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Nasdaq · USD

VKTX

Viking Therapeutics, Inc.

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Tapewire entity
4067
SEC CIK
0001607678
Parsed reports
183

Last 12 months

Inside the activity.

1 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 2026013
Feb 202600
Mar 202610
Apr 202600
May 202600
Jun 202600
Jul 202603
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 02, 2019 Filed Jan 3, 2019 20:22 UTC GrantStock Option (Right to Buy) · Derivative 22,000 $0.00 Strike: $8.32 $0.00
Disclosure

SEC source: 0001209191-19-001561 · doc4.xml · derivative · entry 1

MACARTNEY LAWSON · CIK 0001606831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

Underlying: Common Stock · 22,000 shares

Expires 2029-01-02

Read SEC document
September 25, 2018 Filed Sep 28, 2018 01:25 UTC SaleCommon Stock 262,881 $19.15 $5,034,250.01
Disclosure

SEC source: 0000899243-18-025453 · doc4.xml · nonDerivative · entry 1

LIGAND PHARMACEUTICALS INC · CIK 0000886163 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,038,083

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.74, 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, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes 882,474 shares of Common Stock held by Metabasis Therapeutics, Inc., a wholly owned subsidiary of the Reporting Person.

Read SEC document
July 01, 2018 Filed Jul 3, 2018 17:25 UTC
Masamune HirokoChief Development Officer
GrantStock Option (Right to Buy) · Derivative 42,000 $0.00 Strike: $9.49 $0.00
Disclosure

SEC source: 0001209191-18-041236 · doc4.xml · derivative · entry 2

Masamune Hiroko · CIK 0001745341 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Stock · 42,000 shares

Expires 2028-07-01

F2 · derivative.exercise_date: One-third of the shares subject to the option will vest on each one year anniversary of the grant date.

Read SEC document
July 01, 2018 Filed Jul 3, 2018 17:25 UTC
Masamune HirokoChief Development Officer
GrantCommon Stock, par value $0.00001 per share 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-041236 · doc4.xml · nonDerivative · entry 1

Masamune Hiroko · CIK 0001745341 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,197

F1 · shares: Represents a restricted stock unit award ("RSU") of common stock under the Issuer's 2014 Equity Incentive Plan. One-third of the shares subject to the RSU shall vest on each one year anniversary of the grant date of the award.

Read SEC document
May 31, 2018 Filed May 31, 2018 19:04 UTC PurchaseCommon Stock, par value $0.00001 per share 9,500 $9.82 $93,260.55
Disclosure

SEC source: 0001209191-18-034496 · doc4.xml · nonDerivative · entry 1

SINGLETON J MATTHEW · CIK 0001243514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,500

Read SEC document
May 31, 2018 Filed May 31, 2018 19:03 UTC
MORNEAU MICHAELVP, Finance and Administration
SaleCommon Stock, par value $0.00001 per share 21,551 $9.25 $199,346.75
Disclosure

SEC source: 0001209191-18-034494 · doc4.xml · nonDerivative · entry 1

MORNEAU MICHAEL · CIK 0001517780 · VP, Finance and Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,035

F1 · shares: All 21,551 of the shares were acquired on May 18, 2018 pursuant to the Issuer's 2014 Employee Stock Purchase Plan.

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May 29, 2018 Filed May 31, 2018 22:59 UTC PurchaseCommon Stock, par value $0.00001 per share 8,000 $5.21 $41,712.00
Disclosure

SEC source: 0001209191-18-034485 · doc4.xml · nonDerivative · entry 1

Webster Stephen W · CIK 0001438421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.203 to $5.216, 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 purchased at each separate price within the ranges set forth in this footnote.

Read SEC document
May 29, 2018 Filed May 31, 2018 19:02 UTC PurchaseCommon Stock, par value $0.00001 per share 30,000 $5.16 $154,800.00
Disclosure

SEC source: 0001209191-18-034490 · doc4.xml · nonDerivative · entry 1

Rowland Charles A Jr · CIK 0001383292 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.06 to $5.28, 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 purchased at each separate price within the ranges set forth in this footnote.

Read SEC document
May 29, 2018 Filed May 31, 2018 18:57 UTC PurchaseCommon Stock, par value $0.00001 per share 47,965 $5.22 $250,329.34
Disclosure

SEC source: 0001209191-18-034482 · doc4.xml · nonDerivative · entry 1

MACARTNEY LAWSON · CIK 0001606831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,965

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.1417 to $5.2412, 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 purchased at each separate price within the ranges set forth in this footnote.

