Last 12 months
Inside the activity.
5 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 4 | 0 |
| Mar 2026 | 1 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| 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 |
|---|---|---|---|---|---|---|
| December 14, 2018 Filed Dec 17, 2018 17:05 UTC |
Angotti Vincent J.Director · Chief Executive Officer
|
PurchaseCommon Stock | 3,610 | $2.78 | $10,023.53 |
DisclosureSEC source: 0001209191-18-062871 · doc4.xml · nonDerivative · entry 1 Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,650 Read SEC document |
| December 14, 2018 Filed Dec 17, 2018 17:04 UTC |
ASADORIAN RAFFIChief Financial Officer
|
PurchaseCommon Stock | 5,000 | $2.78 | $13,883.00 |
DisclosureSEC source: 0001209191-18-062870 · doc4.xml · nonDerivative · entry 1 ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,000 F1 · price: The price reported on Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $2.7732 to $2,779 on December 14, 2018. The reporting person will provide upon request to the SEC, the issuer or security holder of Issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| December 12, 2018 Filed Dec 13, 2018 00:31 UTC |
Angotti Vincent J.Director · Chief Executive Officer
|
PurchaseCommon Stock | 10,000 | $2.99 | $29,890.00 |
DisclosureSEC source: 0001209191-18-062333 · doc4.xml · nonDerivative · entry 1 Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,040 F1 · price: This is a weighted average purchase price. Shares were purchased in the range of $2.98 and $2.99. Read SEC document |
| November 19, 2018 Filed Nov 19, 2018 23:13 UTC |
Palmer Pamela PDirector · Chief Medical Officer
|
PurchaseCommon Stock | 16,000 | $3.07 | $49,120.00 |
DisclosureSEC source: 0001209191-18-059292 · doc4.xml · nonDerivative · entry 1 Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,134 Read SEC document |
| November 15, 2018 Filed Nov 15, 2018 23:35 UTC |
EDWARDS MARK GDirector
|
PurchaseCommon Stock | 20,700 | $2.82 | $58,376.07 |
DisclosureSEC source: 0001209191-18-058807 · doc4.xml · nonDerivative · entry 1 EDWARDS MARK G · CIK 0001190429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,000 F1 · price: The price reported on Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $2.809 to $2.83 on November 15, 2018. The reporting person will provide upon request to the SEC, the issuer or security holder of Issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| November 13, 2018 Filed Nov 13, 2018 18:53 UTC |
ASADORIAN RAFFIChief Financial Officer
|
PurchaseCommon Stock | 5,000 | $3.13 | $15,646.00 |
DisclosureSEC source: 0001209191-18-058155 · doc4.xml · nonDerivative · entry 1 ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,000 Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:23 UTC |
ASADORIAN RAFFIChief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 40,562 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0001209191-18-057251 · doc4.xml · derivative · entry 1 ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,562 Underlying: Common Stock · 40,562 shares Expires 2028-11-02 F1 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 81,125 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 40,562 shares. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:29 UTC |
Hamel Lawrence GChief Development Officer
|
Disposition to issuerStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0001209191-18-057255 · doc4.xml · derivative · entry 5 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,125 Underlying: Common Stock · 5,000 shares Expires 2028-11-02 F2 · derivative.exercise_date: On April 7, 2018, the reporting person was granted an option to purchase 52,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares. F2 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 52,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:29 UTC |
Hamel Lawrence GChief Development Officer
|
GrantStock Option (Right to Buy) · Derivative | 26,125 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0001209191-18-057255 · doc4.xml · derivative · entry 4 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,125 Underlying: Common Stock · 26,125 shares Expires 2028-11-02 F2 · derivative.exercise_date: On April 7, 2018, the reporting person was granted an option to purchase 52,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares. F2 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 52,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:29 UTC |
Hamel Lawrence GChief Development Officer
|
Disposition to issuerCommon Stock | 5,000 | $5.00 | $25,000.00 |
DisclosureSEC source: 0001209191-18-057255 · doc4.xml · nonDerivative · entry 2 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Hamel Revocable Living Trust Disclosed balance after: 29,795 F1 · shares: Shares sold pursuant to a 10b5-1 plan. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:29 UTC |
Hamel Lawrence GChief Development Officer
|
GrantCommon Stock | 5,000 | $2.23 | $11,125.00 |
