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Nasdaq · USD

SPRY

ARS Pharmaceuticals, Inc.

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883
SEC CIK
0001671858
Parsed reports
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.
Monthly counts
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
October 15, 2024 Filed Oct 17, 2024 20:30 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 48,550 $14.86 $721,656.91
Disclosure

SEC source: 0001415889-24-025368 · form4-10172024_041024.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: 1,398,897

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'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
October 08, 2024 Filed Oct 10, 2024 20:28 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $13.83 $691,390.00
Disclosure

SEC source: 0001415889-24-024981 · form4-10102024_081023.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: 1,348,499

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 $13.8278, and the range of prices were between $13.60 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 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
October 08, 2024 Filed Oct 10, 2024 20:28 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $13.83 $691,385.00
Disclosure

SEC source: 0001415889-24-024981 · form4-10102024_081023.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: 1,346,494

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 $13.8277, and the range of prices were between $13.60 and $14.025. 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
October 08, 2024 Filed Oct 10, 2024 20:27 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $13.83 $691,390.00
Disclosure

SEC source: 0001415889-24-024980 · form4-10102024_081026.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: 1,348,499

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 $13.8278, and the range of prices were between $13.60 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 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
October 08, 2024 Filed Oct 10, 2024 20:27 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $13.83 $691,385.00
Disclosure

SEC source: 0001415889-24-024980 · form4-10102024_081026.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

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

Disclosed balance after: 1,346,494

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 $13.8277, and the range of prices were between $13.60 and $14.025. 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
September 18, 2024 Filed Sep 19, 2024 20:30 UTC
Karas EricChief Commercial Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001415889-24-023712 · form4-09192024_080927.xml · derivative · entry 3

Karas Eric · CIK 0001951287 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 594,588

Underlying: Common Stock · 10,000 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.

F2 · derivative.exercise_date: Immediately exercisable.

Read SEC document
September 18, 2024 Filed Sep 19, 2024 20:30 UTC
Karas EricChief Commercial Officer
SaleCommon Stock 10,000 $14.00 $140,000.00
Disclosure

SEC source: 0001415889-24-023712 · form4-09192024_080927.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.

Read SEC document
September 18, 2024 Filed Sep 19, 2024 20:30 UTC
Karas EricChief Commercial Officer
Exercise / conversionCommon Stock 10,000 $1.50 $15,000.00
Disclosure

SEC source: 0001415889-24-023712 · form4-09192024_080927.xml · nonDerivative · entry 1

Karas Eric · CIK 0001951287 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,693

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
September 17, 2024 Filed Sep 19, 2024 20:29 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $12.93 $646,680.00
Disclosure

SEC source: 0001415889-24-023710 · form4-09192024_080947.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: 1,398,499

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 $12.9336,and the range of prices were between $12.65 and $13.31. 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
September 17, 2024 Filed Sep 19, 2024 20:29 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $12.93 $646,525.00
Disclosure

SEC source: 0001415889-24-023710 · form4-09192024_080947.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: 1,447,447

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 $12.9305 and the range of prices were between $12.645 and $13.24. 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
September 17, 2024 Filed Sep 19, 2024 20:26 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $12.93 $646,680.00
Disclosure

SEC source: 0001415889-24-023709 · form4-09192024_080917.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: 1,398,499

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 $12.9336, and the range of prices were between $12.65 and $13.31. 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
September 17, 2024 Filed Sep 19, 2024 20:26 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $12.93 $646,525.00
Disclosure

SEC source: 0001415889-24-023709 · form4-09192024_080917.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: 1,447,447

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 $12.9305 and the range of prices were between $12.645 and $13.24. 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
September 10, 2024 Filed Sep 12, 2024 20:25 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $11.50 $574,910.00
Disclosure

SEC source: 0001415889-24-023291 · form4-09122024_080928.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: 1,448,499

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 $11.4982, and the range of prices were between $11.28 and $11.82. 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
September 10, 2024 Filed Sep 12, 2024 20:25 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 50,000 $11.50 $574,865.00
Disclosure

