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 67,616 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · derivative · entry 11

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 67,616 shares

Expires 2030-04-28

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.

F7 · shares: Due to a clerical error, the total number of shares subject to this option grant was underreported by one share on the Reporting Person's Form 3 and is corrected on this filing.

F6 · derivative.exercise_date: Immediately exercisable.

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 29,628 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · derivative · entry 10

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,606

Underlying: Common Stock · 29,628 shares

Expires 2030-04-28

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.

F6 · derivative.exercise_date: Immediately exercisable.

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC SaleCommon Stock 901 $14.34 $12,921.87
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · nonDerivative · entry 4

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The shares reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2024.

F3 · price: The weighted average sale price for the transaction reported was $14.3417 and the range of prices were between $14.2761 and $14.375. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC SaleCommon Stock 96,343 $13.55 $1,305,823.39
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · nonDerivative · entry 3

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 211,247

F1 · kind: The shares reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2024.

F2 · price: The weighted average sale price for the transaction reported was $13.5539 and the range of prices were between $13.27 and $14.20. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC Exercise / conversionCommon Stock 29,628 $1.27 $37,627.56
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · nonDerivative · entry 2

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 307,590

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

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC Exercise / conversionCommon Stock 67,616 $1.27 $85,872.32
Disclosure

SEC source: 0001415889-24-028350 · form4-12042024_091203.xml · nonDerivative · entry 1

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 277,962

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

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC
Karas EricChief Commercial Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 3,717 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001415889-24-028349 · form4-12042024_091201.xml · derivative · entry 5

Karas Eric · CIK 0001951287 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 590,871

Underlying: Common Stock · 3,717 shares

Expires 2032-05-23

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

F3 · derivative.exercise_date: Immediately exercisable.

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC
Karas EricChief Commercial Officer
SaleCommon Stock 3,717 $14.11 $52,461.37
Disclosure

SEC source: 0001415889-24-028349 · form4-12042024_091201.xml · nonDerivative · entry 2

Karas Eric · CIK 0001951287 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,693

F1 · kind: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 26, 2024.

F2 · price: The weighted average sale price for the transaction reported was $14.1139, and the range of prices were between $14.00 and $14.35. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

Read SEC document
December 02, 2024 Filed Dec 5, 2024 02:40 UTC
Karas EricChief Commercial Officer
Exercise / conversionCommon Stock 3,717 $1.50 $5,575.50
Disclosure

SEC source: 0001415889-24-028349 · form4-12042024_091201.xml · nonDerivative · entry 1

Karas Eric · CIK 0001951287 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,410

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

Read SEC document
November 27, 2024 Filed Nov 27, 2024 21:11 UTC
Chakma JustinChief Business Officer
SaleCommon Stock 25,000 $14.39 $359,750.00
Disclosure

SEC source: 0001415889-24-027843 · form4-11272024_091151.xml · nonDerivative · entry 3

Chakma Justin · CIK 0001951238 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,380

Read SEC document
November 26, 2024 Filed Nov 27, 2024 21:11 UTC
Chakma JustinChief Business Officer
SaleCommon Stock 42,186 $14.05 $592,569.87
Disclosure

SEC source: 0001415889-24-027843 · form4-11272024_091151.xml · nonDerivative · entry 2

Chakma Justin · CIK 0001951238 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 161,380

F2 · price: The weighted average sale price for the transaction reported was $14.0466, and the range of prices were between $13.95 and $14.12. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each price will be provided.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 21:11 UTC
Chakma JustinChief Business Officer
SaleCommon Stock 32,814 $14.00 $459,422.25
Disclosure

SEC source: 0001415889-24-027843 · form4-11272024_091151.xml · nonDerivative · entry 1

Chakma Justin · CIK 0001951238 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,566

F1 · price: The weighted average sale price for the transaction reported was $14.0008, and the range of prices were between $14.00 and $14.03. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each price will be provided.

Read SEC document
November 19, 2024 Filed Nov 21, 2024 21:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $13.95 $697,450.00
Disclosure

SEC source: 0001415889-24-027411 · form4-11212024_041104.xml · nonDerivative · entry 3

Lowenthal Richard E · CIK 0001378550 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006

Disclosed balance after: 1,198,499

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F4 · price: The weighted average sale price for the transaction reported was $13.949, and the range of prices were between $13.50 and $14.28. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F5 · ownership.nature: The shares are held in trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are trustees of the trust.

