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TVRD

Tvardi Therapeutics, Inc.

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7579
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0001346830
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 03, 2023 Filed Mar 7, 2023 21:47 UTC
Posner ChristopherDirector · President and CEO
SaleCommon Stock 5,987 $9.71 $58,133.77
Disclosure

SEC source: 0001209191-23-016796 · doc4.xml · nonDerivative · entry 1

Posner Christopher · CIK 0001748265 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,383

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units and does not represent a discretionary trade by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.60 to $9.71, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 21:44 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
SaleCommon Stock 6,256 $9.71 $60,745.76
Disclosure

SEC source: 0001209191-23-016790 · doc4.xml · nonDerivative · entry 1

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,527

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units and does not represent a discretionary trade by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.60 to $9.71, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:37 UTC
Goncalves JoanaChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 81,000 $0.00 Strike: $10.06 $0.00
Disclosure

SEC source: 0001209191-23-015566 · doc4.xml · derivative · entry 1

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,000

Underlying: Common Stock · 81,000 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on April 1, 2023, in each case subject to the Reporting Person's continued service as of each such date.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:38 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
GrantStock Option (Right to Buy) · Derivative 81,000 $0.00 Strike: $10.06 $0.00
Disclosure

SEC source: 0001209191-23-015577 · doc4.xml · derivative · entry 1

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,000

Underlying: Common Stock · 81,000 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on April 1, 2023, in each case subject to the Reporting Person's continued service as of each such date.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:38 UTC
Maynard Ryan DChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 81,000 $0.00 Strike: $10.06 $0.00
Disclosure

SEC source: 0001209191-23-015571 · doc4.xml · derivative · entry 1

Maynard Ryan D · CIK 0001363984 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,000

Underlying: Common Stock · 81,000 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on April 1, 2023, in each case subject to the Reporting Person's continued service as of each such date.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:36 UTC
Menzaghi Frederique Ph.D.Chief Scientific Off,SVP-R&D
GrantStock Option (Right to Buy) · Derivative 81,000 $0.00 Strike: $10.06 $0.00
Disclosure

SEC source: 0001209191-23-015562 · doc4.xml · derivative · entry 1

Menzaghi Frederique Ph.D. · CIK 0001597152 · Chief Scientific Off,SVP-R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,000

Underlying: Common Stock · 81,000 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on April 1, 2023, in each case subject to the Reporting Person's continued service as of each such date.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:35 UTC
Posner ChristopherDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $10.06 $0.00
Disclosure

SEC source: 0001209191-23-015553 · doc4.xml · derivative · entry 1

Posner Christopher · CIK 0001748265 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on April 1, 2023, in each case subject to the Reporting Person's continued service as of each such date.

Read SEC document
February 16, 2023 Filed Feb 17, 2023 21:27 UTC
Goncalves JoanaChief Medical Officer
SaleCommon Stock 2,265 $10.20 $23,103.00
Disclosure

SEC source: 0001209191-23-010627 · doc4.xml · nonDerivative · entry 1

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,106

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.

Read SEC document
February 08, 2023 Filed Feb 12, 2024 22:13 UTC
Goncalves JoanaCHIEF MEDICAL OFFICER
SaleCommon Stock 7,770 $0.53 $4,118.10
Disclosure

SEC source: 0001415889-24-003400 · form4-02122024_100214.xml · nonDerivative · entry 1

Goncalves Joana · CIK 0001756991 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,411

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person on March 12, 2020 in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units and does not represent a discretionary trade by the Reporting Person.

Read SEC document
February 08, 2023 Filed Feb 12, 2024 22:16 UTC
Terrillion ScottSEC'Y; CHIEF COMPLIANCE & G.C.
SaleCommon Stock 7,770 $0.53 $4,118.10
Disclosure

SEC source: 0001415889-24-003408 · form4-02122024_100232.xml · nonDerivative · entry 1

Terrillion Scott · CIK 0001706426 · SEC'Y; CHIEF COMPLIANCE & G.C.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,293

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person on September 7, 2018 in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units and does not represent a discretionary trade by the Reporting Person.

Read SEC document
February 08, 2023 Filed Feb 12, 2024 22:15 UTC
Maynard Ryan DCHIEF FINANCIAL OFFICER
SaleCommon Stock 5,488 $0.53 $2,908.64
Disclosure

SEC source: 0001415889-24-003404 · form4-02122024_100201.xml · nonDerivative · entry 1

Maynard Ryan D · CIK 0001363984 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,012

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person on September 14, 2023 accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units and does not represent a discretionary trade by the Reporting Person.