SEC source: 0001415889-24-023291 · form4-09122024_080928.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: 1,396,494

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 $11.4973, and the range of prices were between $11.28 and $11.82. 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
September 10, 2024 Filed Sep 12, 2024 20:24 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $11.50 $574,910.00
Disclosure

SEC source: 0001415889-24-023290 · form4-09122024_080915.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: 1,448,499

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 $11.4982, and the range of prices were between $11.28 and $11.82. 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
September 10, 2024 Filed Sep 12, 2024 20:24 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 50,000 $11.50 $574,865.00
Disclosure

SEC source: 0001415889-24-023290 · form4-09122024_080915.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

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

Disclosed balance after: 1,396,494

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 $11.4973, and the range of prices were between $11.28 and $11.82. 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
August 26, 2024 Filed Aug 28, 2024 20:26 UTC SaleCommon Stock 83,695 $13.00 $1,088,035.00
Disclosure

SEC source: 0000947871-24-000728 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · Director

OrbiMed Capital GP VI LLC · CIK 0001682115 · Director

ORBIMED CAPITAL LLC · CIK 0001157524 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $12.59 to a high of $13.35 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F5 · ownership.nature: Each of OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP VI have designated a representative, Peter Thompson, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any such person or entity is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
August 26, 2024 Filed Aug 28, 2024 20:30 UTC SaleCommon Stock 83,695 $13.00 $1,088,035.00
Disclosure

SEC source: 0000947871-24-000729 · ownership.xml · nonDerivative · entry 1

Thompson Peter A. · CIK 0001357522 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $12.59 to a high of $13.35 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F5 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, GP VI, or OrbiMed Capital is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
August 23, 2024 Filed Aug 23, 2024 22:38 UTC SaleCommon Stock 69,500 $13.03 $905,585.00
Disclosure

SEC source: 0000947871-24-000720 · ownership.xml · nonDerivative · entry 4

ORBIMED ADVISORS LLC · CIK 0001055951 · Director

OrbiMed Capital GP VI LLC · CIK 0001682115 · Director

ORBIMED CAPITAL LLC · CIK 0001157524 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 83,695

F4 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $12.80 to a high of $13.20 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F8 · ownership.nature: Each of OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP VI have designated a representative, Peter Thompson, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any such person or entity is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
August 23, 2024 Filed Aug 23, 2024 22:41 UTC SaleCommon Stock 69,500 $13.03 $905,585.00
Disclosure

SEC source: 0000947871-24-000721 · ownership.xml · nonDerivative · entry 4

Thompson Peter A. · CIK 0001357522 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 83,695

F4 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $12.80 to a high of $13.20 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, GP VI, or OrbiMed Capital is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
August 22, 2024 Filed Aug 23, 2024 22:38 UTC SaleCommon Stock 391,482 $12.94 $5,065,777.08
Disclosure

SEC source: 0000947871-24-000720 · ownership.xml · nonDerivative · entry 3

ORBIMED ADVISORS LLC · CIK 0001055951 · Director

OrbiMed Capital GP VI LLC · CIK 0001682115 · Director

ORBIMED CAPITAL LLC · CIK 0001157524 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 153,195

F3 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $12.765 to a high of $13.475 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F8 · ownership.nature: Each of OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP VI have designated a representative, Peter Thompson, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any such person or entity is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
August 22, 2024 Filed Aug 23, 2024 22:41 UTC SaleCommon Stock 391,482 $12.94 $5,065,777.08
Disclosure

SEC source: 0000947871-24-000721 · ownership.xml · nonDerivative · entry 3

Thompson Peter A. · CIK 0001357522 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 153,195

F3 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $12.765 to a high of $13.475 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, GP VI, or OrbiMed Capital is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
August 21, 2024 Filed Aug 23, 2024 22:38 UTC SaleCommon Stock 13,300 $14.61 $194,313.00
Disclosure