DisclosureSEC source: 0001209191-18-057255 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Hamel Revocable Living Trust Disclosed balance after: 34,795 Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:24 UTC |
Dasu Badri NChief Engineering Officer
|
GrantStock Option (Right to Buy) · Derivative | 31,625 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0001209191-18-057252 · doc4.xml · derivative · entry 1 Dasu Badri N · CIK 0001310803 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,625 Underlying: Common Stock · 31,625 shares Expires 2028-11-02 F1 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 63,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 31,625 shares. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:21 UTC |
Palmer Pamela PDirector · Chief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 47,575 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0001209191-18-057250 · doc4.xml · derivative · entry 1 Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,575 Underlying: Common Stock · 47,575 shares Expires 2028-11-02 F1 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 95,150 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 47,575 shares. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 21:50 UTC |
Angotti Vincent J.Director · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 96,250 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0001209191-18-057212 · doc4.xml · derivative · entry 1 Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,250 Underlying: Common Stock · 96,250 shares Expires 2028-11-02 F1 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 192,500 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 96,250 shares. Read SEC document |
| October 15, 2018 Filed Oct 16, 2018 20:30 UTC |
Hamel Lawrence GChief Development Officer
|
SaleCommon Stock | 5,216 | $5.00 | $26,080.00 |
DisclosureSEC source: 0001209191-18-055127 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Hamel Revocable Living Trust Disclosed balance after: 29,795 F1 · kind: Shares sold pursuant to a 10b5-1 plan. Read SEC document |
| October 15, 2018 Filed Oct 16, 2018 20:29 UTC |
Dasu Badri NChief Engineering Officer
|
SaleCommon Stock | 28,351 | $5.00 | $141,755.00 |
DisclosureSEC source: 0001209191-18-055123 · doc4.xml · nonDerivative · entry 1 Dasu Badri N · CIK 0001310803 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,061 F1 · kind: Shares sold pursuant to a 10b5-1 plan. Read SEC document |
| September 24, 2018 Filed Sep 26, 2018 21:54 UTC |
Hamel Lawrence GChief Development Officer
|
SaleCommon Stock | 6,953 | $4.50 | $31,288.50 |
DisclosureSEC source: 0001209191-18-052334 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Hamel Revocable Living Trust Disclosed balance after: 35,011 F1 · kind: Shares sold pursuant to a 10b5-1 plan. Read SEC document |
| August 31, 2018 Filed Sep 5, 2018 10:08 UTC |
Dasu Badri NChief Engineering Officer
|
GrantCommon Stock | 8,022 | $1.49 | $11,952.78 |
DisclosureSEC source: 0000899243-18-023791 · doc4.xml · nonDerivative · entry 1 Dasu Badri N · CIK 0001310803 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,412 F1 · kind: These shares were acquired under the Company's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d)and Rule 16b-3(c). Read SEC document |
| August 31, 2018 Filed Sep 5, 2018 10:06 UTC |
ASADORIAN RAFFIChief Financial Officer
|
GrantCommon Stock | 10,000 | $1.49 | $14,900.00 |
DisclosureSEC source: 0000899243-18-023789 · doc4.xml · nonDerivative · entry 1 ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 F1 · kind: These shares were acquired under the Company's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d)and Rule 16b-3(c). Read SEC document |
| August 31, 2018 Filed Sep 5, 2018 10:06 UTC |
Angotti Vincent J.Director · Chief Executive Officer
|
GrantCommon Stock | 6,040 | $1.49 | $8,999.60 |
DisclosureSEC source: 0000899243-18-023788 · doc4.xml · nonDerivative · entry 1 Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,040 F1 · kind: These shares were acquired under the Company's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d)and Rule 16b-3(c). Read SEC document |
| August 31, 2018 Filed Sep 5, 2018 10:06 UTC |
Hamel Lawrence GChief Development Officer
|
GrantCommon Stock | 6,876 | $1.49 | $10,245.24 |
DisclosureSEC source: 0000899243-18-023787 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,371 F1 · shares: These shares were acquired under the Company's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · balance_after: Non-reportable acquisition of 1,116 shares of common stock through the Company's Employee Stock Purchase Plan. Read SEC document |
| August 07, 2018 Filed Aug 7, 2018 20:08 UTC |
Angotti Vincent J.Director · Chief Executive Officer
|
PurchaseCommon Stock | 10,000 | $2.90 | $28,950.00 |
DisclosureSEC source: 0001209191-18-045663 · doc4.xml · nonDerivative · entry 1 Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 F1 · balance_after: Balance includes non-reportable acquisition of 10,000 shares of Common Stock through the Company's Employee Stock Purchase Plan. Read SEC document |
| August 07, 2018 Filed Aug 8, 2018 20:36 UTC |