Read SEC document
February 02, 2023 Filed Feb 3, 2023 23:38 UTC
Posner ChristopherDirector · President and CEO
SaleCommon Stock 4,191 $11.80 $49,453.80
Disclosure

SEC source: 0001209191-23-007170 · doc4.xml · nonDerivative · entry 1

Posner Christopher · CIK 0001748265 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,370

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on November 3, 2021 and does not represent a discretionary trade by the Reporting Person.

Read SEC document
January 17, 2023 Filed Jan 19, 2023 21:18 UTC
Goncalves JoanaChief Medical Officer
SaleCommon Stock 2,265 $10.81 $24,484.65
Disclosure

SEC source: 0001209191-23-004013 · doc4.xml · nonDerivative · entry 1

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,371

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.

Read SEC document
January 02, 2023 Filed Jan 19, 2023 22:49 UTC GrantStock Option (Right to Buy) · Derivative 45,841 $0.00 Strike: $10.74 $0.00
Disclosure

SEC source: 0001209191-23-004068 · doc4.xml · derivative · entry 1

von Moltke Lisa · CIK 0001808592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,841

Underlying: Common Stock · 45,841 shares

Expires 2033-01-02

F1 · derivative.exercise_date: The shares shall vest and become exercisable in twelve (12) equal quarterly installments beginning on November 1, 2022, in each case subject to the Reporting Person's continued service as of each such date.

Read SEC document
December 29, 2022 Filed Jan 3, 2023 21:32 UTC
Goncalves JoanaChief Medical Officer
SaleCommon Stock 2,265 $10.18 $23,057.70
Disclosure

SEC source: 0001209191-23-000232 · doc4.xml · nonDerivative · entry 1

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,636

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person.

Read SEC document
December 21, 2022 Filed Dec 23, 2022 21:53 UTC
Goncalves JoanaChief Medical Officer
SaleCommon Stock 2,992 $11.27 $33,719.84
Disclosure

SEC source: 0001209191-22-062629 · doc4.xml · nonDerivative · entry 1

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,901

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on December 21, 2021, and does not represent a discretionary trade by the Reporting Person.

Read SEC document
December 21, 2022 Filed Dec 23, 2022 21:54 UTC
Menzaghi Frederique Ph.D.Chief Scientific Off,SVP-R&D
SaleCommon Stock 3,506 $11.27 $39,512.62
Disclosure

SEC source: 0001209191-22-062632 · doc4.xml · nonDerivative · entry 1

Menzaghi Frederique Ph.D. · CIK 0001597152 · Chief Scientific Off,SVP-R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,275

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on December 21, 2021, and does not represent a discretionary trade by the Reporting Person.

Read SEC document
December 21, 2022 Filed Dec 23, 2022 21:52 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
SaleCommon Stock 2,561 $11.27 $28,862.47
Disclosure

SEC source: 0001209191-22-062628 · doc4.xml · nonDerivative · entry 1

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,783

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on December 21, 2021, and does not represent a discretionary trade by the Reporting Person.

Read SEC document
November 16, 2022 Filed Nov 18, 2022 22:23 UTC
Posner ChristopherDirector · President and CEO
SaleCommon Stock 14,470 $11.13 $161,051.10
Disclosure

SEC source: 0001209191-22-057948 · doc4.xml · nonDerivative · entry 1

Posner Christopher · CIK 0001748265 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,561

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on November 3, 2021, and does not represent a discretionary trade by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.13 to $11.49, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

Read SEC document
September 14, 2022 Filed Sep 16, 2022 16:21 UTC SaleCommon Stock 10,800 $10.28 $111,024.00
Disclosure

SEC source: 0001209191-22-050320 · doc4.xml · nonDerivative · entry 1

VOGELBAUM MARTIN · CIK 0001237624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,988

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.17 to $10.41, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 20:42 UTC
Maynard Ryan DChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 225,000 $0.00 Strike: $10.75 $0.00
Disclosure

SEC source: 0001209191-22-049931 · doc4.xml · derivative · entry 1

Maynard Ryan D · CIK 0001363984 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 225,000 shares

Expires 2032-09-12

F1 · derivative.exercise_date: 25% of the shares will vest and become exercisable on September 12, 2023 and the remainder will vest over the following 36 equal monthly installments, in each case, subject to the Reporting Person's continued service to the Issuer as of each such date.