SEC source: 0000947871-24-000720 · ownership.xml · nonDerivative · entry 2

ORBIMED ADVISORS LLC · CIK 0001055951 · Director

OrbiMed Capital GP VI LLC · CIK 0001682115 · Director

ORBIMED CAPITAL LLC · CIK 0001157524 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 544,677

F2 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $14.605 to a high of $14.615 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F8 · ownership.nature: Each of OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP VI have designated a representative, Peter Thompson, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any such person or entity is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
August 21, 2024 Filed Aug 23, 2024 22:38 UTC SaleCommon Stock 394,400 $13.52 $5,332,288.00
Disclosure

SEC source: 0000947871-24-000720 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · Director

OrbiMed Capital GP VI LLC · CIK 0001682115 · Director

ORBIMED CAPITAL LLC · CIK 0001157524 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 557,977

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $13.30 to a high of $13.925 per share. The Reporting Persons undertake, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F8 · ownership.nature: Each of OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP VI have designated a representative, Peter Thompson, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any such person or entity is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

Read SEC document
August 21, 2024 Filed Aug 23, 2024 22:41 UTC SaleCommon Stock 13,300 $14.61 $194,313.00
Disclosure

SEC source: 0000947871-24-000721 · ownership.xml · nonDerivative · entry 2

Thompson Peter A. · CIK 0001357522 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 544,677

F2 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $14.605 to a high of $14.615 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, GP VI, or OrbiMed Capital is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
August 21, 2024 Filed Aug 23, 2024 22:41 UTC SaleCommon Stock 394,400 $13.52 $5,332,288.00
Disclosure

SEC source: 0000947871-24-000721 · ownership.xml · nonDerivative · entry 1

Thompson Peter A. · CIK 0001357522 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 557,977

F1 · price: Represents the weighted average sale price of the shares of the Issuer's common stock sold, ranging from a low of $13.30 to a high of $13.925 per share. The Reporting Person undertakes, upon request by the staff of the Securities and Exchange Commission, the Issuer or a securityholder of the Issuer, to provide full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors LLC ("OrbiMed Advisors"). OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the shares held by OPM.

F8 · ownership.nature: Each of the Reporting Person, OrbiMed Advisors, GP VI, and OrbiMed Capital disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, GP VI, or OrbiMed Capital is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.

Read SEC document
August 20, 2024 Filed Aug 21, 2024 22:51 UTC
Dorsey BrianChief Operating Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $0.64 $0.00
Disclosure

SEC source: 0001415889-24-021886 · form4-08212024_100842.xml · derivative · entry 3

Dorsey Brian · CIK 0001380762 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 61,828

Underlying: Common Stock · 50,000 shares

Expires 2028-11-28

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.

F2 · derivative.exercise_date: Immediately exercisable.

Read SEC document
August 20, 2024 Filed Aug 21, 2024 22:51 UTC
Dorsey BrianChief Operating Officer
SaleCommon Stock 50,000 $15.00 $750,000.00
Disclosure

SEC source: 0001415889-24-021886 · form4-08212024_100842.xml · nonDerivative · entry 2

Dorsey Brian · CIK 0001380762 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,024

F1 · kind: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 31, 2023.

Read SEC document
August 20, 2024 Filed Aug 21, 2024 22:51 UTC
Dorsey BrianChief Operating Officer
Exercise / conversionCommon Stock 50,000 $0.64 $32,000.00
Disclosure

SEC source: 0001415889-24-021886 · form4-08212024_100842.xml · nonDerivative · entry 1

Dorsey Brian · CIK 0001380762 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 56,024

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
August 20, 2024 Filed Aug 21, 2024 22:49 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: 0001415889-24-021882 · form4-08212024_100844.xml · derivative · entry 3

Scott Kathleen D. · CIK 0001794284 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 814,830

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.

F3 · derivative.exercise_date: Immediately exercisable.

