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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
Oct 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
August 04, 2023 Filed Aug 7, 2023 21:05 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 18,897 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-044845 · doc4.xml · derivative · entry 6

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,997

Underlying: Common Stock · 18,897 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.

F4 · derivative.exercise_date: Immediately exercisable.

Read SEC document
August 04, 2023 Filed Aug 7, 2023 21:05 UTC SaleCommon Stock 18,897 $7.06 $133,471.40
Disclosure

SEC source: 0001209191-23-044845 · doc4.xml · nonDerivative · entry 4

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.96 to $7.22, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth herein.

Read SEC document
August 04, 2023 Filed Aug 7, 2023 21:05 UTC Exercise / conversionCommon Stock 18,897 $1.27 $23,999.19
Disclosure

SEC source: 0001209191-23-044845 · doc4.xml · nonDerivative · entry 3

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 229,243

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 03, 2023 Filed Aug 7, 2023 21:05 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 26,017 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-044845 · doc4.xml · derivative · entry 5

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 21,894

Underlying: Common Stock · 26,107 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.

F4 · derivative.exercise_date: Immediately exercisable.

Read SEC document
August 03, 2023 Filed Aug 7, 2023 21:05 UTC SaleCommon Stock 26,107 $7.01 $183,017.90
Disclosure

SEC source: 0001209191-23-044845 · doc4.xml · nonDerivative · entry 2

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.90 to $7.10, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth herein.

Read SEC document
August 03, 2023 Filed Aug 7, 2023 21:05 UTC Exercise / conversionCommon Stock 26,107 $1.27 $33,155.89
Disclosure

SEC source: 0001209191-23-044845 · doc4.xml · nonDerivative · entry 1

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 236,453

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 02, 2023 Filed Aug 3, 2023 22:03 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 36,281 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-044534 · doc4.xml · derivative · entry 6

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 48,001

Underlying: Common Stock · 36,281 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.

F4 · derivative.exercise_date: Immediately exercisable.

Read SEC document
August 02, 2023 Filed Aug 3, 2023 22:03 UTC SaleCommon Stock 36,281 $7.09 $257,264.94
Disclosure

SEC source: 0001209191-23-044534 · doc4.xml · nonDerivative · entry 4

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.95 to $7.23, inclusive. The Reporting Person undertakes to provide the 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 price within the range set forth herein.

Read SEC document
August 02, 2023 Filed Aug 3, 2023 22:03 UTC Exercise / conversionCommon Stock 36,281 $1.27 $46,076.87
Disclosure

SEC source: 0001209191-23-044534 · doc4.xml · nonDerivative · entry 3

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 246,627

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 01, 2023 Filed Aug 3, 2023 22:03 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 18,715 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-044534 · doc4.xml · derivative · entry 5

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 84,282

Underlying: Common Stock · 18,715 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.

F4 · derivative.exercise_date: Immediately exercisable.

Read SEC document
August 01, 2023 Filed Aug 3, 2023 22:03 UTC SaleCommon Stock 18,715 $7.19 $134,575.82
Disclosure

SEC source: 0001209191-23-044534 · doc4.xml · nonDerivative · entry 2

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $7.11 to $7.33, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth herein.

Read SEC document
August 01, 2023 Filed Aug 3, 2023 22:03 UTC Exercise / conversionCommon Stock 18,715 $1.27 $23,768.05
Disclosure

SEC source: 0001209191-23-044534 · doc4.xml · nonDerivative · entry 1

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 229,061

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
July 07, 2023 Filed Jul 8, 2023 00:16 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 8,858 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-041866 · doc4.xml · derivative · entry 3

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,997

Underlying: Common Stock · 8,858 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.

F3 · derivative.exercise_date: Immediately exercisable.