EDWARDS MARK GDirector
|
PurchaseCommon Stock | 5,300 | $2.84 | $15,062.60 |
DisclosureSEC source: 0001209191-18-045839 · doc4.xml · nonDerivative · entry 1 EDWARDS MARK G · CIK 0001190429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,300 F1 · price: The price reported on Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $2.80 to $2.845 on August 7, 2018. The reporting person will provide upon request to the SEC, the issuer or security holder of Issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| August 06, 2018 Filed Aug 6, 2018 21:38 UTC |
Palmer Pamela PChief Medical Officer
|
PurchaseCommon Stock | 37,000 | $2.75 | $101,750.00 |
DisclosureSEC source: 0001209191-18-045581 · doc4.xml · nonDerivative · entry 1 Palmer Pamela P · CIK 0001511365 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,134 F1 · balance_after: Balance includes non-reportable acquisition of 3,333 shares of Common Stock through the Company's Employee Stock Purchase Plan. Read SEC document |
| August 06, 2018 Filed Aug 6, 2018 21:23 UTC |
ASADORIAN RAFFIChief Financial Officer
|
PurchaseCommon Stock | 5,000 | $2.75 | $13,725.00 |
DisclosureSEC source: 0001209191-18-045578 · doc4.xml · nonDerivative · entry 1 ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Read SEC document |
| June 14, 2018 Filed Jun 14, 2018 22:19 UTC |
ADAMS ADRIANDirector
|
GrantStock Options (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.13 | $0.00 |
DisclosureSEC source: 0001209191-18-037854 · doc4.xml · derivative · entry 1 ADAMS ADRIAN · CIK 0001248144 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-14 F1 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service to the Company. F2 · derivative.exercise_date: 100% Acceleration upon Change of Control. Read SEC document |
| June 14, 2018 Filed Jun 14, 2018 22:18 UTC |
Afable RichardDirector
|
GrantStock Options (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.13 | $0.00 |
DisclosureSEC source: 0001209191-18-037851 · doc4.xml · derivative · entry 1 Afable Richard · CIK 0001594021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-14 F1 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service to the Company. F2 · derivative.exercise_date: 100% Acceleration upon Change of Control. Read SEC document |
| June 14, 2018 Filed Jun 14, 2018 22:14 UTC |
EDWARDS MARK GDirector
|
GrantStock Options (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.13 | $0.00 |
DisclosureSEC source: 0001209191-18-037845 · doc4.xml · derivative · entry 1 EDWARDS MARK G · CIK 0001190429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-14 F1 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service to the Company. F2 · derivative.exercise_date: 100% Acceleration upon Change of Control. Read SEC document |
| June 14, 2018 Filed Jun 14, 2018 22:16 UTC |
HOFFMAN C STEVENDirector
|
GrantStock Options (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.13 | $0.00 |
DisclosureSEC source: 0001209191-18-037848 · doc4.xml · derivative · entry 1 HOFFMAN C STEVEN · CIK 0001190482 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-14 F1 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service to the Company. F2 · derivative.exercise_date: 100% Acceleration upon Change of Control. Read SEC document |
| June 14, 2018 Filed Jun 14, 2018 22:13 UTC |
Rosen Howard BDirector
|
GrantStock Options (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.13 | $0.00 |
DisclosureSEC source: 0001209191-18-037844 · doc4.xml · derivative · entry 1 Rosen Howard B · CIK 0001307068 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-14 F1 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service to the Company. F2 · derivative.exercise_date: 100% Acceleration upon Change of Control. Read SEC document |
| June 14, 2018 Filed Jun 14, 2018 22:12 UTC |
WAN MARK ADirector
|
GrantStock Options (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.13 | $0.00 |
DisclosureSEC source: 0001209191-18-037843 · doc4.xml · derivative · entry 1 WAN MARK A · CIK 0001190472 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-14 F1 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service to the Company. F2 · derivative.exercise_date: 100% Acceleration upon Change of Control. Read SEC document |
| June 14, 2018 Filed Feb 7, 2019 22:33 UTC |
HOFFMAN STEPHEN JDirector
|
GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $4.13 | $0.00 |
DisclosureSEC source: 0001209191-19-008170 · doc5.xml · derivative · entry 5 HOFFMAN STEPHEN J · CIK 0001190418 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-14 F1 · security: Issued pursuant to the 2011 Equity Incentive Plan. F2 · security: Transactions were previously reported on Form 4, but were inadvertently filed using incorrect CIK and CCC numbers which resulted in the reports appearing incorrectly as a report of a person different from the Reporting Person. This Form 5 is being filed to identify correctly these past transactions as the Reporting Person's transactions and to reflect accurately the Reporting Person's beneficial ownership holdings in the Issuer. F4 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service on the Company's Board of Directors. F5 · derivative.exercise_date: 100% Acceleration upon Change of Control. Read SEC document |