Read SEC document
May 21, 2018 Filed Sep 28, 2018 01:25 UTC OtherConvertible Note (convertible into Common Stock) · Derivative 1,916,509 $1,916,509.00 $3,673,006,747,081.00
Disclosure

SEC source: 0000899243-18-025453 · doc4.xml · derivative · entry 3

LIGAND PHARMACEUTICALS INC · CIK 0000886163 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: The Convertible Notes were repurchased in full by the Issuer on May 23, 2018. The Convertible Notes were convertible at a price per share equal to the lesser of (1) (x) if the conversion occurs within 180 days of April 13, 2016, $1.25, or (y) if the conversion occurs after October 10, 2016, the volume weighted average closing price of the Common Stock, as reported by The Nasdaq Stock Market LLC, for the thirty (30) consecutive trading days ending on the last trading date immediately preceding the date of conversion, and (2) $8.00 (as adjusted for any and all stock dividends, stock splits, stock combinations or other similar transactions).

F6 · kind: Represents repayment in full by the Issuer of the Convertible Notes.

F5 · derivative.exercise_date: The Convertible Note was convertible on or after May 21, 2018 (the "Maturity Date"). In addition, prior to the Maturity Date, the Issuer has the option to prepay part of all of the outstanding Convertible Notes in which case the Reporting Person has the option to receive the prepayment in cash or shares of Common Stock, subject to certain conditions.

F5 · derivative.expiration_date: The Convertible Note was convertible on or after May 21, 2018 (the "Maturity Date"). In addition, prior to the Maturity Date, the Issuer has the option to prepay part of all of the outstanding Convertible Notes in which case the Reporting Person has the option to receive the prepayment in cash or shares of Common Stock, subject to certain conditions.

F3 · derivative.underlying_shares: The Convertible Notes were repurchased in full by the Issuer on May 23, 2018. The Convertible Notes were convertible at a price per share equal to the lesser of (1) (x) if the conversion occurs within 180 days of April 13, 2016, $1.25, or (y) if the conversion occurs after October 10, 2016, the volume weighted average closing price of the Common Stock, as reported by The Nasdaq Stock Market LLC, for the thirty (30) consecutive trading days ending on the last trading date immediately preceding the date of conversion, and (2) $8.00 (as adjusted for any and all stock dividends, stock splits, stock combinations or other similar transactions).

Read SEC document
May 04, 2018 Filed May 8, 2018 20:37 UTC
MORNEAU MICHAELVP, Finance and Administration
Tax withholdingCommon Stock, par value $0.00001 per share 7,616 $4.22 $32,139.52
Disclosure

SEC source: 0001209191-18-028718 · doc4.xml · nonDerivative · entry 1

MORNEAU MICHAEL · CIK 0001517780 · VP, Finance and Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,035

F1 · kind: These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations upon the vesting of certain shares of restricted stock.

Read SEC document
May 04, 2018 Filed May 9, 2018 00:37 UTC
Lian BrianDirector · President & CEO
Tax withholdingCommon Stock, par value $0.00001 per share 10,086 $4.22 $42,562.92
Disclosure

SEC source: 0001209191-18-028717 · doc4.xml · nonDerivative · entry 1

Lian Brian · CIK 0001614578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,483,012

F1 · kind: These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations upon the vesting of certain shares of restricted stock.

Read SEC document
January 19, 2018 Filed Jan 23, 2018 17:42 UTC
MORNEAU MICHAELChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 52,500 $0.00 Strike: $4.65 $0.00
Disclosure

SEC source: 0001209191-18-004973 · doc4.xml · derivative · entry 2

MORNEAU MICHAEL · CIK 0001517780 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,500

Underlying: Common Stock · 52,500 shares

Expires 2028-01-19

F3 · derivative.exercise_date: 25% of the shares subject to the option will vest on each anniversary of the grant date.

Read SEC document
January 19, 2018 Filed Jan 23, 2018 17:42 UTC
MORNEAU MICHAELChief Financial Officer
GrantCommon Stock, par value $0.00001 per share 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-004973 · doc4.xml · nonDerivative · entry 1

MORNEAU MICHAEL · CIK 0001517780 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,651

F1 · shares: Represents a restricted stock unit award ("RSU") of common stock under the Issuer's 2014 Equity Incentive Plan. One-third of the shares subject to the RSU shall vest on each one year anniversary of the grant date of the award.

F2 · balance_after: Includes 3,004 shares acquired on May 19, 2017 pursuant to the Issuer's 2014 Employee Stock Purchase Plan and 3,043 shares acquired on November 20, 2017 pursuant to the Issuer's 2014 Employee Stock Purchase Plan.