Read SEC document
July 07, 2023 Filed Jul 8, 2023 00:16 UTC SaleCommon Stock 8,858 $6.36 $56,372.31
Disclosure

SEC source: 0001209191-23-041866 · doc4.xml · nonDerivative · entry 2

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.21 to $6.56, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth herein.

Read SEC document
July 07, 2023 Filed Jul 8, 2023 00:16 UTC Exercise / conversionCommon Stock 8,858 $1.27 $11,249.66
Disclosure

SEC source: 0001209191-23-041866 · doc4.xml · nonDerivative · entry 1

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 219,204

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
July 06, 2023 Filed Jul 7, 2023 00:55 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 33,510 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · derivative · entry 9

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,855

Underlying: Common Stock · 33,510 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.

F5 · derivative.exercise_date: Immediately exercisable.

Read SEC document
July 06, 2023 Filed Jul 7, 2023 00:55 UTC SaleCommon Stock 33,510 $6.34 $212,553.93
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · nonDerivative · entry 6

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.10 to $6.45, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth herein.

Read SEC document
July 06, 2023 Filed Jul 7, 2023 00:55 UTC Exercise / conversionCommon Stock 33,510 $1.27 $42,557.70
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · nonDerivative · entry 5

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,856

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
July 05, 2023 Filed Jul 7, 2023 00:55 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 31,112 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · derivative · entry 8

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,365

Underlying: Common Stock · 31,112 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.

F5 · derivative.exercise_date: Immediately exercisable.

Read SEC document
July 05, 2023 Filed Jul 7, 2023 00:55 UTC SaleCommon Stock 31,112 $6.41 $199,552.37
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · nonDerivative · entry 4

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.21 to $6.75, inclusive. The Reporting Person undertakes to provide the 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 price within the range set forth herein.

Read SEC document
July 05, 2023 Filed Jul 7, 2023 00:55 UTC Exercise / conversionCommon Stock 31,112 $1.27 $39,512.24
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · nonDerivative · entry 3

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 241,458

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
July 03, 2023 Filed Jul 7, 2023 00:55 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 26,520 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · derivative · entry 7

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,477

Underlying: Common Stock · 26,520 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.

F5 · derivative.exercise_date: Immediately exercisable.

Read SEC document
July 03, 2023 Filed Jul 7, 2023 00:55 UTC SaleCommon Stock 26,520 $6.73 $178,347.00
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · nonDerivative · entry 2

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.62 to $6.81, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth herein.

Read SEC document
July 03, 2023 Filed Jul 7, 2023 00:55 UTC Exercise / conversionCommon Stock 26,520 $1.27 $33,680.40
Disclosure

SEC source: 0001209191-23-041716 · doc4.xml · nonDerivative · entry 1

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,866

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
June 27, 2023 Filed Jun 29, 2023 01:03 UTC
Dadoo RajeevDirector
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001209191-23-040115 · doc4.xml · derivative · entry 1

Dadoo Rajeev · CIK 0001951685 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 01:00 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001104659-23-075962 · tm2320008-1_4seq1.xml · derivative · entry 1

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · Director

RA Capital Healthcare Fund LP · CIK 0001315082 · Director

RA Capital Nexus Fund II, L.P. · CIK 0001825376 · Director

Kolchinsky Peter · CIK 0001384859 · Director

Shah Rajeev M. · CIK 0001619841 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

F1 · ownership.nature: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

F2 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for RA Capital Healthcare Fund, L.P. (the "Fund") and RA Capital Nexus Fund II, L.P. (the "Nexus Fund II"). The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah disclaim beneficial ownership of any of the reported securities, except to the extent of their pecuniary interest therein.

