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TARA

Protara Therapeutics, Inc.

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Tapewire entity
6203
SEC CIK
0001359931
Parsed reports
309

Last 12 months

Inside the activity.

0 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 07, 2024 Filed Jun 10, 2024 22:00 UTC
Huang JaneDirector
GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.67 $0.00
Disclosure

SEC source: 0001213900-24-051377 · marketforms-66260.xml · derivative · entry 1

Huang Jane · CIK 0001683913 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 22:00 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.67 $0.00
Disclosure

SEC source: 0001213900-24-051378 · marketforms-66261.xml · derivative · entry 1

Levy Richard S · CIK 0001454983 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 22:00 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.67 $0.00
Disclosure

SEC source: 0001213900-24-051376 · marketforms-66259.xml · derivative · entry 1

GARCEAU ROGER · CIK 0001451767 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 22:00 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.67 $0.00
Disclosure

SEC source: 0001213900-24-051379 · marketforms-66262.xml · derivative · entry 1

SARGEN GREGORY · CIK 0001227835 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 22:00 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.67 $0.00
Disclosure

SEC source: 0001213900-24-051375 · marketforms-66258.xml · derivative · entry 1

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 22:00 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.67 $0.00
Disclosure

SEC source: 0001213900-24-051382 · marketforms-66265.xml · derivative · entry 1

Flannelly Barry P · CIK 0001615842 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 22:00 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.67 $0.00
Disclosure

SEC source: 0001213900-24-051381 · marketforms-66263.xml · derivative · entry 1

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
May 31, 2024 Filed May 31, 2024 20:05 UTC SaleCommon Stock, par value $0.001 per share 5,824 $2.90 $16,894.84
Disclosure

SEC source: 0001493152-24-022195 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 108,696

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.9007-$2.9011 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

Read SEC document
May 30, 2024 Filed May 31, 2024 20:05 UTC SaleCommon Stock, par value $0.001 per share 9,230 $2.94 $27,113.13
Disclosure

SEC source: 0001493152-24-022195 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 114,520

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.90-$2.98 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

Read SEC document
May 22, 2024 Filed May 23, 2024 23:01 UTC SaleCommon Stock, par value $0.001 per share 500 $3.00 $1,501.05
Disclosure

SEC source: 0001493152-24-021230 · ownership.xml · nonDerivative · entry 4

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 123,750

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00-$3.03 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

Read SEC document
May 22, 2024 Filed May 23, 2024 23:01 UTC SaleCommon Stock, par value $0.001 per share 9,300 $3.02 $28,095.30
Disclosure

SEC source: 0001493152-24-021230 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 2,272,859

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00-$3.03 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

Read SEC document
May 21, 2024 Filed May 23, 2024 23:01 UTC SaleCommon Stock, par value $0.001 per share 1,800 $3.06 $5,500.26
Disclosure

SEC source: 0001493152-24-021230 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 124,250

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.01-$3.17 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

Read SEC document
May 21, 2024 Filed May 23, 2024 23:01 UTC SaleCommon Stock, par value $0.001 per share 31,200 $3.06 $95,337.84
Disclosure

SEC source: 0001493152-24-021230 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,282,159

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.01-$3.17 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

Read SEC document
May 17, 2024 Filed May 17, 2024 23:48 UTC SaleCommon Stock, par value $0.001 per share 1,200 $3.06 $3,672.72
Disclosure

SEC source: 0001493152-24-020507 · ownership.xml · nonDerivative · entry 4

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 126,050

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00-$3.10 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

Read SEC document
May 17, 2024 Filed May 17, 2024 23:48 UTC SaleCommon Stock, par value $0.001 per share 2,750 $3.33 $9,152.28
Disclosure

SEC source: 0001493152-24-020507 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 127,250

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.01-$3.60 inclusive. The reporting person undertakes to provide,upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

Read SEC document
May 17, 2024 Filed May 17, 2024 23:48 UTC SaleCommon Stock, par value $0.001 per share 19,685 $3.06 $60,247.91
Disclosure

SEC source: 0001493152-24-020507 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,313,359

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00-$3.10 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

Read SEC document
May 17, 2024 Filed May 17, 2024 23:48 UTC SaleCommon Stock, par value $0.001 per share 47,250 $3.33 $157,252.73
Disclosure

SEC source: 0001493152-24-020507 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,333,044

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.01-$3.60 inclusive. The reporting person undertakes to provide,upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

Read SEC document
May 10, 2024 Filed May 10, 2024 22:57 UTC SaleCommon Stock, par value $0.001 per share 151,700 $3.11 $472,424.14
Disclosure

