Last 12 months
Inside the activity.
0 purchase rows · 2 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 1 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 22, 2020 Filed Jun 24, 2020 23:50 UTC |
HUME DANIELDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-076546 · tm2022959-5_4.xml · nonDerivative · entry 1 HUME DANIEL · CIK 0001645514 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,507 F1 · shares: Reflects a grant of restricted shares that will vest on June 22, 2023. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 23:49 UTC |
Echelard YannDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-076544 · tm2022959-3_4.xml · nonDerivative · entry 1 Echelard Yann · CIK 0001561958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,116 F1 · shares: Reflects a grant of restricted shares that will vest on June 22, 2023. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 23:49 UTC |
Charney Laurence NDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-076543 · tm2022959-2_4.xml · nonDerivative · entry 1 Charney Laurence N · CIK 0001407451 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,997 F1 · shares: Reflects a grant of restricted shares that will vest on June 22, 2023. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 22, 2020 Filed Jun 24, 2020 23:48 UTC |
KENNEDY WILLIAM JAMESDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-076542 · tm2022959d1_4.xml · nonDerivative · entry 2 KENNEDY WILLIAM JAMES · CIK 0001448888 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,633 F4 · shares: Reflects a grant of restricted shares that will vest on June 22, 2023. F3 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 22, 2020 Filed Jul 2, 2020 20:32 UTC |
Lonial SagarDirector
|
GrantCOMMON STOCK | 65,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-080595 · tm2024075d2_4.xml · nonDerivative · entry 1 Lonial Sagar · CIK 0001816609 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 F1 · shares: Reflects a grant of restricted shares, 15,000 of which will vest on June 22, 2023, and 50,000 of which will vest in approximately equal tranches on June 22, 2023, 2024 and 2025. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 17, 2020 Filed Jun 24, 2020 23:48 UTC |
KENNEDY WILLIAM JAMESDirector
|
SaleCOMMON STOCK | 7,745 | $18.27 | $141,501.15 |
DisclosureSEC source: 0001104659-20-076542 · tm2022959d1_4.xml · nonDerivative · entry 1 KENNEDY WILLIAM JAMES · CIK 0001448888 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,633 F1 · shares: In connection with the vesting of 15,000 shares on June 16, 2020, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Kennedy's tax obligations. Mr. Kennedy had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. F2 · price: Represents the weighted average sales price. The range of prices for such transaction was $18.20 to $18.36. The reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F3 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 21:11 UTC |
Hoberman KennethDirector
|
GrantCOMMON STOCK | 27,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-19-010891 · section16.xml · nonDerivative · entry 1 Hoberman Kenneth · CIK 0001573722 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,953 F1 · shares: Reflects a grant of restricted shares that will vest on June 13, 2022. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 21:10 UTC |
Charney Laurence NDirector
|
GrantCOMMON STOCK | 27,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-19-010890 · section16.xml · nonDerivative · entry 1 Charney Laurence N · CIK 0001407451 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,997 F1 · shares: Reflects a grant of restricted shares that will vest on June 13, 2022. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 21:09 UTC |
Echelard YannDirector
|
GrantCOMMON STOCK | 27,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-19-010888 · section16.xml · nonDerivative · entry 1 Echelard Yann · CIK 0001561958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,116 F1 · shares: Reflects a grant of restricted shares that will vest on June 13, 2022. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 21:09 UTC |
KENNEDY WILLIAM JAMESDirector
|
GrantCOMMON STOCK | 27,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-19-010886 · section16.xml · nonDerivative · entry 1 KENNEDY WILLIAM JAMES · CIK 0001448888 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,378 F1 · shares: Reflects a grant of restricted shares that will vest on June 13, 2022. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| September 17, 2019 Filed Sep 18, 2019 21:09 UTC |
HUME DANIELDirector
|
GrantCOMMON STOCK | 27,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-19-010885 · section16.xml · nonDerivative · entry 1 HUME DANIEL · CIK 0001645514 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,507 F1 · shares: Reflects a grant of restricted shares that will vest on June 13, 2022. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 20:00 UTC |
Power Sean ACFO, Secretary and Treasurer