Read SEC document
August 20, 2024 Filed Aug 21, 2024 22:49 UTC
Scott Kathleen D.Chief Financial Officer
SaleCommon Stock 12,500 $16.00 $200,000.00
Disclosure

SEC source: 0001415889-24-021882 · form4-08212024_100844.xml · nonDerivative · entry 2

Scott Kathleen D. · CIK 0001794284 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,199

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
August 20, 2024 Filed Aug 21, 2024 22:49 UTC
Scott Kathleen D.Chief Financial Officer
Exercise / conversionCommon Stock 12,500 $1.50 $18,750.00
Disclosure

SEC source: 0001415889-24-021882 · form4-08212024_100844.xml · nonDerivative · entry 1

Scott Kathleen D. · CIK 0001794284 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,699

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: Includes 2,969 shares acquired under the Issuer's 2020 Employee Stock Purchase Plan ("ESPP") on June 30, 2023 and 1,980 shares acquired under the ESPP on June 28, 2024.

Read SEC document
August 20, 2024 Filed Aug 21, 2024 22:48 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 2,261 $16.25 $36,748.49
Disclosure

SEC source: 0001415889-24-021879 · form4-08212024_100846.xml · nonDerivative · entry 7

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: 1,498,499

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

F9 · price: The weighted average sale price for the transaction report was $16.2532 and the range of prices were between $16.12 and $16.34. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

F7 · 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
August 20, 2024 Filed Aug 21, 2024 22:48 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 11,523 $15.62 $180,028.44
Disclosure

SEC source: 0001415889-24-021879 · form4-08212024_100846.xml · nonDerivative · entry 6

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: 1,500,760

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

F8 · price: The weighted average sale price for the transaction report was $15.6234,and the range of prices were between $15.10 and $16.09. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

F7 · 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
August 20, 2024 Filed Aug 21, 2024 22:48 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 36,216 $14.76 $534,461.24
Disclosure

SEC source: 0001415889-24-021879 · form4-08212024_100846.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: 1,512,283

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

F6 · price: The weighted average sale price for the transaction report was $14.7576,and the range of prices were between $14.09 and $15.09. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

F7 · 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
August 20, 2024 Filed Aug 21, 2024 22:48 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 2,300 $16.26 $37,395.47
Disclosure

SEC source: 0001415889-24-021879 · form4-08212024_100846.xml · nonDerivative · entry 4

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: 1,497,447

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 report was $16.2589 and the range of prices were between $16.15 and $16.36. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

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

Read SEC document
August 20, 2024 Filed Aug 21, 2024 22:48 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 11,756 $15.61 $183,545.25
Disclosure

SEC source: 0001415889-24-021879 · form4-08212024_100846.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: 1,499,747

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 report was $15.6129 and the range of prices were between $15.10 and $16.09. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

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

Read SEC document
August 20, 2024 Filed Aug 21, 2024 22:48 UTC
Tanimoto SarinaCHIEF MEDICAL OFFICER · 10% owner
SaleCommon Stock 35,944 $14.76 $530,407.64
Disclosure

SEC source: 0001415889-24-021879 · form4-08212024_100846.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: 1,511,503

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 $14.7565 and the range of prices were between $14.09 and $15.09. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

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

Read SEC document
August 20, 2024 Filed Aug 21, 2024 22:47 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 2,261 $16.25 $36,748.49
Disclosure

SEC source: 0001415889-24-021877 · form4-08212024_100821.xml · nonDerivative · entry 7

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: 1,498,499

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

F9 · price: The weighted average sale price for the transaction report was $16.2532 and the range of prices were between $16.12 and $16.34. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

F7 · 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
August 20, 2024 Filed Aug 21, 2024 22:47 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 11,523 $15.62 $180,028.44
Disclosure

SEC source: 0001415889-24-021877 · form4-08212024_100821.xml · nonDerivative · entry 6

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: 1,500,760

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

F8 · price: The weighted average sale price for the transaction report was $15.6234,and the range of prices were between $15.10 and $16.09. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

F7 · 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
August 20, 2024 Filed Aug 21, 2024 22:47 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 36,216 $14.76 $534,461.24
Disclosure

SEC source: 0001415889-24-021877 · form4-08212024_100821.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: 1,512,283

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

F6 · price: The weighted average sale price for the transaction report was $14.7576,and the range of prices were between $14.09 and $15.09. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old at each separate price will be provided.