Read SEC document
July 15, 2022 Filed Jul 19, 2022 17:13 UTC SaleCommon Stock 7,200 $9.05 $65,160.00
Disclosure

SEC source: 0001209191-22-042604 · doc4.xml · nonDerivative · entry 1

BAINS HARRISON M JR · CIK 0001202282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,076

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person on June 15, 2022.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.97 to $9.37, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

Read SEC document
July 15, 2022 Filed Jul 19, 2022 21:16 UTC SaleCommon Stock 3,600 $9.05 $32,580.00
Disclosure

SEC source: 0001209191-22-042606 · doc4.xml · nonDerivative · entry 1

Ives Jeffrey L. · CIK 0001614096 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,476

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Trading Plan adopted by the Reporting Person on June 15, 2022.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.97 to $9.37, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

Read SEC document
June 15, 2022 Filed Jun 16, 2022 21:14 UTC
Makara RichardVP, Head of Accting;Controller
GrantCommon Stock 7,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-037523 · doc4.xml · nonDerivative · entry 1

Makara Richard · CIK 0001798130 · VP, Head of Accting;Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,583

F1 · shares: Represents restricted stock units ("RSUs"). Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs will vest on the earlier of (i) December 31, 2022, or (ii) the appointment of the Issuer's new Chief Financial Officer, subject to the Reporting Person's continued service to the Issuer as of such vesting date.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 21:52 UTC GrantStock Option (Right to Buy) · Derivative 16,996 $0.00 Strike: $8.42 $0.00
Disclosure

SEC source: 0001209191-22-034627 · doc4.xml · derivative · entry 2

Shiff Susan Ph.D. · CIK 0001811463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,996

Underlying: Common Stock · 16,996 shares

Expires 2032-06-02

F2 · derivative.exercise_date: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) June 2, 2023 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 21:52 UTC GrantCommon Stock 11,876 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-034627 · doc4.xml · nonDerivative · entry 1

Shiff Susan Ph.D. · CIK 0001811463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,076

F1 · shares: Represents the number of shares underlying restricted stock units ("RSUs") granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs vest on the earlier of (i) June 2, 2023 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 17:49 UTC GrantStock Option (Right to Buy) · Derivative 33,993 $0.00 Strike: $8.42 $0.00
Disclosure

SEC source: 0001209191-22-034624 · doc4.xml · derivative · entry 3

VOGELBAUM MARTIN · CIK 0001237624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,993

Underlying: Common Stock · 33,993 shares

Expires 2032-06-02

F3 · derivative.exercise_date: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) June 2, 2023 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 17:49 UTC GrantCommon Stock 11,876 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-034624 · doc4.xml · nonDerivative · entry 2

VOGELBAUM MARTIN · CIK 0001237624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,788

F2 · shares: Represents a one-time grant of 11,876 RSUs. Each RSU represents the contingent right to receive one share of the common stock of the Issuer. The RSUs are fully vested on the date of grant.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 17:49 UTC GrantCommon Stock 23,752 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-034624 · doc4.xml · nonDerivative · entry 1

VOGELBAUM MARTIN · CIK 0001237624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,912

F1 · shares: Represents the number of shares underlying restricted stock units ("RSUs") granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs vest on the earlier of (i) June 2, 2023 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 17:50 UTC GrantStock Option (Right to Buy) · Derivative 16,996 $0.00 Strike: $8.42 $0.00
Disclosure

SEC source: 0001209191-22-034625 · doc4.xml · derivative · entry 2

BAINS HARRISON M JR · CIK 0001202282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,996

Underlying: Common Stock · 16,996 shares

Expires 2032-06-02

F2 · derivative.exercise_date: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) June 2, 2023 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 17:50 UTC GrantCommon Stock 11,876 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-034625 · doc4.xml · nonDerivative · entry 1

BAINS HARRISON M JR · CIK 0001202282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,276

F1 · shares: Represents the number of shares underlying restricted stock units ("RSUs") granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs vest on the earlier of (i) June 2, 2023 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 21:51 UTC GrantStock Option (Right to Buy) · Derivative 16,996 $0.00 Strike: $8.42 $0.00
Disclosure

SEC source: 0001209191-22-034626 · doc4.xml · derivative · entry 2

Ives Jeffrey L. · CIK 0001614096 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,996

Underlying: Common Stock · 16,996 shares

Expires 2032-06-02

F2 · derivative.exercise_date: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) June 2, 2023 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 21:51 UTC GrantCommon Stock 11,876 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-034626 · doc4.xml · nonDerivative · entry 1

Ives Jeffrey L. · CIK 0001614096 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,076