|
SaleCOMMON STOCK | 17,654 | $8.47 | $149,529.38 |
DisclosureSEC source: 0001654954-19-007935 · section16.xml · nonDerivative · entry 1 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 383,338 F1 · kind: In connection with the vesting of 35,000 shares on June 30, 2019, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Power's tax withholding obligations. Mr. Power had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. F2 · price: Represents the weighted average price of the shares sold in this transaction. The range of prices for such transaction was $8.41 to $9.26. The reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. F3 · balance_after: Includes shares of restricted Common Stock, which are subject to vesting. Read SEC document |
| June 26, 2019 Filed Jun 27, 2019 11:33 UTC |
WEISS MICHAEL SDirector · CEO and President
|
PurchaseCOMMON STOCK | 50,000 | $7.04 | $351,750.00 |
DisclosureSEC source: 0001654954-19-007706 · section16.xml · nonDerivative · entry 1 WEISS MICHAEL S · CIK 0001038977 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 12,878,185 F1 · shares: Mr. Weiss purchased 50,000 shares in the open market at a price of $7.035 per share. F2 · balance_after: Included in Mr. Weiss' beneficial ownership are 4,910,010 shares of Common Stock issued to Opus Point Partners, LLC, of which Mr. Weiss is a co-founder, managing partner, and principal and beneficially owns a 50% interest. F3 · ownership.nature: The shares are held by Caribe BioAdvisors, LLC, of which Mr. Weiss is the sole member. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 20:43 UTC |
WEISS MICHAEL SDirector · CEO and President
|
GrantCOMMON STOCK | 1,179,380 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-19-007359 · section16.xml · nonDerivative · entry 1 WEISS MICHAEL S · CIK 0001038977 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 12,828,185 F1 · shares: Reflects an annual grant of restricted stock pursuant to the Strategic Advisory Agreement with Caribe BioAdvisors, LLC, pursuant to which Mr. Weiss provides the services of Chairman of the Board and Executive Chairman. The restricted shares will vest on the date that the Company's Market Capitalization is $100 million greater than the Market Capitalization on the date of grant, but in no event before January 1, 2021. F2 · balance_after: Included in Mr. Weiss' beneficial ownership are 4,910,010 shares of Common Stock issued to Opus Point Partners, LLC, of which Mr. Weiss is a co-founder, managing partner, and principal and beneficially owns a 50% interest. F3 · ownership.nature: The shares are held by Caribe BioAdvisors, LLC, of which Mr. Weiss is the sole member. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 00:21 UTC |
Power Sean ACFO, Secretary and Treasurer
|
SaleCOMMON STOCK | 37,275 | $4.13 | $153,945.75 |
DisclosureSEC source: 0001654954-19-000085 · section16.xml · nonDerivative · entry 1 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,992 F1 · kind: In connection with the vesting of 72,500 shares on January 1, 2019, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Power's tax withholding obligations. Mr. Power had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. F2 · price: Represents the weighted average sales price. F3 · balance_after: Includes shares of restricted Common Stock, which are subject to vesting. Read SEC document |
| December 31, 2018 Filed Jan 4, 2019 00:21 UTC |
Power Sean ACFO, Secretary and Treasurer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $4.10 | $0.00 |
DisclosureSEC source: 0001654954-19-000085 · section16.xml · derivative · entry 2 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,000 Underlying: Common Stock · 115,000 shares Expires 2028-12-31 F4 · derivative.exercise_date: The options vest according to the following schedule: 25% on each of January 1, 2020, January 1, 2021, January 1, 2022, and January 1, 2023. Read SEC document |
| July 03, 2018 Filed Jul 5, 2018 21:00 UTC |
Power Sean ACFO, Secretary and Treasurer
|
SaleCOMMON STOCK | 35,000 | $13.19 | $461,650.00 |
DisclosureSEC source: 0001654954-18-007370 · section16.xml · nonDerivative · entry 2 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,267 F3 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| July 02, 2018 Filed Jul 5, 2018 21:00 UTC |
Power Sean ACFO, Secretary and Treasurer
|
SaleCOMMON STOCK | 12,191 | $13.26 | $161,652.66 |
DisclosureSEC source: 0001654954-18-007370 · section16.xml · nonDerivative · entry 1 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 473,267 F1 · kind: In connection with the vesting of 25,000 shares on June 30, 2018, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Power's tax withholding obligations. Mr. Power had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. F2 · price: Represents the weighted average sales price. Read SEC document |
| June 26, 2018 Filed Jun 28, 2018 21:00 UTC |