F7 · 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
August 20, 2024 Filed Aug 21, 2024 22:47 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 2,300 $16.26 $37,395.47
Disclosure

SEC source: 0001415889-24-021877 · form4-08212024_100821.xml · nonDerivative · entry 4

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: 1,497,447

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 report was $16.2589 and the range of prices were between $16.15 and $16.36. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old 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
August 20, 2024 Filed Aug 21, 2024 22:47 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 11,756 $15.61 $183,545.25
Disclosure

SEC source: 0001415889-24-021877 · form4-08212024_100821.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: 1,499,747

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 report was $15.6129 and the range of prices were between $15.10 and $16.09. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old 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
August 20, 2024 Filed Aug 21, 2024 22:47 UTC
Lowenthal Richard EDirector · PRESIDENT AND CEO · 10% owner
SaleCommon Stock 35,944 $14.76 $530,407.64
Disclosure

SEC source: 0001415889-24-021877 · form4-08212024_100821.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: 1,511,503

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 $14.7565 and the range of prices were between $14.09 and $15.09. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares old 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
August 19, 2024 Filed Aug 21, 2024 22:51 UTC
Karas EricChief Commercial Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001415889-24-021885 · form4-08212024_100803.xml · derivative · entry 3

Karas Eric · CIK 0001951287 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 604,588

Underlying: Common Stock · 10,000 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
August 19, 2024 Filed Aug 21, 2024 22:51 UTC
Karas EricChief Commercial Officer
SaleCommon Stock 10,000 $14.00 $140,000.00
Disclosure

SEC source: 0001415889-24-021885 · form4-08212024_100803.xml · nonDerivative · entry 2

Karas Eric · CIK 0001951287 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,693

F2 · kind: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 26, 2024.

Read SEC document
August 19, 2024 Filed Aug 21, 2024 22:51 UTC
Karas EricChief Commercial Officer
Exercise / conversionCommon Stock 10,000 $1.50 $15,000.00
Disclosure

SEC source: 0001415889-24-021885 · form4-08212024_100803.xml · nonDerivative · entry 1

Karas Eric · CIK 0001951287 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,693

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: Includes 1,984 shares acquired under the Issuer's 2020 Employee Stock Purchase Plan ("ESPP") on June 30, 2023, 1,232 shares acquired under the ESPP on December 29, 2023 and 2,477 shares acquired under the ESPP on June 28, 2024.

Read SEC document
August 13, 2024 Filed Aug 15, 2024 20:30 UTC
Dorsey BrianChief Operating Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $0.64 $0.00
Disclosure

SEC source: 0001415889-24-021364 · form4-08152024_040809.xml · derivative · entry 3

Dorsey Brian · CIK 0001380762 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 111,828

Underlying: Common Stock · 30,000 shares

Expires 2028-11-28

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.

F3 · derivative.exercise_date: Immediately exercisable.

Read SEC document
August 13, 2024 Filed Aug 15, 2024 20:30 UTC
Dorsey BrianChief Operating Officer
SaleCommon Stock 30,000 $13.00 $390,000.00
Disclosure

SEC source: 0001415889-24-021364 · form4-08152024_040809.xml · nonDerivative · entry 2

Dorsey Brian · CIK 0001380762 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,024

F2 · kind: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 31, 2023.

Read SEC document
August 13, 2024 Filed Aug 15, 2024 20:30 UTC
Dorsey BrianChief Operating Officer
Exercise / conversionCommon Stock 30,000 $0.64 $19,200.00
Disclosure

SEC source: 0001415889-24-021364 · form4-08152024_040809.xml · nonDerivative · entry 1

Dorsey Brian · CIK 0001380762 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 36,024

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: Includes 2,159 shares acquired under the Issuer's 2020 Employee Stock Purchase Plan ("ESPP") on June 30, 2023, 1,013 shares acquired under the ESPP on December 29, 2023 and 2,852 shares acquired under the ESPP on June 29, 2024.

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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.