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Nasdaq · USD

STRO

SUTRO BIOPHARMA, INC.

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5797
SEC CIK
0001382101
Parsed reports
335

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 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
May 01, 2023 Filed May 2, 2023 22:51 UTC
Srinivasan VenkateshChief Tech Op Officer
GrantStock Option (right to buy Common Stock) · Derivative 7,500 $0.00 Strike: $4.58 $0.00
Disclosure

SEC source: 0001209191-23-026736 · doc4.xml · derivative · entry 1

Srinivasan Venkatesh · CIK 0001974888 · Chief Tech Op Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2033-05-01

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on June 1, 2023, with 100% of the total shares vested and exercisable on May 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
April 14, 2023 Filed Apr 17, 2023 18:53 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-024550 · doc4.xml · derivative · entry 3

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 3,750 shares

Expires 2025-04-16

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

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on April 16, 2022, subject to continued service through each vesting date.

Read SEC document
April 14, 2023 Filed Apr 17, 2023 18:53 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
Tax withholdingCommon Stock 1,296 $4.40 $5,702.40
Disclosure

SEC source: 0001209191-23-024550 · doc4.xml · nonDerivative · entry 2

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,368

F1 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
April 14, 2023 Filed Apr 17, 2023 18:53 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
Exercise / conversionCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-024550 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,664

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
March 15, 2023 Filed Mar 17, 2023 20:05 UTC
Borgman Anne ElizabethChief Medical Officer
GrantRestricted Stock Unit (RSU) · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-019599 · doc4.xml · derivative · entry 2

Borgman Anne Elizabeth · CIK 0001886388 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-02-28

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on February 28, 2024, subject to continued service through each vesting date.

Read SEC document
March 15, 2023 Filed Mar 17, 2023 20:05 UTC
Borgman Anne ElizabethChief Medical Officer
GrantStock Option (right to buy Common Stock) · Derivative 175,000 $0.00 Strike: $5.40 $0.00
Disclosure

SEC source: 0001209191-23-019599 · doc4.xml · derivative · entry 1

Borgman Anne Elizabeth · CIK 0001886388 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2033-02-27

F1 · derivative.exercise_date: The option vests as to 1/4th of the total shares on February 28, 2024 and then 1/48th of the total shares vest monthly thereafter, with 100% of the total shares vested and exercisable on February 28, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:46 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016794 · doc4.xml · derivative · entry 7

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 5,500 shares

Expires 2025-03-05

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F6 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:46 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016794 · doc4.xml · derivative · entry 6

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,250

Underlying: Common Stock · 6,750 shares

Expires 2026-03-04

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 4, 2023, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:46 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
GrantRestricted Stock Unit (RSU) · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016794 · doc4.xml · derivative · entry 5

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-03-01

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F4 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 1, 2024, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:46 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
GrantStock Option (right to buy Common Stock) · Derivative 35,000 $0.00 Strike: $5.79 $0.00
Disclosure

SEC source: 0001209191-23-016794 · doc4.xml · derivative · entry 4

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-02-28

F3 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 1, 2023, with 100% of the total shares vested and exercisable on March 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:46 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
Tax withholdingCommon Stock 4,990 $5.79 $28,892.10
Disclosure

SEC source: 0001209191-23-016794 · doc4.xml · nonDerivative · entry 3

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,861

F2 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:46 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
Exercise / conversionCommon Stock 5,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016794 · doc4.xml · nonDerivative · entry 2

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,851

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:46 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
Exercise / conversionCommon Stock 6,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016794 · doc4.xml · nonDerivative · entry 1

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,351

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:26 UTC
Chung JaneChief Commercial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,875 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016742 · doc4.xml · derivative · entry 5

Chung Jane · CIK 0001872398 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,625

Underlying: Common Stock · 7,875 shares

Expires 2026-03-04

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 4, 2023, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:26 UTC
Chung JaneChief Commercial Officer
GrantRestricted Stock Unit (RSU) · Derivative 27,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016742 · doc4.xml · derivative · entry 4

Chung Jane · CIK 0001872398 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2027-03-01

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F4 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 1, 2024, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:26 UTC
Chung JaneChief Commercial Officer
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $5.79 $0.00
Disclosure

SEC source: 0001209191-23-016742 · doc4.xml · derivative · entry 3

Chung Jane · CIK 0001872398 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-02-28

F3 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 1, 2023, with 100% of the total shares vested and exercisable on March 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:26 UTC
Chung JaneChief Commercial Officer
Tax withholdingCommon Stock 3,211 $5.79 $18,591.69
Disclosure

SEC source: 0001209191-23-016742 · doc4.xml · nonDerivative · entry 2

Chung Jane · CIK 0001872398 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,431

F2 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:26 UTC
Chung JaneChief Commercial Officer
Exercise / conversionCommon Stock 7,875 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016742 · doc4.xml · nonDerivative · entry 1

Chung Jane · CIK 0001872398 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,642

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:24 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016739 · doc4.xml · derivative · entry 6

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 8,750 shares

Expires 2025-03-05

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:24 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,875 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016739 · doc4.xml · derivative · entry 5

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,625

Underlying: Common Stock · 7,875 shares

Expires 2026-03-04

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F4 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 4, 2023, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:24 UTC
Shabbir AnikChief Technical Ops. Officer
GrantRestricted Stock Unit (RSU) · Derivative 40,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016739 · doc4.xml · derivative · entry 4

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2025-03-01

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/2 of the total shares annually beginning on March 1, 2024, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:24 UTC
Shabbir AnikChief Technical Ops. Officer
Tax withholdingCommon Stock 6,222 $5.79 $36,025.38
Disclosure

SEC source: 0001209191-23-016739 · doc4.xml · nonDerivative · entry 3

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,827

F2 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:24 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionCommon Stock 8,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016739 · doc4.xml · nonDerivative · entry 2

