TLPH

SEC source: 0001437749-17-016405 · 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: 68,504

F2 · price: The Shares were sold in a range from $3.50-$4.50

F3 · balance_after: Non-reportable acquisition of 1,977 shares of Common Stock through the Company's Employee Stock Purchase Plan

F1 · ownership.direct: 52,125 of the Shares are held in the Hamel Revocable Living Trust

F1 · ownership.nature: 52,125 of the Shares are held in the Hamel Revocable Living Trust

SEC source: 0001437749-17-015834 · rdgdoc.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

SEC source: 0001437749-17-015259 · rdgdoc.xml · nonDerivative · entry 2

EDWARDS MARK G · CIK 0001190429 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

SEC source: 0001437749-17-015261 · rdgdoc.xml · nonDerivative · entry 1

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001437749-17-015179 · rdgdoc.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 415,801

F1 · price: This is a weighted average purchase price. Shares were purchased in the range of $2.9250 and $2.95.

F2 · balance_after: Balance includes non-reportable acquisition of 6,786 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001437749-17-015259 · rdgdoc.xml · nonDerivative · entry 1

EDWARDS MARK G · CIK 0001190429 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,200

SEC source: 0001437749-17-014929 · rdgdoc.xml · derivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2027-08-15

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.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001012975-17-000494 · edgar.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 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: 4,533,728

F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001437749-17-011357 · rdgdoc.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 2027-06-14

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · 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.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-011356 · rdgdoc.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 2027-06-14

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · 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.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-011355 · rdgdoc.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 2027-06-14

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · 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.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-011354 · rdgdoc.xml · derivative · entry 1

WAN MARK A · CIK 0001190472 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-06-14

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · 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.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-011353 · rdgdoc.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 2027-06-14

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · 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.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-011352 · rdgdoc.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 2027-06-14

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · 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.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001209191-19-008170 · doc5.xml · derivative · entry 4

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 2027-06-14

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.

SEC source: 0001437749-17-006460 · rdgdoc.xml · derivative · entry 3

Hamel Lawrence G · CIK 0001511368 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,122 shares

Expires 2017-12-05

F2 · derivative.exercise_date: Options vest as follows: 1/4 of the shares subject to the option vest on December 4, 2008 with the remaining shares subject to the option vesting on an equal monthly basis over 36 months.

SEC source: 0001437749-17-006460 · rdgdoc.xml · nonDerivative · entry 2

Hamel Lawrence G · CIK 0001511368 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,354

F1 · price: Non-reportable acquisition of 6,879 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001437749-17-006460 · rdgdoc.xml · nonDerivative · entry 1

Hamel Lawrence G · CIK 0001511368 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,475

SEC source: 0001437749-17-003950 · rdgdoc.xml · derivative · entry 1

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2027-03-05

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 (March 6, 2018) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: The shares have double-trigger acceleration on a change of control

SEC source: 0001437749-17-002062 · rdgdoc.xml · derivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,500

Underlying: Common Stock · 132,500 shares

Expires 2028-02-06

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 (February 7, 2017) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-002067 · rdgdoc.xml · derivative · entry 1

Hamel Lawrence G · CIK 0001511368 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,500

Underlying: Common Stock · 79,500 shares

Expires 2028-02-06

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 (February 7, 2017) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-002066 · rdgdoc.xml · derivative · entry 1

MORRIS TIMOTHY E · CIK 0001191286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Common Stock · 112,500 shares

Expires 2028-02-06

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 (February 7, 2017) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-002065 · rdgdoc.xml · derivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,500

Underlying: Common Stock · 79,500 shares

Expires 2028-02-06

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 (February 7, 2017) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-002063 · rdgdoc.xml · derivative · entry 1

Mitchell Jane Wright · CIK 0001614568 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,500

Underlying: Common Stock · 79,500 shares

Expires 2028-02-06

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 (February 7, 2017) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001437749-17-002807 · rdgdoc.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,000

Underlying: Common Stock · 366,000 shares

Expires 2028-02-06

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 (February 7, 2016) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001019056-16-001565 · acelrx_4.xml · nonDerivative · entry 2

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,386,410

F1 · ownership.nature: This Form 4 is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of Master Fund and to a managed account (the "Managed Account") for Titan Perc, Ltd. Mr. Edelman is the managing member of the Advisor.

F2 · ownership.nature: This amount reflects the amount of securities held by the Master Fund and the Managed Account immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund and the Managed Account is reported herein. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001019056-16-001565 · acelrx_4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,483,610

F1 · ownership.nature: This Form 4 is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of Master Fund and to a managed account (the "Managed Account") for Titan Perc, Ltd. Mr. Edelman is the managing member of the Advisor.

F2 · ownership.nature: This amount reflects the amount of securities held by the Master Fund and the Managed Account immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund and the Managed Account is reported herein. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001019056-16-001549 · acelrx_4.xml · nonDerivative · entry 2

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,602,910

F1 · ownership.nature: This Form 4 is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of Master Fund and to a managed account (the "Managed Account") for Titan Perc, Ltd. Mr. Edelman is the managing member of the Advisor.

F2 · ownership.nature: This amount reflects the amount of securities held by the Master Fund and the Managed Account immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund and the Managed Account is reported herein. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001019056-16-001549 · acelrx_4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,718,833

F1 · ownership.nature: This Form 4 is being filed by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"), Perceptive Advisors LLC (the "Advisor") and Joseph Edelman. The Advisor serves as the investment manager of Master Fund and to a managed account (the "Managed Account") for Titan Perc, Ltd. Mr. Edelman is the managing member of the Advisor.

F2 · ownership.nature: This amount reflects the amount of securities held by the Master Fund and the Managed Account immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 4, the entire amount of the Issuer's securities held by Master Fund and the Managed Account is reported herein. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-19-008170 · doc5.xml · derivative · entry 3

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 2026-06-20

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.

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001209191-19-008170 · doc5.xml · derivative · entry 2

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 2025-06-22

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.

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001209191-19-008170 · doc5.xml · derivative · entry 1

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 2024-07-23

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.

F3 · derivative.exercise_date: Fully vested.