| June 05, 2018 Filed Jun 5, 2018 21:52 UTC |
EDWARDS MARK GDirector
|
PurchaseCommon Stock | 4,700 | $3.35 | $15,745.00 |
DisclosureSEC source: 0001209191-18-035889 · doc4.xml · nonDerivative · entry 2 EDWARDS MARK G · CIK 0001190429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,000 Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 21:52 UTC |
EDWARDS MARK GDirector
|
PurchaseCommon Stock | 300 | $3.30 | $990.00 |
DisclosureSEC source: 0001209191-18-035889 · doc4.xml · nonDerivative · entry 1 EDWARDS MARK G · CIK 0001190429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,300 Read SEC document |
| May 25, 2018 Filed May 29, 2018 10:52 UTC |
ASADORIAN RAFFIChief Financial Officer
|
PurchaseCommon Stock | 5,000 | $3.18 | $15,922.50 |
DisclosureSEC source: 0000899243-18-014190 · doc4.xml · nonDerivative · entry 1 ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 F1 · balance_after: Balance includes non-reportable acquisition of 10,000 shares of Common Stock through the Company's Employee Stock Purchase Plan. Read SEC document |
| May 21, 2018 Filed May 23, 2018 18:00 UTC |
WAN MARK ADirector · 10% owner
JAEGER WILFRED E10% owner
THREE ARCH PARTNERS IV LP10% owner
THREE ARCH PARTNERS III LP10% owner
THREE ARCH ASSOCIATES IV LP10% owner
THREE ARCH ASSOCIATES III LP10% owner
|
OtherCommon Stock | 126,153 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-013837 · doc4.xml · nonDerivative · entry 4 WAN MARK A · CIK 0001190472 · Director · 10% owner JAEGER WILFRED E · CIK 0001190474 · 10% owner THREE ARCH PARTNERS IV LP · CIK 0001269801 · 10% owner THREE ARCH PARTNERS III LP · CIK 0001256741 · 10% owner THREE ARCH ASSOCIATES IV LP · CIK 0001276986 · 10% owner THREE ARCH ASSOCIATES III LP · CIK 0001113520 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F4 · shares: The shares are owned directly by Three Arch Associates IV, L.P. ("TAA IV"). TAM IV, the general partner of TAA IV, had sole voting and dispositive power with respect to the securities held by TAA IV. Mark A. Wan and Wilfred Jaeger, the managing members of TAM IV, shared the voting and dispositive power with respect to the shares held by TAA IV. Such persons and entities disclaim beneficial ownership of the shares held by TAA IV except to the extent of any pecuniary interest therein. See Explanation of Responses #5 for more information. F5 · price: On May 21, 2018, the TAP III, TAP IV, TAA III and TAA IV (the "Affiliated Entities") and certain other affiliates of the Affiliated Entities and Leerink Revelation Healthcare Fund I, L.P., Industry Ventures Secondary VIII, L.P. and Kline Hill Partners Fund II LP (the "Purchasers") entered into a purchase agreement (the "Purchase Agreement") pursuant to which the Affiliated Entities agreed to a sale to the Purchasers (the "Portfolio Sale") of a portfolio of assets held by the Affiliated Entities consisting of the securities of private and public companies, including the 9,367,041 shares of Common Stock (the "AcelRx Shares") of AcelRx Pharmaceuticals, Inc. (the "Issuer") and other investment interests. The transfer of the AcelRx Shares and the securities of another portfolio asset (such securities together with the AcelRx Shares, the "Initial Closing Securities") was consummated at an initial closing on May 21, 2018 to the Purchasers. F6 · price: (Continued From Footenote 5) The Portfolio Sale was undertaken for portfolio management purposes in connection with the imminent expiration of the terms of the Affiliated Entities under their respective governing agreements, as the Affiliated Entities were initially formed between 1999 and 2004 with initially contemplated terms of ten years. The Portfolio Sale was undertaken as a result of the imminent dissolution of the Affiliated Entities due to the upcoming expiration of the terms under the governing agreements. The Portfolio Sale is not being undertaken as a result of an adverse change in the Affiliated Entities' views on the prospects of the Issuer, or its businesses, management or directors. Wan, a director of the Issuer and affiliate of the Affiliated Entities, will continue serving as a member of the Issuer's Board of Directors after the Portfolio Sale. F7 · price: (Continued From Footenote 6) The aggregate purchase price to be paid by the Purchasers in the Portfolio Sale is $30 million in up front consideration, plus a residual amount calculated based on, among other things, the trading price of the AcelRx Shares and certain other securities as of the end of calendar year 2018, up to a maximum aggregate amount of $12.5 million in additional consideration (the "Residual Consideration"). The Initial Closing Securities sold by the Affiliated Entities in the Portfolio Sale were priced on an aggregate basis, for total consideration in the range of $25 million to $37.5 million, depending upon the