SEC source: 0001493152-24-018723 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,380,294

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00-$3.20 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

Read SEC document
May 09, 2024 Filed May 10, 2024 22:57 UTC SaleCommon Stock, par value $0.001 per share 30,600 $3.09 $94,526.46
Disclosure

SEC source: 0001493152-24-018723 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,531,994

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.05-$3.15 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Zummo JacquelineChf Scientific Operations Off
GrantStock Option (Right to Buy) · Derivative 137,000 $0.00 Strike: $1.91 $0.00
Disclosure

SEC source: 0001213900-24-005724 · marketforms-64336.xml · derivative · entry 3

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,000

Underlying: Common Stock · 137,000 shares

Expires 2034-01-18

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 19, 2024 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Zummo JacquelineChf Scientific Operations Off
Tax withholdingCommon Stock 3,049 $1.91 $5,823.59
Disclosure

SEC source: 0001213900-24-005724 · marketforms-64336.xml · nonDerivative · entry 2

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,296

F3 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 19, 2023.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Zummo JacquelineChf Scientific Operations Off
GrantCommon Stock 23,000 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-005724 · marketforms-64336.xml · nonDerivative · entry 1

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,345

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 19, 2024.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Fabbio PatrickChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 131,000 $0.00 Strike: $1.91 $0.00
Disclosure

SEC source: 0001213900-24-005723 · marketforms-64339.xml · derivative · entry 2

Fabbio Patrick · CIK 0001658859 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,000

Underlying: Common Stock · 131,000 shares

Expires 2034-01-18

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 19, 2024 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Fabbio PatrickChief Financial Officer
GrantCommon Stock 22,000 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-005723 · marketforms-64339.xml · nonDerivative · entry 1

Fabbio Patrick · CIK 0001658859 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,000

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 19, 2024.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Shefferman JesseDirector · CEO and President
GrantStock Option (Right to Buy) · Derivative 357,000 $0.00 Strike: $1.91 $0.00
Disclosure

SEC source: 0001213900-24-005725 · marketforms-64334.xml · derivative · entry 3

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 357,000

Underlying: Common Stock · 357,000 shares

Expires 2034-01-18

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 19, 2024 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Shefferman JesseDirector · CEO and President
Tax withholdingCommon Stock 7,803 $1.91 $14,903.73
Disclosure

SEC source: 0001213900-24-005725 · marketforms-64334.xml · nonDerivative · entry 2

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 944,064

F3 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 19, 2023.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Shefferman JesseDirector · CEO and President
GrantCommon Stock 59,000 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-005725 · marketforms-64334.xml · nonDerivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 951,867

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 19, 2024.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Bandari JathinChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 137,000 $0.00 Strike: $1.91 $0.00
Disclosure

SEC source: 0001213900-24-005726 · marketforms-64335.xml · derivative · entry 3

Bandari Jathin · CIK 0001903622 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,000

Underlying: Common Stock · 137,000 shares

Expires 2034-01-18

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 19, 2024 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Bandari JathinChief Medical Officer
Tax withholdingCommon Stock 2,879 $1.91 $5,498.89
Disclosure

SEC source: 0001213900-24-005726 · marketforms-64335.xml · nonDerivative · entry 2

Bandari Jathin · CIK 0001903622 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,704

F3 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 19, 2023.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Bandari JathinChief Medical Officer
GrantCommon Stock 23,000 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-005726 · marketforms-64335.xml · nonDerivative · entry 1

Bandari Jathin · CIK 0001903622 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,583

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 19, 2024.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Fry HannahVP, Controller
GrantStock Option (Right to Buy) · Derivative 46,000 $0.00 Strike: $1.91 $0.00
Disclosure

SEC source: 0001213900-24-005722 · marketforms-64340.xml · derivative · entry 3

Fry Hannah · CIK 0001938146 · VP, Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,000

Underlying: Common Stock · 46,000 shares

Expires 2034-01-18

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 19, 2024 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Fry HannahVP, Controller
Tax withholdingCommon Stock 904 $1.91 $1,726.64
Disclosure

SEC source: 0001213900-24-005722 · marketforms-64340.xml · nonDerivative · entry 2

Fry Hannah · CIK 0001938146 · VP, Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,836

F3 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 19, 2023.

Read SEC document
January 19, 2024 Filed Jan 23, 2024 21:05 UTC
Fry HannahVP, Controller
GrantCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001213900-24-005722 · marketforms-64340.xml · nonDerivative · entry 1

Fry Hannah · CIK 0001938146 · VP, Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,740

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 19, 2024.