F3 · ownership.nature: Under Dr. Kolchinsky's arrangement with the Adviser, Dr. Kolchinsky holds the option for the benefit of the Fund and the Nexus Fund II. Dr. Kolchinsky is obligated to turn over to the Adviser any net cash or stock received upon exercise of the option, which will offset advisory fees owed by the Fund and the Nexus Fund II to the Adviser. The Reporting Persons therefore disclaim beneficial ownership of the option and underlying common stock except to the extent of their pecuniary interest.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 01:00 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001209191-23-040113 · doc4.xml · derivative · entry 1

Kelly Michael · CIK 0001952533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 01:00 UTC
Shah PratikDirector · 10% owner
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001209191-23-040112 · doc4.xml · derivative · entry 1

Shah Pratik · CIK 0001580787 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 01:00 UTC
Thompson Peter A.Director · 10% owner
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001209191-23-040111 · doc4.xml · derivative · entry 1

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 01:00 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001209191-23-040110 · doc4.xml · derivative · entry 1

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 01:00 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001209191-23-040109 · doc4.xml · derivative · entry 1

SAUNDERS BRENT L · CIK 0001268854 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 01:00 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001209191-23-040108 · doc4.xml · derivative · entry 1

SCHNEIDER PHILLIP M · CIK 0001230051 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

Read SEC document
June 27, 2023 Filed Jun 29, 2023 01:00 UTC
Islam SaqibDirector
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $6.50 $0.00
Disclosure

SEC source: 0001209191-23-040107 · doc4.xml · derivative · entry 1

Islam Saqib · CIK 0001575408 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-26

F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 27, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, which date has not been set by the Issuer's Board of Directors.

Read SEC document
June 02, 2023 Filed Jun 2, 2023 23:48 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 26,941 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-034090 · doc4.xml · derivative · entry 6

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 202,997

Underlying: Common Stock · 26,941 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.

F4 · derivative.exercise_date: Immediately exercisable.

Read SEC document
June 02, 2023 Filed Jun 2, 2023 23:48 UTC SaleCommon Stock 26,941 $6.95 $187,239.95
Disclosure

SEC source: 0001209191-23-034090 · doc4.xml · nonDerivative · entry 4

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.73 to $7.22, inclusive. The Reporting Person undertakes to provide the 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 price within the range set forth herein.

Read SEC document
June 02, 2023 Filed Jun 2, 2023 23:48 UTC Exercise / conversionCommon Stock 26,941 $1.27 $34,215.07
Disclosure

SEC source: 0001209191-23-034090 · doc4.xml · nonDerivative · entry 3

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 237,287

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
June 01, 2023 Filed Jun 2, 2023 23:48 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 73,059 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-034090 · doc4.xml · derivative · entry 5

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 229,938

Underlying: Common Stock · 73,059 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.

F4 · derivative.exercise_date: Immediately exercisable.

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June 01, 2023 Filed Jun 2, 2023 23:48 UTC SaleCommon Stock 73,059 $6.80 $496,801.20
Disclosure

SEC source: 0001209191-23-034090 · doc4.xml · nonDerivative · entry 2

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F1 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.60 to $7.07, inclusive. The Reporting Person undertakes to provide 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 price within the range set forth herein.

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June 01, 2023 Filed Jun 2, 2023 23:48 UTC Exercise / conversionCommon Stock 73,059 $1.27 $92,784.93
Disclosure

SEC source: 0001209191-23-034090 · doc4.xml · nonDerivative · entry 1

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 283,405

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

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May 17, 2023 Filed Jan 4, 2024 21:53 UTC
Lowenthal Richard EDirector · President and CEO · 10% owner
GiftCommon Stock 1,050,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000825 · doc4.xml · nonDerivative · entry 4

Lowenthal Richard E · CIK 0001378550 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

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

Disclosed balance after: 2,100,000

F1 · ownership.nature: These shares are held in a trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are trustees of the trust.