Read SEC document
January 19, 2018 Filed Jan 23, 2018 22:41 UTC
Lian BrianDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 140,000 $0.00 Strike: $4.65 $0.00
Disclosure

SEC source: 0001209191-18-004972 · doc4.xml · derivative · entry 2

Lian Brian · CIK 0001614578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 140,000 shares

Expires 2028-01-19

F2 · derivative.exercise_date: 25% of the shares subject to the option will vest on each anniversary of the grant date.

Read SEC document
January 19, 2018 Filed Jan 23, 2018 22:41 UTC
Lian BrianDirector · President & CEO
GrantCommon Stock, par value $0.00001 per share 40,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-004972 · doc4.xml · nonDerivative · entry 1

Lian Brian · CIK 0001614578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,493,098

F1 · shares: Represents a restricted stock unit award ("RSU") of common stock under the Issuer's 2014 Equity Incentive Plan. One-third of the shares subject to the RSU shall vest on each one year anniversary of the grant date of the award.

Read SEC document
January 02, 2018 Filed Jan 3, 2018 21:18 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $4.48 $0.00
Disclosure

SEC source: 0001209191-18-000858 · doc4.xml · derivative · entry 1

Webster Stephen W · CIK 0001438421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2028-01-02

Read SEC document
January 02, 2018 Filed Jan 3, 2018 16:17 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $4.48 $0.00
Disclosure

SEC source: 0001209191-18-000853 · doc4.xml · derivative · entry 1

SINGLETON J MATTHEW · CIK 0001243514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2028-01-02

Read SEC document
January 02, 2018 Filed Jan 3, 2018 21:15 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $4.48 $0.00
Disclosure

SEC source: 0001209191-18-000834 · doc4.xml · derivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2028-01-02

Read SEC document
January 02, 2018 Filed Jan 3, 2018 16:17 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $4.48 $0.00
Disclosure

SEC source: 0001209191-18-000848 · doc4.xml · derivative · entry 1

Rowland Charles A Jr · CIK 0001383292 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2028-01-02

Read SEC document
January 02, 2018 Filed Jan 3, 2018 16:16 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $4.48 $0.00
Disclosure

SEC source: 0001209191-18-000840 · doc4.xml · derivative · entry 1

MACARTNEY LAWSON · CIK 0001606831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2028-01-02

Read SEC document
July 13, 2017 Filed Sep 28, 2018 01:25 UTC OtherConvertible Note (convertible into Common Stock) · Derivative 38,630 $38,630.00 $1,492,276,900.00
Disclosure

SEC source: 0000899243-18-025453 · doc4.xml · derivative · entry 2

LIGAND PHARMACEUTICALS INC · CIK 0000886163 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,916,509

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F3 · derivative.exercise_price: The Convertible Notes were repurchased in full by the Issuer on May 23, 2018. The Convertible Notes were convertible at a price per share equal to the lesser of (1) (x) if the conversion occurs within 180 days of April 13, 2016, $1.25, or (y) if the conversion occurs after October 10, 2016, the volume weighted average closing price of the Common Stock, as reported by The Nasdaq Stock Market LLC, for the thirty (30) consecutive trading days ending on the last trading date immediately preceding the date of conversion, and (2) $8.00 (as adjusted for any and all stock dividends, stock splits, stock combinations or other similar transactions).

F4 · kind: Represents repayment by the Issuer of the Convertible Notes.

F5 · derivative.exercise_date: The Convertible Note was convertible on or after May 21, 2018 (the "Maturity Date"). In addition, prior to the Maturity Date, the Issuer has the option to prepay part of all of the outstanding Convertible Notes in which case the Reporting Person has the option to receive the prepayment in cash or shares of Common Stock, subject to certain conditions.

F5 · derivative.expiration_date: The Convertible Note was convertible on or after May 21, 2018 (the "Maturity Date"). In addition, prior to the Maturity Date, the Issuer has the option to prepay part of all of the outstanding Convertible Notes in which case the Reporting Person has the option to receive the prepayment in cash or shares of Common Stock, subject to certain conditions.

F3 · derivative.underlying_shares: The Convertible Notes were repurchased in full by the Issuer on May 23, 2018. The Convertible Notes were convertible at a price per share equal to the lesser of (1) (x) if the conversion occurs within 180 days of April 13, 2016, $1.25, or (y) if the conversion occurs after October 10, 2016, the volume weighted average closing price of the Common Stock, as reported by The Nasdaq Stock Market LLC, for the thirty (30) consecutive trading days ending on the last trading date immediately preceding the date of conversion, and (2) $8.00 (as adjusted for any and all stock dividends, stock splits, stock combinations or other similar transactions).