amount of Residual Consideration eventually paid. Because the Initial Closing Securities sold by the Affiliated Entities in the Portfolio Sale were price on an aggregate basis, a price per share was not separately determined for the AcelRx Shares. F4 · ownership.nature: The shares are owned directly by Three Arch Associates IV, L.P. ("TAA IV"). TAM IV, the general partner of TAA IV, had sole voting and dispositive power with respect to the securities held by TAA IV. Mark A. Wan and Wilfred Jaeger, the managing members of TAM IV, shared the voting and dispositive power with respect to the shares held by TAA IV. Such persons and entities disclaim beneficial ownership of the shares held by TAA IV except to the extent of any pecuniary interest therein. See Explanation of Responses #5 for more information. Read SEC document |
| May 21, 2018 Filed May 23, 2018 18:00 UTC |
WAN MARK ADirector · 10% owner
JAEGER WILFRED E10% owner
THREE ARCH PARTNERS IV LP10% owner
THREE ARCH PARTNERS III LP10% owner
THREE ARCH ASSOCIATES IV LP10% owner
THREE ARCH ASSOCIATES III LP10% owner
|
OtherCommon Stock | 5,713,569 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-013837 · doc4.xml · nonDerivative · entry 3 WAN MARK A · CIK 0001190472 · Director · 10% owner JAEGER WILFRED E · CIK 0001190474 · 10% owner THREE ARCH PARTNERS IV LP · CIK 0001269801 · 10% owner THREE ARCH PARTNERS III LP · CIK 0001256741 · 10% owner THREE ARCH ASSOCIATES IV LP · CIK 0001276986 · 10% owner THREE ARCH ASSOCIATES III LP · CIK 0001113520 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F3 · shares: The shares are owned directly by Three Arch Partners IV, L.P. ("TAP IV"). Three Arch Management IV, L.L.C. ("TAM IV"), the general partner of TAP IV, had sole voting and dispositive power with respect to the securities held by TAP IV. Mark A. Wan and Wilfred Jaeger, the managing members of TAM IV, shared the voting and dispositive power with respect to the shares held by TAP IV. Such persons and entities disclaim beneficial ownership of the shares held by TAP IV except to the extent of any pecuniary interest therein. See Explanation of Responses #5 for more information. F5 · price: On May 21, 2018, the TAP III, TAP IV, TAA III and TAA IV (the "Affiliated Entities") and certain other affiliates of the Affiliated Entities and Leerink Revelation Healthcare Fund I, L.P., Industry Ventures Secondary VIII, L.P. and Kline Hill Partners Fund II LP (the "Purchasers") entered into a purchase agreement (the "Purchase Agreement") pursuant to which the Affiliated Entities agreed to a sale to the Purchasers (the "Portfolio Sale") of a portfolio of assets held by the Affiliated Entities consisting of the securities of private and public companies, including the 9,367,041 shares of Common Stock (the "AcelRx Shares") of AcelRx Pharmaceuticals, Inc. (the "Issuer") and other investment interests. The transfer of the AcelRx Shares and the securities of another portfolio asset (such securities together with the AcelRx Shares, the "Initial Closing Securities") was consummated at an initial closing on May 21, 2018 to the Purchasers. F6 · price: (Continued From Footenote 5) The Portfolio Sale was undertaken for portfolio management purposes in connection with the imminent expiration of the terms of the Affiliated Entities under their respective governing agreements, as the Affiliated Entities were initially formed between 1999 and 2004 with initially contemplated terms of ten years. The Portfolio Sale was undertaken as a result of the imminent dissolution of the Affiliated Entities due to the upcoming expiration of the terms under the governing agreements. The Portfolio Sale is not being undertaken as a result of an adverse change in the Affiliated Entities' views on the prospects of the Issuer, or its businesses, management or directors. Wan, a director of the Issuer and affiliate of the Affiliated Entities, will continue serving as a member of the Issuer's Board of Directors after the Portfolio Sale. F7 · price: (Continued From Footenote 6) The aggregate purchase price to be paid by the Purchasers in the Portfolio Sale is $30 million in up front consideration, plus a residual amount calculated based on, among other things, the trading price of the AcelRx Shares and certain other securities as of the end of calendar year 2018, up to a maximum aggregate amount of $12.5 million in additional consideration (the "Residual Consideration"). The Initial Closing Securities sold by the Affiliated Entities in the Portfolio Sale were priced on an aggregate basis, for total consideration in the range of $25 million to $37.5 million, depending upon the amount of Residual Consideration eventually paid. Because the Initial Closing Securities sold by the Affiliated Entities in the Portfolio Sale were price on an aggregate basis, a price per share was not separately determined for the AcelRx Shares. F3 · ownership.nature: The shares are owned directly by Three Arch Partners IV, L.P. ("TAP IV"). Three Arch Management IV, L.L.C. ("TAM IV"), the general partner of TAP IV, had sole voting and dispositive power with respect to the securities held by TAP IV. Mark A. Wan and Wilfred Jaeger, the managing members of TAM IV, shared the voting and dispositive power with respect to the shares held by TAP IV. Such persons and entities disclaim beneficial ownership of the shares held by TAP IV except to the extent of any pecuniary interest therein. See Explanation of Responses #5 for more information. Read SEC document |