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May 17, 2023 Filed Jan 4, 2024 21:53 UTC
Lowenthal Richard EDirector · President and CEO · 10% owner
GiftCommon Stock 1,050,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000825 · doc4.xml · nonDerivative · entry 3

Lowenthal Richard E · CIK 0001378550 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 3,276,854

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May 17, 2023 Filed Jan 4, 2024 21:53 UTC
Lowenthal Richard EDirector · President and CEO · 10% owner
GiftCommon Stock 1,050,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000825 · doc4.xml · nonDerivative · entry 2

Lowenthal Richard E · CIK 0001378550 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

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

Disclosed balance after: 1,050,000

F1 · ownership.nature: These shares are held in a trust for the benefit of the Reporting Person and his spouse. The Reporting Person and his spouse are trustees of the trust.

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May 17, 2023 Filed Jan 4, 2024 21:53 UTC
Lowenthal Richard EDirector · President and CEO · 10% owner
GiftCommon Stock 1,050,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000825 · doc4.xml · nonDerivative · entry 1

Lowenthal Richard E · CIK 0001378550 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,126,822

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May 17, 2023 Filed Jan 4, 2024 21:45 UTC
Tanimoto SarinaChief Medical Officer · 10% owner
GiftCommon Stock 1,050,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000815 · doc4.xml · nonDerivative · entry 4

Tanimoto Sarina · CIK 0001951291 · Chief Medical Officer · 10% owner

10b5-1 filing: No plan indicated

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

Disclosed balance after: 2,100,000

F1 · ownership.nature: These shares are held in a trust for the benefit of the Reporting Person and her spouse. The Reporting Person and her spouse are trustees of the trust.

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May 17, 2023 Filed Jan 4, 2024 21:45 UTC
Tanimoto SarinaChief Medical Officer · 10% owner
GiftCommon Stock 1,050,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000815 · doc4.xml · nonDerivative · entry 3

Tanimoto Sarina · CIK 0001951291 · Chief Medical Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 4,126,822

F2 · balance_after: The Form 4 filed November 10, 2022 inadvertently omitted 849,968 shares indirectly owned by the Reporting Person. The omitted shares are directly owned by the Reporting Person's spouse and were properly reported on his Form 4 filed November 10, 2022. The amount listed in Column 5 has been adjusted to reflect the correct holdings after giving effect to the May 17, 2023 gift transaction.

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May 17, 2023 Filed Jan 4, 2024 21:45 UTC
Tanimoto SarinaChief Medical Officer · 10% owner
GiftCommon Stock 1,050,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000815 · doc4.xml · nonDerivative · entry 2

Tanimoto Sarina · CIK 0001951291 · Chief Medical Officer · 10% owner

10b5-1 filing: No plan indicated

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

Disclosed balance after: 1,050,000

F1 · ownership.nature: These shares are held in a 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
May 17, 2023 Filed Jan 4, 2024 21:45 UTC
Tanimoto SarinaChief Medical Officer · 10% owner
GiftCommon Stock 1,050,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-24-000815 · doc4.xml · nonDerivative · entry 1

Tanimoto Sarina · CIK 0001951291 · Chief Medical Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,276,854

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May 09, 2023 Filed May 10, 2023 20:53 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 42,900 $0.00 Strike: $1.27 $0.00
Disclosure

SEC source: 0001209191-23-028507 · doc4.xml · derivative · entry 7

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 302,997

Underlying: Common Stock · 42,900 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.

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May 09, 2023 Filed May 10, 2023 20:53 UTC SaleCommon Stock 42,900 $5.31 $227,799.00
Disclosure

SEC source: 0001209191-23-028507 · doc4.xml · nonDerivative · entry 5

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 210,346

F3 · kind: The sales reported on this Form 4 were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2022.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $5.00 to $5.92, inclusive. The Reporting Person undertakes to provide the 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 price within the range set forth herein.

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May 09, 2023 Filed May 10, 2023 20:53 UTC Exercise / conversionCommon Stock 42,900 $1.27 $54,483.00
Disclosure

SEC source: 0001209191-23-028507 · doc4.xml · nonDerivative · entry 4

Shawver Laura · CIK 0001551891 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 253,246

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

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