Hoberman KennethDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-007121 · section16.xml · nonDerivative · entry 1 Hoberman Kenneth · CIK 0001573722 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,905 F1 · shares: Reflects a grant of restricted shares that will vest on June 26, 2021. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 26, 2018 Filed Jun 28, 2018 21:00 UTC |
KENNEDY WILLIAM JAMESDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-007120 · section16.xml · nonDerivative · entry 1 KENNEDY WILLIAM JAMES · CIK 0001448888 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,330 F1 · shares: Reflects a grant of restricted shares that will vest on June 26, 2021. F2 · ownership.direct: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 26, 2018 Filed Jun 28, 2018 21:00 UTC |
WEISS MICHAEL SCEO and President
|
GrantCOMMON STOCK | 1,018,011 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-007119 · section16.xml · nonDerivative · entry 1 WEISS MICHAEL S · CIK 0001038977 · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 3 Disclosed balance after: 11,648,805 F1 · shares: Reflects an annual grant of restricted stock pursuant to the Strategic Advisory Agreement with Caribe BioAdvisors, LLC, pursuant to which Mr. Weiss provides the services of Chairman of the Board and Executive Chairman. The restricted shares will vest on the date that the Company's Market Capitalization is $100 million greater than the Market Capitalization on the date of grant. F2 · balance_after: Included in Mr. Weiss' beneficial ownership are 4,910,010 shares of Common Stock issued to Opus Point Partners, LLC, of which Mr. Weiss is a co-founder, managing partner, and principal and beneficially owns a 50% interest. F3 · ownership.nature: The shares are held by Caribe BioAdvisors, LLC, of which Mr. Weiss is the sole member. Read SEC document |
| June 26, 2018 Filed Jun 28, 2018 21:00 UTC |
HUME DANIELDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-007118 · section16.xml · nonDerivative · entry 1 HUME DANIEL · CIK 0001645514 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,459 F1 · shares: Reflects a grant of restricted shares that will vest on June 26, 2021. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 26, 2018 Filed Jun 28, 2018 21:00 UTC |
Echelard YannDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-007116 · section16.xml · nonDerivative · entry 1 Echelard Yann · CIK 0001561958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,068 F1 · shares: Reflects a grant of restricted shares that will vest on June 26, 2021. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 26, 2018 Filed Jun 28, 2018 21:00 UTC |
SCHOENEBAUM MARKDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-007117 · section16.xml · nonDerivative · entry 1 SCHOENEBAUM MARK · CIK 0001548537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,949 F1 · shares: Reflects a grant of restricted shares that will vest on June 26, 2021. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 26, 2018 Filed Jul 2, 2018 21:59 UTC |
Charney Laurence NDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-007267 · section16.xml · nonDerivative · entry 1 Charney Laurence N · CIK 0001407451 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,949 F1 · kind: Reflects a grant of restricted shares that will vest on June 26, 2021. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 14, 2018 Filed Jun 18, 2018 20:30 UTC |
KENNEDY WILLIAM JAMESDirector
|
SaleCOMMON STOCK | 25,071 | $13.45 | $337,204.95 |
DisclosureSEC source: 0001654954-18-006742 · section16.xml · nonDerivative · entry 1 KENNEDY WILLIAM JAMES · CIK 0001448888 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,330 F1 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 22:25 UTC |
Power Sean ACFO, Secretary and Treasurer
|
SaleCOMMON STOCK | 32,006 | $8.50 | $272,051.00 |
DisclosureSEC source: 0001654954-18-000068 · section16.xml · nonDerivative · entry 2 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485,458 F2 · kind: 32,006 shares were sold in connection with the vesting of 62,500 shares on January 1, 2018, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Power's tax withholding obligations. Mr. Power had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. F3 · price: Represents the weighted average sales price. F4 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:25 UTC |
Power Sean ACFO, Secretary and Treasurer
|
GrantCOMMON STOCK | 70,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-000068 · section16.xml · nonDerivative · entry 1 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517,464 F1 · shares: Reflects a grant of restricted shares that will vest according to the following schedule: 25% on January 1, 2019; 25% on January 1, 2020; and 50% on the later to occur of: (a) the date that the Company's Market Capitalization is $100 million greater than the Market Capitalization on December 31, 2017 and (b) January 1, 2019. Read SEC document |
| June 19, 2017 Filed Jun 19, 2017 22:16 UTC |
WEISS MICHAEL SCEO and President
|