Read SEC document
July 01, 2017 Filed Jul 5, 2017 21:34 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $1.08 $0.00
Disclosure

SEC source: 0001209191-17-043855 · doc4.xml · derivative · entry 1

Rowland Charles A Jr · CIK 0001383292 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-07-01

Read SEC document
May 04, 2017 Filed May 5, 2017 18:25 UTC
MORNEAU MICHAELChief Financial Officer
Tax withholdingCommon Stock, par value $0.00001 per share 8,192 $1.34 $10,977.28
Disclosure

SEC source: 0001209191-17-030443 · doc4.xml · nonDerivative · entry 1

MORNEAU MICHAEL · CIK 0001517780 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,604

F1 · kind: These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations upon the vesting of certain shares of restricted stock.

F2 · balance_after: Includes 147 shares acquired on May 20, 2015 pursuant to the Issuer's 2014 Employee Stock Purchase Plan, 2,643 shares acquired on November 20, 2015 pursuant to the Issuer's 2014 Employee Stock Purchase Plan, 5,694 shares acquired on May 20, 2016 pursuant to the Issuer's 2014 Employee Stock Purchase Plan, and 2,908 shares acquired on November 18, 2016 pursuant to the Issuer's 2014 Employee Stock Purchase Plan.

Read SEC document
January 05, 2017 Filed Jan 5, 2017 19:20 UTC
MORNEAU MICHAELChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 17,605 $0.00 Strike: $1.23 $0.00
Disclosure

SEC source: 0001209191-17-002391 · doc4.xml · derivative · entry 2

MORNEAU MICHAEL · CIK 0001517780 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,605

Underlying: Common Stock · 17,605 shares

Expires 2027-01-05

F2 · shares: The Reporting Person's employment agreement with the Issuer entitles him to an annual cash bonus. The Reporting Person voluntarily elected to be paid 20% of his 2016 annual cash bonus in the form of an option to purchase shares of common stock of the Issuer.

Read SEC document
January 05, 2017 Filed Jan 5, 2017 19:20 UTC
MORNEAU MICHAELChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 95,000 $0.00 Strike: $1.23 $0.00
Disclosure

SEC source: 0001209191-17-002391 · doc4.xml · derivative · entry 1

MORNEAU MICHAEL · CIK 0001517780 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2027-01-05

F1 · derivative.exercise_date: 25% of the shares subject to the option will vest on each anniversary of the grant date.

Read SEC document
January 05, 2017 Filed Jan 6, 2017 00:20 UTC
Lian BrianDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 34,931 $0.00 Strike: $1.23 $0.00
Disclosure

SEC source: 0001209191-17-002389 · doc4.xml · derivative · entry 2

Lian Brian · CIK 0001614578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,931

Underlying: Common Stock · 34,931 shares

Expires 2027-01-05

F2 · shares: The Reporting Person's employment agreement with the Issuer entitles him to an annual cash bonus. The Reporting Person voluntarily elected to be paid 25% of his 2016 annual cash bonus in the form of an option to purchase shares of common stock of the Issuer.

Read SEC document
January 05, 2017 Filed Jan 6, 2017 00:20 UTC
Lian BrianDirector · President & CEO
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $1.23 $0.00
Disclosure

SEC source: 0001209191-17-002389 · doc4.xml · derivative · entry 1

Lian Brian · CIK 0001614578 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2027-01-05

F1 · derivative.exercise_date: 25% of the shares subject to the option will vest on each anniversary of the grant date.

Read SEC document
January 03, 2017 Filed Jan 6, 2017 00:16 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001209191-17-002382 · doc4.xml · derivative · entry 1

Webster Stephen W · CIK 0001438421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2027-01-03

Read SEC document
January 03, 2017 Filed Jan 5, 2017 19:17 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001209191-17-002384 · doc4.xml · derivative · entry 1

SINGLETON J MATTHEW · CIK 0001243514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2027-01-03

Read SEC document
January 03, 2017 Filed Jan 6, 2017 00:18 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001209191-17-002387 · doc4.xml · derivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2027-01-03

Read SEC document
January 03, 2017 Filed Jan 5, 2017 19:15 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $1.19 $0.00
Disclosure

SEC source: 0001209191-17-002379 · doc4.xml · derivative · entry 1

MACARTNEY LAWSON · CIK 0001606831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2027-01-03

Read SEC document
November 15, 2016 Filed Nov 15, 2016 21:34 UTC PurchaseCommon Stock, par value $0.00001 per share 13,000 $1.21 $15,678.00
Disclosure

SEC source: 0001209191-16-150191 · doc4.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,250

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.1999 to $1.21, 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 purchased at each separate price within the ranges set forth in this footnote.

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.