Read SEC document
November 19, 2024 Filed Nov 21, 2024 21:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $13.95 $697,510.00
Disclosure

SEC source: 0001415889-24-027411 · form4-11212024_041104.xml · nonDerivative · entry 2

Lowenthal Richard E · CIK 0001378550 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Sarina Tanimoto Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,347,447

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F2 · price: The weighted average sale price for the transaction reported was $13.9502 and the range of prices were between $13.50 and $14.25. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person's spouse is trustee of the trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

Read SEC document
November 19, 2024 Filed Nov 21, 2024 21:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $13.95 $697,450.00
Disclosure

SEC source: 0001415889-24-027410 · form4-11212024_041101.xml · nonDerivative · entry 3

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006

Disclosed balance after: 1,198,499

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F4 · price: The weighted average sale price for the transaction reported was $13.949,and the range of prices were between $13.50 and $14.28. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F5 · ownership.nature: The shares are held in trust for the benefit of the Reporting Person and her spouse. The Reporting Person and her spouse are trustees of the trust.

Read SEC document
November 19, 2024 Filed Nov 21, 2024 21:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $13.95 $697,510.00
Disclosure

SEC source: 0001415889-24-027410 · form4-11212024_041101.xml · nonDerivative · entry 2

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Sarina Tanimoto Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,347,447

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F2 · price: The weighted average sale price for the transaction reported was $13.9502 and the range of prices were between $13.50 and $14.25. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person is trustee of the trust.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 01:16 UTC
Flynn James E10% owner
SaleClass A Common Stock 9,553 $17.77 $169,756.81
Disclosure

SEC source: 0001193805-24-001348 · e664025_4-arsp.xml · nonDerivative · entry 8

Flynn James E · CIK 0001352546 · 10% owner

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund IV, L.P.

Disclosed balance after: 5,257,328

F6 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.69 to $17.82, inclusive.

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 01:16 UTC
Flynn James E10% owner
SaleClass A Common Stock 9,554 $17.77 $169,774.58
Disclosure

SEC source: 0001193805-24-001348 · e664025_4-arsp.xml · nonDerivative · entry 7

Flynn James E · CIK 0001352546 · 10% owner

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 5,257,329

F6 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.69 to $17.82, inclusive.

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 01:16 UTC
Flynn James E10% owner
SaleClass A Common Stock 7,854 $17.16 $134,774.64
Disclosure

SEC source: 0001193805-24-001348 · e664025_4-arsp.xml · nonDerivative · entry 6

Flynn James E · CIK 0001352546 · 10% owner

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund IV, L.P.

Disclosed balance after: 5,266,881

F5 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.68 to $17.65, inclusive.

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 01:16 UTC
Flynn James E10% owner
SaleClass A Common Stock 7,853 $17.16 $134,757.48
Disclosure

SEC source: 0001193805-24-001348 · e664025_4-arsp.xml · nonDerivative · entry 5

Flynn James E · CIK 0001352546 · 10% owner

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 5,266,883

F5 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.68 to $17.65, inclusive.

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 4,876 $17.64 $86,020.44
Disclosure

SEC source: 0001415889-24-026867 · form4-11142024_041106.xml · nonDerivative · entry 5

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006

Disclosed balance after: 1,248,499

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F7 · price: The weighted average sale price for the transaction reported was $17.6416, and the range of prices were between $17.42 and $17.83. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F6 · ownership.nature: The shares are held in trust for the benefit of the Reporting Person and her spouse. The Reporting Person and her spouse are trustees of the trust.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 45,124 $16.76 $756,296.29
Disclosure

SEC source: 0001415889-24-026867 · form4-11142024_041106.xml · nonDerivative · entry 4

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006

Disclosed balance after: 1,253,375

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F5 · price: The weighted average sale price for the transaction reported was $16.7604, and the range of prices were between $16.40 and $17.39. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F6 · ownership.nature: The shares are held in trust for the benefit of the Reporting Person and her spouse. The Reporting Person and her spouse are trustees of the trust.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 4,955 $17.64 $87,421.07
Disclosure