F1 · shares: Represents the number of shares underlying restricted stock units ("RSUs") granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs vest on the earlier of (i) June 2, 2023 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

Read SEC document
April 04, 2022 Filed Apr 5, 2022 21:48 UTC
Posner ChristopherDirector · President and CEO
SaleCommon Stock 2,006 $12.67 $25,416.02
Disclosure

SEC source: 0001209191-22-023237 · doc4.xml · nonDerivative · entry 1

Posner Christopher · CIK 0001748265 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,031

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on May 28, 2021 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on November 3, 2021, and does not represent a discretionary trade by the Reporting Person.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 21:50 UTC
Goncalves JoanaChief Medical Officer
SaleCommon Stock 1,642 $11.91 $19,556.22
Disclosure

SEC source: 0001209191-22-023248 · doc4.xml · nonDerivative · entry 1

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,893

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on September 6, 2018 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on April 1, 2021, and does not represent a discretionary trade by the Reporting Person.

Read SEC document
April 01, 2022 Filed Apr 5, 2022 21:51 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
SaleCommon Stock 1,642 $11.91 $19,556.22
Disclosure

SEC source: 0001209191-22-023249 · doc4.xml · nonDerivative · entry 1

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,344

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on September 6, 2018 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on April 1, 2021, and does not represent a discretionary trade by the Reporting Person.

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April 01, 2022 Filed Apr 5, 2022 21:49 UTC
Menzaghi Frederique Ph.D.Chief Scientific Off,SVP-R&D
SaleCommon Stock 1,784 $11.91 $21,247.44
Disclosure

SEC source: 0001209191-22-023241 · doc4.xml · nonDerivative · entry 1

Menzaghi Frederique Ph.D. · CIK 0001597152 · Chief Scientific Off,SVP-R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,781

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on September 6, 2018 to satisfy the tax withholding obligations triggered by the vesting of restricted stock units reported in the Form 4 filed with the Securities and Exchange Commission on April 1, 2021, and does not represent a discretionary trade by the Reporting Person.

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March 03, 2022 Filed Mar 4, 2022 22:54 UTC
Reilly Thomas CharlesChief Financial Officer
SaleCommon Stock 2,044 $11.38 $23,260.72
Disclosure

SEC source: 0001209191-22-016438 · doc4.xml · nonDerivative · entry 1

Reilly Thomas Charles · CIK 0001827590 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,811

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on June 14, 2021 to satisfy the tax withholding obligations triggered by the vesting of performance-based RSUs reported in the Form 4 filed with the Securities and Exchange Commission on March 1, 2022, and does not represent a discretionary trade by the Reporting Person.

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March 03, 2022 Filed Mar 4, 2022 22:51 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
SaleCommon Stock 1,787 $11.38 $20,336.06
Disclosure

SEC source: 0001209191-22-016431 · doc4.xml · nonDerivative · entry 1

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,986

F1 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on September 6, 2018 to satisfy the tax withholding obligations triggered by the vesting of performance-based RSUs reported in the Form 4 filed with the Securities and Exchange Commission on March 1, 2022, and does not represent a discretionary trade by the Reporting Person.

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February 28, 2022 Filed Mar 1, 2022 21:18 UTC
Reilly Thomas CharlesChief Financial Officer
GrantCommon Stock 5,333 $10.29 $54,876.57
Disclosure

SEC source: 0001209191-22-013992 · doc4.xml · nonDerivative · entry 2

Reilly Thomas Charles · CIK 0001827590 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,855

F2 · shares: Represents the number of shares that vested under a performance-based restricted stock unit award (the "RSU") based on the Issuer's satisfaction of certain performance criteria of the award. In light of the performance-based vesting conditions of the award, such shares were not reportable under Section 16 until vesting was determined, which occurred on February 28, 2022. The vested shares represents the last of three possible vesting events of the total number of shares subject to the award. Each RSU represents the contingent right to receive one share of common stock of the Issuer.

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February 28, 2022 Filed Mar 1, 2022 21:19 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
GrantCommon Stock 5,333 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-013994 · doc4.xml · nonDerivative · entry 3

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,773

F3 · shares: Represents the number of shares that vested under a performance-based restricted stock unit award (the "RSU") based on the Issuer's satisfaction of certain performance criteria of the award. In light of the performance-based vesting conditions of the award, such shares were not reportable under Section 16 until vesting was determined, which occurred on February 28, 2022. The vested shares represents the last of three possible vesting events of the total number of shares subject to the award. Each RSU represents the contingent right to receive one share of common stock of the Issuer.