Read SEC document
January 10, 2024 Filed Jan 12, 2024 21:05 UTC
Zummo JacquelineChf Scientific Operations Off
Tax withholdingCommon Stock 5,229 $2.39 $12,497.31
Disclosure

SEC source: 0001213900-24-003335 · marketforms-64051.xml · nonDerivative · entry 1

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,345

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 10, 2020.

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January 10, 2024 Filed Jan 12, 2024 21:05 UTC
Shefferman JesseDirector · CEO and President
Tax withholdingCommon Stock 5,746 $2.39 $13,732.94
Disclosure

SEC source: 0001213900-24-003336 · marketforms-64052.xml · nonDerivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 892,867

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 10, 2020.

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January 10, 2024 Filed Jan 12, 2024 21:05 UTC
Bandari JathinChief Medical Officer
Tax withholdingCommon Stock 1,877 $2.39 $4,486.03
Disclosure

SEC source: 0001213900-24-003334 · marketforms-64050.xml · nonDerivative · entry 1

Bandari Jathin · CIK 0001903622 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,583

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 10, 2022.

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January 03, 2024 Filed Jan 5, 2024 21:35 UTC
Zummo JacquelineChf Scientific Operations Off
Tax withholdingCommon Stock 1,899 $2.17 $4,120.83
Disclosure

SEC source: 0001213900-24-001546 · marketforms-63997.xml · nonDerivative · entry 1

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,574

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 3, 2022.

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January 03, 2024 Filed Jan 5, 2024 21:30 UTC
Shefferman JesseDirector · CEO and President
Tax withholdingCommon Stock 5,840 $2.17 $12,672.80
Disclosure

SEC source: 0001213900-24-001541 · marketforms-63998.xml · nonDerivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 898,613

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 3, 2022.

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January 03, 2024 Filed Jan 5, 2024 21:05 UTC
Fry HannahVP, Controller
Tax withholdingCommon Stock 324 $2.17 $703.08
Disclosure

SEC source: 0001213900-24-001512 · marketforms-63995.xml · nonDerivative · entry 1

Fry Hannah · CIK 0001938146 · VP, Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,740

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 3, 2022.

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July 17, 2023 Filed Jul 18, 2023 20:05 UTC
Fry HannahVP, Controller
Tax withholdingCommon Stock 10,075 $2.56 $25,792.00
Disclosure

SEC source: 0001213900-23-057844 · marketforms-62056.xml · nonDerivative · entry 1

Fry Hannah · CIK 0001938146 · VP, Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,064

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on July 16, 2022.

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July 03, 2023 Filed Jul 5, 2023 20:05 UTC
Bandari JathinChief Medical Officer
Tax withholdingCommon Stock 682 $2.46 $1,677.72
Disclosure

SEC source: 0001213900-23-054759 · marketforms-61989.xml · nonDerivative · entry 1

Bandari Jathin · CIK 0001903622 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,460

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on July 1, 2020.

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June 27, 2023 Filed Jun 27, 2023 23:26 UTC
Shefferman JesseDirector · CEO and President
GiftCommon Stock 7,420 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-052231 · ownership.xml · nonDerivative · entry 2

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 904,453

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June 23, 2023 Filed Jun 27, 2023 23:26 UTC
Shefferman JesseDirector · CEO and President
GiftCommon Stock 1,890 $0.00 $0.00
Disclosure

SEC source: 0001213900-23-052231 · ownership.xml · nonDerivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 911,873

Read SEC document
June 07, 2023 Filed Jun 8, 2023 20:10 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001213900-23-047468 · ownership.xml · derivative · entry 1

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

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June 07, 2023 Filed Jun 8, 2023 20:10 UTC
Huang JaneDirector
GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001213900-23-047466 · ownership.xml · derivative · entry 1

Huang Jane · CIK 0001683913 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

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June 07, 2023 Filed Jun 8, 2023 20:10 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001213900-23-047467 · ownership.xml · derivative · entry 1

Levy Richard S · CIK 0001454983 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

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June 07, 2023 Filed Jun 8, 2023 20:10 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001213900-23-047472 · ownership.xml · derivative · entry 1

GARCEAU ROGER · CIK 0001451767 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
June 07, 2023 Filed Jun 8, 2023 20:10 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001213900-23-047469 · ownership.xml · derivative · entry 1

SARGEN GREGORY · CIK 0001227835 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

Read SEC document
June 07, 2023 Filed Jun 8, 2023 20:10 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001213900-23-047470 · ownership.xml · derivative · entry 1

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

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June 07, 2023 Filed Jun 8, 2023 20:10 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001213900-23-047471 · ownership.xml · derivative · entry 1

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-06-06

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

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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.