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,049

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:24 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionCommon Stock 7,875 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016739 · doc4.xml · nonDerivative · entry 1

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,299

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:22 UTC
ALBINI EDWARD CCFO and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016736 · doc4.xml · derivative · entry 7

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 8,750 shares

Expires 2025-03-05

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F6 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:22 UTC
ALBINI EDWARD CCFO and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016736 · doc4.xml · derivative · entry 6

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,375

Underlying: Common Stock · 9,125 shares

Expires 2026-03-04

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 4, 2023, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:22 UTC
ALBINI EDWARD CCFO and Secretary
GrantRestricted Stock Unit (RSU) · Derivative 31,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016736 · doc4.xml · derivative · entry 5

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,500

Underlying: Common Stock · 31,500 shares

Expires 2027-03-01

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F4 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 1, 2024, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:22 UTC
ALBINI EDWARD CCFO and Secretary
GrantStock Option (right to buy Common Stock) · Derivative 47,000 $0.00 Strike: $5.79 $0.00
Disclosure

SEC source: 0001209191-23-016736 · doc4.xml · derivative · entry 4

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,000

Underlying: Common Stock · 47,000 shares

Expires 2033-02-28

F3 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 1, 2023, with 100% of the total shares vested and exercisable on March 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:22 UTC
ALBINI EDWARD CCFO and Secretary
Tax withholdingCommon Stock 6,588 $5.79 $38,144.52
Disclosure

SEC source: 0001209191-23-016736 · doc4.xml · nonDerivative · entry 3

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,693

F2 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:22 UTC
ALBINI EDWARD CCFO and Secretary
Exercise / conversionCommon Stock 8,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016736 · doc4.xml · nonDerivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,281

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:22 UTC
ALBINI EDWARD CCFO and Secretary
Exercise / conversionCommon Stock 9,125 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016736 · doc4.xml · nonDerivative · entry 1

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,531

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:28 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016747 · doc4.xml · derivative · entry 8

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 8,750 shares

Expires 2025-03-05

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F7 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:28 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016747 · doc4.xml · derivative · entry 7

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,375

Underlying: Common Stock · 9,125 shares

Expires 2026-03-04

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F6 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 4, 2023, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:28 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
GrantRestricted Stock Unit (RSU) · Derivative 27,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016747 · doc4.xml · derivative · entry 6

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2027-03-01

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 1, 2024, subject to continued service through each vesting date.

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March 03, 2023 Filed Mar 7, 2023 16:28 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
GrantStock Option (right to buy Common Stock) · Derivative 40,000 $0.00 Strike: $5.79 $0.00
Disclosure

SEC source: 0001209191-23-016747 · doc4.xml · derivative · entry 5

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-02-28

F4 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 1, 2023, with 100% of the total shares vested and exercisable on March 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

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March 03, 2023 Filed Mar 7, 2023 16:28 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Tax withholdingCommon Stock 6,395 $5.79 $37,027.05
Disclosure

SEC source: 0001209191-23-016747 · doc4.xml · nonDerivative · entry 3

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,690

F2 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

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March 03, 2023 Filed Mar 7, 2023 16:28 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionCommon Stock 8,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016747 · doc4.xml · nonDerivative · entry 2

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,085

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:28 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionCommon Stock 9,125 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016747 · doc4.xml · nonDerivative · entry 1

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,335

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:56 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 18,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016809 · doc4.xml · derivative · entry 8

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 18,750 shares

Expires 2025-03-05

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F7 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:56 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 31,125 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016809 · doc4.xml · derivative · entry 7

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,375

Underlying: Common Stock · 31,125 shares

Expires 2026-03-04

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F6 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 4, 2023, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:56 UTC
NEWELL WILLIAM JDirector · CEO
GrantRestricted Stock Unit (RSU) · Derivative 95,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016809 · doc4.xml · derivative · entry 6

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2027-03-01

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 1, 2024, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:56 UTC
NEWELL WILLIAM JDirector · CEO
GrantStock Option (right to buy Common Stock) · Derivative 125,000 $0.00 Strike: $5.79 $0.00
Disclosure

SEC source: 0001209191-23-016809 · doc4.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2033-02-28

F4 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 1, 2023, with 100% of the total shares vested and exercisable on March 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:56 UTC
NEWELL WILLIAM JDirector · CEO
Tax withholdingCommon Stock 17,246 $5.79 $99,854.34
Disclosure

SEC source: 0001209191-23-016809 · doc4.xml · nonDerivative · entry 3

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,816

F2 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:56 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionCommon Stock 18,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016809 · doc4.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,062

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:56 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionCommon Stock 31,125 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-23-016809 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,312

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 · price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:30 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 12,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016751 · doc4.xml · derivative · entry 7

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 12,500 shares

Expires 2025-03-05

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F6 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:30 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016751 · doc4.xml · derivative · entry 6

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 9,750 shares

Expires 2026-03-04

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 4, 2023, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:30 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
GrantRestricted Stock Unit (RSU) · Derivative 40,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016751 · doc4.xml · derivative · entry 5

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-03-01

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F4 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 1, 2024, subject to continued service through each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:30 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
GrantStock Option (right to buy Common Stock) · Derivative 50,000 $0.00 Strike: $5.79 $0.00
Disclosure

SEC source: 0001209191-23-016751 · doc4.xml · derivative · entry 4

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-02-28

F3 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 1, 2023, with 100% of the total shares vested and exercisable on March 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 16:30 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
Tax withholdingCommon Stock 7,717 $5.79 $44,681.43
Disclosure

SEC source: 0001209191-23-016751 · doc4.xml · nonDerivative · entry 3

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,914

F2 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

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.