SEC source: 0001415889-24-026867 · form4-11142024_041106.xml · nonDerivative · entry 3

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Richard E. Lowenthal Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,296,494

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F4 · price: The weighted average sale price for the transaction reported was $17.643, and the range of prices were between $17.42 and $17.85. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person's spouse is trustee of the trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 45,045 $16.76 $754,904.65
Disclosure

SEC source: 0001415889-24-026867 · form4-11142024_041106.xml · nonDerivative · entry 2

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Richard Lowenthal Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,301,449

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F2 · price: The weighted average sale price for the transaction report was $16.7589, and the range of prices were between $16.405 and $17.395. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person's spouse is trustee of the trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 4,876 $17.64 $86,020.44
Disclosure

SEC source: 0001415889-24-026866 · form4-11142024_041104.xml · nonDerivative · entry 5

Lowenthal Richard E · CIK 0001378550 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006

Disclosed balance after: 1,248,499

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F7 · price: The weighted average sale price for the transaction reported was $17.6416, and the range of prices were between $17.42 and $17.83. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F6 · ownership.nature: The shares are held in trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are trustees of the trust.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 45,124 $16.76 $756,296.29
Disclosure

SEC source: 0001415889-24-026866 · form4-11142024_041104.xml · nonDerivative · entry 4

Lowenthal Richard E · CIK 0001378550 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006

Disclosed balance after: 1,253,375

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F5 · price: The weighted average sale price for the transaction reported was $16.7604, and the range of prices were between $16.40 and $17.39. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F6 · ownership.nature: The shares are held in trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are trustees of the trust.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 4,955 $17.64 $87,421.07
Disclosure

SEC source: 0001415889-24-026866 · form4-11142024_041104.xml · nonDerivative · entry 3

Lowenthal Richard E · CIK 0001378550 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Richard E. Lowenthal Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,296,494

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F4 · price: The weighted average sale price for the transaction reported was $17.643, and the range of prices were between $17.42 and $17.85. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person is trustee of the trust.

Read SEC document
November 12, 2024 Filed Nov 14, 2024 21:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 45,045 $16.76 $754,904.65
Disclosure

SEC source: 0001415889-24-026866 · form4-11142024_041104.xml · nonDerivative · entry 2

Lowenthal Richard E · CIK 0001378550 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Richard E. Lowenthal Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,301,449

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F2 · price: The weighted average sale price for the transaction reported was $16.7589, and the range of prices were between $16.405 and $17.395. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person is trustee of the trust.

Read SEC document
November 11, 2024 Filed Nov 14, 2024 01:16 UTC
Flynn James E10% owner
SaleClass A Common Stock 223,632 $18.15 $4,058,920.80
Disclosure

SEC source: 0001193805-24-001348 · e664025_4-arsp.xml · nonDerivative · entry 4

Flynn James E · CIK 0001352546 · 10% owner

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund IV, L.P.

Disclosed balance after: 5,274,735

F4 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.91 to $18.51, inclusive.

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
November 11, 2024 Filed Nov 14, 2024 01:16 UTC
Flynn James E10% owner
SaleClass A Common Stock 223,632 $18.15 $4,058,920.80
Disclosure

SEC source: 0001193805-24-001348 · e664025_4-arsp.xml · nonDerivative · entry 3

Flynn James E · CIK 0001352546 · 10% owner

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 5,274,736

F4 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.91 to $18.51, inclusive.

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
November 11, 2024 Filed Nov 14, 2024 01:16 UTC
Flynn James E10% owner
SaleClass A Common Stock 40,596 $17.45 $708,400.20
Disclosure

SEC source: 0001193805-24-001348 · e664025_4-arsp.xml · nonDerivative · entry 2

Flynn James E · CIK 0001352546 · 10% owner

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund IV, L.P.

Disclosed balance after: 5,498,367

F1 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.90 to $17.90, inclusive. The reporting persons undertake 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 ranges set forth in footnotes 1, 4, 5 and 6 of this Form 4.

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
November 11, 2024 Filed Nov 14, 2024 01:16 UTC
Flynn James E10% owner
SaleClass A Common Stock 40,596 $17.45 $708,400.20
Disclosure

SEC source: 0001193805-24-001348 · e664025_4-arsp.xml · nonDerivative · entry 1

Flynn James E · CIK 0001352546 · 10% owner

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 5,498,368

F1 · price: The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.90 to $17.90, inclusive. The reporting persons undertake 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 ranges set forth in footnotes 1, 4, 5 and 6 of this Form 4.