GrantCOMMON STOCK (RESTRICTED) | 834,877 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-005710 · section16.xml · nonDerivative · entry 2 WEISS MICHAEL S · CIK 0001038977 · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 10,630,794 F2 · shares: Reflects an annual grant of restricted stock pursuant to the Strategic Advisory Agreement with Caribe BioAdvisors, LLC, pursuant to which Mr. Weiss provides the services of Chairman of the Board and Executive Chairman. The restricted shares will vest on the date that the Company's Market Capitalization is $100 million greater than the Market Capitalization on the date of grant; provided however, if the market capitalization threshold is met prior to June 30, 2018 then the shares shall vest on June 30, 2018. F3 · balance_after: Included in Mr. Weiss' beneficial ownership are 4,910,010 shares of Common Stock issued to Opus Point Partners, LLC, of which Mr. Weiss is a co-founder, managing partner, and principal and beneficially owns a 50% interest. F4 · ownership.nature: The shares are held by Caribe BioAdvisors, LLC, of which Mr. Weiss is the sole member. Read SEC document |
| June 19, 2017 Filed Jun 19, 2017 22:16 UTC |
WEISS MICHAEL SCEO and President
|
GiftCOMMON STOCK | 350,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-005710 · section16.xml · nonDerivative · entry 1 WEISS MICHAEL S · CIK 0001038977 · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,795,917 F1 · security: Reflects the transfer of 350,000 shares of TG Therapeutics stock to the Weiss Family and Descendants Trust. Read SEC document |
| June 19, 2017 Filed Jun 19, 2017 22:05 UTC |
Power Sean ACFO, Secretary and Treasurer
|
SaleCOMMON STOCK | 30,000 | $11.04 | $331,200.00 |
DisclosureSEC source: 0001654954-17-005702 · section16.xml · nonDerivative · entry 2 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 447,464 F2 · price: Represents the weighted average sales price. F3 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 22:12 UTC |
KENNEDY WILLIAM JAMESDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-005708 · section16.xml · nonDerivative · entry 1 KENNEDY WILLIAM JAMES · CIK 0001448888 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,401 F1 · kind: Reflects a grant of restricted shares that will vest on June 16, 2020. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 22:11 UTC |
Charney Laurence NDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-005707 · section16.xml · nonDerivative · entry 1 Charney Laurence N · CIK 0001407451 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,949 F1 · kind: Reflects a grant of restricted shares that will vest on June 16, 2020. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 22:10 UTC |
Hoberman KennethDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-005706 · section16.xml · nonDerivative · entry 1 Hoberman Kenneth · CIK 0001573722 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,905 F1 · kind: Reflects a grant of restricted shares that will vest on June 16, 2020. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 22:09 UTC |
HUME DANIELDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-005705 · section16.xml · nonDerivative · entry 1 HUME DANIEL · CIK 0001645514 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,459 F1 · kind: Reflects a grant of restricted shares that will vest on June 16, 2020. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 22:07 UTC |
Echelard YannDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-005704 · section16.xml · nonDerivative · entry 1 Echelard Yann · CIK 0001561958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,068 F1 · kind: Reflects a grant of restricted shares that will vest on June 16, 2020. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 22:06 UTC |
SCHOENEBAUM MARKDirector
|
GrantCOMMON STOCK | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-005703 · section16.xml · nonDerivative · entry 1 SCHOENEBAUM MARK · CIK 0001548537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,949 F1 · kind: Reflects a grant of restricted shares that will vest on June 16, 2020. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| June 16, 2017 Filed Jun 19, 2017 22:05 UTC |
Power Sean ACFO, Secretary and Treasurer
|
SaleCOMMON STOCK | 29,976 | $11.14 | $333,932.64 |
DisclosureSEC source: 0001654954-17-005702 · section16.xml · nonDerivative · entry 1 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,464 F1 · kind: In connection with the vesting of 58,334 shares on June 15, 2017, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Power's tax withholding obligations. Mr. Power had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. F2 · price: Represents the weighted average sales price. Read SEC document |
| April 11, 2017 Filed Apr 12, 2017 21:44 UTC |
KENNEDY WILLIAM JAMESDirector
|
SaleCOMMON STOCK | 8,548 | $10.27 | $87,787.96 |
DisclosureSEC source: 0001654954-17-003280 · section16.xml · nonDerivative · entry 1 KENNEDY WILLIAM JAMES · CIK 0001448888 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,401 F1 · kind: Sale of a total of 8,548 shares was made to satisfy Mr. Kennedy's income tax obligations from the vesting of restricted stock shares in 2016. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| April 04, 2017 Filed Apr 4, 2017 21:57 UTC |