| May 21, 2018 Filed May 23, 2018 18:00 UTC |
WAN MARK ADirector · 10% owner
JAEGER WILFRED E10% owner
THREE ARCH PARTNERS IV LP10% owner
THREE ARCH PARTNERS III LP10% owner
THREE ARCH ASSOCIATES IV LP10% owner
THREE ARCH ASSOCIATES III LP10% owner
|
OtherCommon Stock | 179,962 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-013837 · doc4.xml · nonDerivative · entry 2 WAN MARK A · CIK 0001190472 · Director · 10% owner JAEGER WILFRED E · CIK 0001190474 · 10% owner THREE ARCH PARTNERS IV LP · CIK 0001269801 · 10% owner THREE ARCH PARTNERS III LP · CIK 0001256741 · 10% owner THREE ARCH ASSOCIATES IV LP · CIK 0001276986 · 10% owner THREE ARCH ASSOCIATES III LP · CIK 0001113520 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F2 · shares: The shares are owned directly by Three Arch Associates III, L.P. ("TAA III"). TAM III, the general partner of TAA III, had sole voting and dispositive power with respect to the securities held by TAA III. Mark A. Wan and Wilfred Jaeger, the managing members of TAM III, shared the voting and dispositive power with respect to the shares held by TAA III. Such persons and entities disclaim beneficial ownership of the shares held by TAA III except to the extent of any pecuniary interest therein. See Explanation of Responses #5 for more information. F5 · price: On May 21, 2018, the TAP III, TAP IV, TAA III and TAA IV (the "Affiliated Entities") and certain other affiliates of the Affiliated Entities and Leerink Revelation Healthcare Fund I, L.P., Industry Ventures Secondary VIII, L.P. and Kline Hill Partners Fund II LP (the "Purchasers") entered into a purchase agreement (the "Purchase Agreement") pursuant to which the Affiliated Entities agreed to a sale to the Purchasers (the "Portfolio Sale") of a portfolio of assets held by the Affiliated Entities consisting of the securities of private and public companies, including the 9,367,041 shares of Common Stock (the "AcelRx Shares") of AcelRx Pharmaceuticals, Inc. (the "Issuer") and other investment interests. The transfer of the AcelRx Shares and the securities of another portfolio asset (such securities together with the AcelRx Shares, the "Initial Closing Securities") was consummated at an initial closing on May 21, 2018 to the Purchasers. F6 · price: (Continued From Footenote 5) The Portfolio Sale was undertaken for portfolio management purposes in connection with the imminent expiration of the terms of the Affiliated Entities under their respective governing agreements, as the Affiliated Entities were initially formed between 1999 and 2004 with initially contemplated terms of ten years. The Portfolio Sale was undertaken as a result of the imminent dissolution of the Affiliated Entities due to the upcoming expiration of the terms under the governing agreements. The Portfolio Sale is not being undertaken as a result of an adverse change in the Affiliated Entities' views on the prospects of the Issuer, or its businesses, management or directors. Wan, a director of the Issuer and affiliate of the Affiliated Entities, will continue serving as a member of the Issuer's Board of Directors after the Portfolio Sale. F7 · price: (Continued From Footenote 6) The aggregate purchase price to be paid by the Purchasers in the Portfolio Sale is $30 million in up front consideration, plus a residual amount calculated based on, among other things, the trading price of the AcelRx Shares and certain other securities as of the end of calendar year 2018, up to a maximum aggregate amount of $12.5 million in additional consideration (the "Residual Consideration"). The Initial Closing Securities sold by the Affiliated Entities in the Portfolio Sale were priced on an aggregate basis, for total consideration in the range of $25 million to $37.5 million, depending upon the amount of Residual Consideration eventually paid. Because the Initial Closing Securities sold by the Affiliated Entities in the Portfolio Sale were price on an aggregate basis, a price per share was not separately determined for the AcelRx Shares. F2 · ownership.nature: The shares are owned directly by Three Arch Associates III, L.P. ("TAA III"). TAM III, the general partner of TAA III, had sole voting and dispositive power with respect to the securities held by TAA III. Mark A. Wan and Wilfred Jaeger, the managing members of TAM III, shared the voting and dispositive power with respect to the shares held by TAA III. Such persons and entities disclaim beneficial ownership of the shares held by TAA III except to the extent of any pecuniary interest therein. See Explanation of Responses #5 for more information. Read SEC document |