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February 25, 2022 Filed Mar 1, 2022 21:14 UTC
Goncalves JoanaChief Medical Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 80,000 $0.00 Strike: $10.46 $0.00
Disclosure

SEC source: 0001209191-22-013983 · doc4.xml · derivative · entry 3

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2032-02-25

F3 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on March 25, 2022, in each case subject to the Reporting Person's continued service as of each such date.

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February 25, 2022 Filed Mar 1, 2022 21:14 UTC
Goncalves JoanaChief Medical Officer
SaleCommon Stock 1,972 $10.29 $20,291.88
Disclosure

SEC source: 0001209191-22-013983 · doc4.xml · nonDerivative · entry 2

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,535

F2 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on September 6, 2018 to satisfy the tax withholding obligations triggered by the vesting of RSUs reported in the Form 4 filed with the Securities and Exchange Commission on August 26, 2021, and does not represent a discretionary trade by the Reporting Person.

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February 25, 2022 Filed Mar 1, 2022 21:14 UTC
Goncalves JoanaChief Medical Officer
GrantCommon Stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-013983 · doc4.xml · nonDerivative · entry 1

Goncalves Joana · CIK 0001756991 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,507

F1 · shares: Represents the number of shares underlying restricted stock units ("RSUs"). Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs vest in three equal annual installments on each of February 25, 2023, February 25, 2024 and February 25, 2025, in each case, subject to the Reporting Person's continued service (as that term is defined in the Issuer's 2014 Equity Incentive Plan) as of each such date.

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February 25, 2022 Filed Mar 1, 2022 21:18 UTC
Reilly Thomas CharlesChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $10.46 $0.00
Disclosure

SEC source: 0001209191-22-013992 · doc4.xml · derivative · entry 3

Reilly Thomas Charles · CIK 0001827590 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-02-25

F3 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on March 25, 2022, in each case subject to the Reporting Person's continued service as of each such date.

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February 25, 2022 Filed Mar 1, 2022 21:18 UTC
Reilly Thomas CharlesChief Financial Officer
GrantCommon Stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-013992 · doc4.xml · nonDerivative · entry 1

Reilly Thomas Charles · CIK 0001827590 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,522

F1 · shares: Represents the number of shares underlying restricted stock units ("RSUs"). Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs vest in three equal annual installments on each of February 25, 2023, February 25, 2024 and February 25, 2025, in each case, subject to the Reporting Person's continued service (as that term is defined in the Issuer's 2014 Equity Incentive Plan) as of each such date.

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February 25, 2022 Filed Mar 1, 2022 21:19 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
GrantEmployee Stock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $10.46 $0.00
Disclosure

SEC source: 0001209191-22-013994 · doc4.xml · derivative · entry 4

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-02-25

F4 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on March 25, 2022, in each case subject to the Reporting Person's continued service as of each such date.

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February 25, 2022 Filed Mar 1, 2022 21:19 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
SaleCommon Stock 1,972 $10.29 $20,291.88
Disclosure

SEC source: 0001209191-22-013994 · doc4.xml · nonDerivative · entry 2

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,440

F2 · kind: This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on September 6, 2018 to satisfy the tax withholding obligations triggered by the vesting of RSUs reported in the Form 4 filed with the Securities and Exchange Commission on August 26, 2021, and does not represent a discretionary trade by the Reporting Person.

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February 25, 2022 Filed Mar 1, 2022 21:19 UTC
Terrillion ScottSec'y; Chief Compliance & G.C.
GrantCommon Stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-013994 · doc4.xml · nonDerivative · entry 1

Terrillion Scott · CIK 0001706426 · Sec'y; Chief Compliance & G.C.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,412

F1 · shares: Represents the number of shares underlying restricted stock units ("RSUs"). Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs vest in three equal annual installments on each of February 25, 2023, February 25, 2024 and February 25, 2025, in each case, subject to the Reporting Person's continued service (as that term is defined in the Issuer's 2014 Equity Incentive Plan) as of each such date.

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February 25, 2022 Filed Mar 1, 2022 21:16 UTC
Menzaghi Frederique Ph.D.Chief Scientific Off,SVP-R&D
GrantEmployee Stock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $10.46 $0.00
Disclosure

SEC source: 0001209191-22-013986 · doc4.xml · derivative · entry 3

Menzaghi Frederique Ph.D. · CIK 0001597152 · Chief Scientific Off,SVP-R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-02-25

F3 · derivative.exercise_date: The shares shall vest and become exercisable in a series of 48 successive equal monthly installments beginning on March 25, 2022, in each case subject to the Reporting Person's continued service as of each such date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.