Charney Laurence NDirector
|
SaleCommon Stock | 7,000 | $11.17 | $78,190.00 |
DisclosureSEC source: 0001654954-17-003070 · section16.xml · nonDerivative · entry 1 Charney Laurence N · CIK 0001407451 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,949 F1 · kind: Sale of a total of 7,000 shares was made to satisfy Mr. Charney's income tax obligations from the vesting of 25,071 restricted stock shares in 2016. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| January 04, 2017 Filed Jan 4, 2017 22:28 UTC |
Power Sean ACFO, Secretary and Treasurer
|
SaleCommon Stock | 8,816 | $4.55 | $40,112.80 |
DisclosureSEC source: 0001354488-17-000035 · issuerdirect_section16.xml · nonDerivative · entry 2 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 507,440 F3 · kind: In connection with the vesting of 15,000 shares on January 1, 2017, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Power's tax withholding obligations. Mr. Power had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. F4 · price: Represents the weighted average sales price. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 21:33 UTC |
WEISS MICHAEL SDirector · CEO and President · 10% owner
|
GrantCommon Stock (Restricted) | 418,371 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-17-000033 · issuerdirect_section16.xml · nonDerivative · entry 3 WEISS MICHAEL S · CIK 0001038977 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,452,167 F5 · shares: 375,000 shares vest on December 1, 2018 and 43,371 shares vest on December 1, 2019. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 21:33 UTC |
WEISS MICHAEL SDirector · CEO and President · 10% owner
|
GrantCommon Stock (Restricted) | 2,960,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-17-000033 · issuerdirect_section16.xml · nonDerivative · entry 2 WEISS MICHAEL S · CIK 0001038977 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 9,033,796 F3 · shares: Represents shares of restricted stock which vest based on certain market capitalization milestones. F4 · ownership.nature: The shares are held by Caribe BioAdvisors, LLC, of which Mr. Weiss is the sole member. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 21:33 UTC |
WEISS MICHAEL SDirector · CEO and President · 10% owner
|
Disposition to issuerCommon Stock (Restricted) | 3,381,866 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-17-000033 · issuerdirect_section16.xml · nonDerivative · entry 1 WEISS MICHAEL S · CIK 0001038977 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,073,796 F1 · shares: Mr. Weiss forfeited the shares pursuant to an amendment to his employment agreement effective as of January 1, 2017. F2 · balance_after: Included in Mr. Weiss' beneficial ownership are 4,499,560 shares of Common Stock and 410,450 warrants to purchase Common Stock at $2.48, exercisable through February 24, 2017 issued to Opus Point Partners, LLC, of which Mr. Weiss is a co-founder, managing partner, and principal and beneficially owns a 50% interest. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:28 UTC |
Power Sean ACFO, Secretary and Treasurer
|
GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-17-000035 · issuerdirect_section16.xml · nonDerivative · entry 1 Power Sean A · CIK 0001538845 · CFO, Secretary and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 516,256 F1 · shares: Reflects a grant of restricted shares that will vest according to the following schedule: 17.5% on January 1, 2018; 17.5% on January 1, 2019; 35% on the later to occur of: (a) the date that the Company's Market Capitalization is $100 million greater than the Market Capitalization on December 31, 2016 and (b) June 30, 2019; and 30% on performance based thresholds associated with the Company?s clinical programs. F2 · balance_after: Includes shares of restricted Common Stock, which vest over various time periods. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 21:33 UTC |
WEISS MICHAEL SDirector · CEO and President · 10% owner
|
GrantCommon Stock (Restricted) | 693,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001354488-17-000033 · issuerdirect_section16.xml · nonDerivative · entry 4 WEISS MICHAEL S · CIK 0001038977 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 4 Disclosed balance after: 10,145,917 F6 · shares: Reflects an annual grant of restricted stock pursuant to Mr. Weiss? employment agreement to be held by Caribe BioAdvisors, LLC. The restricted shares will vest according to the following schedule: 25% on January 1, 2018; 25% on January 1, 2019; and 50% on the date that the Company's Market Capitalization is $100 million greater than the Market Capitalization on December 31, 2016. F4 · ownership.nature: The shares are held by Caribe BioAdvisors, LLC, of which Mr. Weiss is the sole member. 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.