| May 21, 2018 Filed May 23, 2018 18:00 UTC |
WAN MARK ADirector · 10% owner
JAEGER WILFRED E10% owner
THREE ARCH PARTNERS IV LP10% owner
THREE ARCH PARTNERS III LP10% owner
THREE ARCH ASSOCIATES IV LP10% owner
THREE ARCH ASSOCIATES III LP10% owner
|
OtherCommon Stock | 3,347,357 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-013837 · doc4.xml · nonDerivative · entry 1 WAN MARK A · CIK 0001190472 · Director · 10% owner JAEGER WILFRED E · CIK 0001190474 · 10% owner THREE ARCH PARTNERS IV LP · CIK 0001269801 · 10% owner THREE ARCH PARTNERS III LP · CIK 0001256741 · 10% owner THREE ARCH ASSOCIATES IV LP · CIK 0001276986 · 10% owner THREE ARCH ASSOCIATES III LP · CIK 0001113520 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · shares: The shares are owned directly by Three Arch Partners III, L.P. ("TAP III"). Three Arch Management III, L.L.C. ("TAM III"), the general partner of TAP III, had sole voting and dispositive power with respect to the securities held by TAP III. Mark A. Wan and Wilfred Jaeger, the managing members of TAM III, shared the voting and dispositive power with respect to the shares held by TAP III. Such persons and entities disclaim beneficial ownership of the shares held by TAP III except to the extent of any pecuniary interest therein. See Explanation of Responses #5 for more information. F5 · price: On May 21, 2018, the TAP III, TAP IV, TAA III and TAA IV (the "Affiliated Entities") and certain other affiliates of the Affiliated Entities and Leerink Revelation Healthcare Fund I, L.P., Industry Ventures Secondary VIII, L.P. and Kline Hill Partners Fund II LP (the "Purchasers") entered into a purchase agreement (the "Purchase Agreement") pursuant to which the Affiliated Entities agreed to a sale to the Purchasers (the "Portfolio Sale") of a portfolio of assets held by the Affiliated Entities consisting of the securities of private and public companies, including the 9,367,041 shares of Common Stock (the "AcelRx Shares") of AcelRx Pharmaceuticals, Inc. (the "Issuer") and other investment interests. The transfer of the AcelRx Shares and the securities of another portfolio asset (such securities together with the AcelRx Shares, the "Initial Closing Securities") was consummated at an initial closing on May 21, 2018 to the Purchasers. F6 · price: (Continued From Footenote 5) The Portfolio Sale was undertaken for portfolio management purposes in connection with the imminent expiration of the terms of the Affiliated Entities under their respective governing agreements, as the Affiliated Entities were initially formed between 1999 and 2004 with initially contemplated terms of ten years. The Portfolio Sale was undertaken as a result of the imminent dissolution of the Affiliated Entities due to the upcoming expiration of the terms under the governing agreements. The Portfolio Sale is not being undertaken as a result of an adverse change in the Affiliated Entities' views on the prospects of the Issuer, or its businesses, management or directors. Wan, a director of the Issuer and affiliate of the Affiliated Entities, will continue serving as a member of the Issuer's Board of Directors after the Portfolio Sale. F7 · price: (Continued From Footenote 6) The aggregate purchase price to be paid by the Purchasers in the Portfolio Sale is $30 million in up front consideration, plus a residual amount calculated based on, among other things, the trading price of the AcelRx Shares and certain other securities as of the end of calendar year 2018, up to a maximum aggregate amount of $12.5 million in additional consideration (the "Residual Consideration"). The Initial Closing Securities sold by the Affiliated Entities in the Portfolio Sale were priced on an aggregate basis, for total consideration in the range of $25 million to $37.5 million, depending upon the amount of Residual Consideration eventually paid. Because the Initial Closing Securities sold by the Affiliated Entities in the Portfolio Sale were price on an aggregate basis, a price per share was not separately determined for the AcelRx Shares. F1 · ownership.nature: The shares are owned directly by Three Arch Partners III, L.P. ("TAP III"). Three Arch Management III, L.L.C. ("TAM III"), the general partner of TAP III, had sole voting and dispositive power with respect to the securities held by TAP III. Mark A. Wan and Wilfred Jaeger, the managing members of TAM III, shared the voting and dispositive power with respect to the shares held by TAP III. Such persons and entities disclaim beneficial ownership of the shares held by TAP III except to the extent of any pecuniary interest therein. See Explanation of Responses #5 for more information. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:07 UTC |
Saia John G.General Counsel and Secretary
|
GrantStock Option (Right to Buy) · Derivative | 145,000 | $0.00 Strike: $2.40 | $0.00 |