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
October 16, 2024 Filed Oct 17, 2024 20:30 UTC
Scott Kathleen D.Chief Financial Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 12,500 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001415889-24-025370 · form4-10172024_041028.xml · derivative · entry 4

Scott Kathleen D. · CIK 0001794284 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 802,330

Underlying: Common Stock · 12,500 shares

Expires 2032-02-29

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.

F4 · derivative.exercise_date: Immediately exercisable.

Read SEC document
October 16, 2024 Filed Oct 17, 2024 20:30 UTC
Scott Kathleen D.Chief Financial Officer
SaleCommon Stock 12,500 $16.00 $200,000.00
Disclosure

SEC source: 0001415889-24-025370 · form4-10172024_041028.xml · nonDerivative · entry 2

Scott Kathleen D. · CIK 0001794284 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,949

F2 · kind: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 27, 2024.

Read SEC document
October 16, 2024 Filed Oct 17, 2024 20:30 UTC
Scott Kathleen D.Chief Financial Officer
Exercise / conversionCommon Stock 12,500 $1.50 $18,750.00
Disclosure

SEC source: 0001415889-24-025370 · form4-10172024_041028.xml · nonDerivative · entry 1

Scott Kathleen D. · CIK 0001794284 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,449

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 · balance_after: The Reporting Person inadvertently added the holdings of Scott 2008 Trust Dated 3/28/08 (the "Trust") as directly held on her Form 4 filed on August 20, 2024. As of the date of that Form 4, the Reporting Person owned 8,250 shares indirectly through the Trust.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 20:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $14.88 $743,820.00
Disclosure

SEC source: 0001415889-24-025369 · form4-10172024_041026.xml · nonDerivative · entry 4

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006

Disclosed balance after: 1,298,499

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F5 · price: The weighted average sale price for the transaction reported was $14.8764, and the range of prices were between $14.26 and $15.26. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F6 · ownership.nature: The shares are held in trust for the benefit of the Reporting Person and her spouse. The Reporting Person and her spouse are trustees of the trust.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 20:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 1,450 $15.25 $22,118.16
Disclosure

SEC source: 0001415889-24-025369 · form4-10172024_041026.xml · nonDerivative · entry 3

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Sarina Tanimoto Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,397,447

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F4 · price: The weighted average sale price for the transaction reported was $15.2539 and the range of prices were between $15.25 and $15.26. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person is trustee of the trust.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 20:30 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 48,550 $14.86 $721,656.91
Disclosure

SEC source: 0001415889-24-025369 · form4-10172024_041026.xml · nonDerivative · entry 2

Tanimoto Sarina · CIK 0001951291 · CHIEF MEDICAL OFFICER · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Sarina Tanimoto Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,398,897

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F2 · price: The weighted average sale price for the transaction reported was $14.8642 and the range of prices were between $14.245 and $15.245. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person is trustee of the trust.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 20:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $14.88 $743,820.00
Disclosure

SEC source: 0001415889-24-025368 · form4-10172024_041024.xml · nonDerivative · entry 4

Lowenthal Richard E · CIK 0001378550 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006

Disclosed balance after: 1,298,499

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F5 · price: The weighted average sale price for the transaction reported was $14.8764, and the range of prices were between $14.26 and $15.26. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F6 · ownership.nature: The shares are held in trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are trustees of the trust.

Read SEC document
October 15, 2024 Filed Oct 17, 2024 20:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 1,450 $15.25 $22,118.16
Disclosure

SEC source: 0001415889-24-025368 · form4-10172024_041024.xml · nonDerivative · entry 3

Lowenthal Richard E · CIK 0001378550 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · By Sarina Tanimoto Charitable Remainder UniTrust Dated January 7, 2020

Disclosed balance after: 1,397,447

F1 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan entered into on March 31, 2023.

F4 · price: The weighted average sale price for the transaction reported was $15.2539 and the range of prices were between $15.25 and $15.26. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F3 · ownership.nature: The Reporting Person's spouse is trustee of the Trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

Read SEC document

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