DisclosureSEC source: 0001209191-18-025406 · doc4.xml · derivative · entry 1 Saia John G. · CIK 0001737840 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 Underlying: Common Stock · 145,000 shares Expires 2028-04-16 F1 · security: Issued pursuant to the 2011 Equity Incentive Plan. F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| January 22, 2018 Filed Jan 27, 2018 00:31 UTC |
ASADORIAN RAFFIChief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 147,500 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001437749-18-001231 · rdgdoc.xml · derivative · entry 1 ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,500 Underlying: Common Stock · 147,500 shares Expires 2028-01-21 F2 · security: Issued pursuant to the 2011 Equity Incentive Plan. F1 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| January 22, 2018 Filed Jan 27, 2018 00:30 UTC |
Dasu Badri NChief Engineering Officer
|
GrantStock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001437749-18-001230 · rdgdoc.xml · derivative · entry 1 Dasu Badri N · CIK 0001310803 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,000 Underlying: Common Stock · 115,000 shares Expires 2028-01-21 F2 · security: Issued pursuant to the 2011 Equity Incentive Plan. F1 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| January 22, 2018 Filed Jan 27, 2018 00:29 UTC |
Hamel Lawrence GChief Development Officer
|
GrantStock Option (Right to Buy) · Derivative | 95,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001437749-18-001229 · rdgdoc.xml · derivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common Stock · 95,000 shares Expires 2028-01-21 F2 · security: Issued pursuant to the 2011 Equity Incentive Plan. F1 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| January 22, 2018 Filed Jan 27, 2018 00:27 UTC |
Angotti Vincent J.Director · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 350,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001437749-18-001227 · rdgdoc.xml · derivative · entry 1 Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires 2028-01-21 F1 · security: Issued pursuant to the 2011 Equity Incentive Plan. F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date (August 16, 2018) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| January 22, 2018 Filed Jan 27, 2018 00:28 UTC |
Palmer Pamela PDirector · Chief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 173,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001437749-18-001228 · rdgdoc.xml · derivative · entry 1 Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,000 Underlying: Common Stock · 173,000 shares Expires 2028-01-21 F1 · security: Issued pursuant to the 2011 Equity Incentive Plan. F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date (August 16, 2018) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| November 14, 2017 Filed Nov 15, 2017 12:01 UTC |
EDWARDS MARK GDirector
|
PurchaseCommon Stock | 30,000 | $1.90 | $56,970.00 |
DisclosureSEC source: 0000899243-17-026271 · doc4.xml · nonDerivative · entry 1 EDWARDS MARK G · CIK 0001190429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 F1 · price: The price reported on Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $1.8923 to $1.90 on November 14, 2017. The reporting person will provide upon request to the SEC, the issuer or security holder of Issuer, full information regarding the number of shares purchased at each separate price. Read SEC document |
| November 13, 2017 Filed Nov 14, 2017 12:01 UTC |
ASADORIAN RAFFIChief Financial Officer
|
PurchaseCommon Stock | 5,000 | $1.94 | $9,710.50 |
DisclosureSEC source: 0000899243-17-026161 · doc4.xml · nonDerivative · entry 1 ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 11:01 UTC |
Dasu Badri NChief Engineering Officer
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 37,500 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0000899243-17-024533 · doc4.xml · derivative · entry 2 Dasu Badri N · CIK 0001310803 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,500 shares Expires 2017-10-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Fully vested. Read SEC document |
| October 19, 2017 Filed Oct 20, 2017 11:01 UTC |
Dasu Badri NChief Engineering Officer
|
Exercise / conversionCommon Stock | 37,500 | $1.20 | $45,000.00 |
DisclosureSEC source: 0000899243-17-024533 · doc4.xml · nonDerivative · entry 1 Dasu Badri N · CIK 0001310803 · Chief Engineering Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,390 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Balance includes non-reportable acquisition of 14,360 shares of Common Stock through the Company's Employee Stock Purchase Plan. Read SEC document |
| October 02, 2017 Filed Oct 3, 2017 20:37 UTC |
Hamel Lawrence GChief Development Officer
|
SaleCommon Stock | 10,161 | $5.29 | $53,751.69 |
DisclosureSEC source: 0001437749-17-016704 · rdgdoc.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 41,964 F1 · kind: Shares sold pursuant to a 10b5-1 plan. F2 · price: The Shares were sold at prices ranging from $5.10 to $5.50. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price. F3 · ownership.nature: The Shares are held in the Hamel Revocable Living Trust. 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.