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Nasdaq · USD

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Vanda Pharmaceuticals Inc.

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5861
SEC CIK
0001347178
Parsed reports
233

Last 12 months

Inside the activity.

0 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202601
Mar 202605
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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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
July 27, 2020 Filed Jul 30, 2020 00:17 UTC
Jones Aranthan IIChief Corp. Affairs Officer
SaleCommon Stock 7,313 $10.62 $77,631.15
Disclosure

SEC source: 0001209191-20-043998 · doc4.xml · nonDerivative · entry 1

Jones Aranthan II · CIK 0001785894 · Chief Corp. Affairs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,687

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.48 to $10.81, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 23:11 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $10.57 $0.00
Disclosure

SEC source: 0001209191-20-036782 · doc4.xml · derivative · entry 2

DUGAN RICHARD W · CIK 0001263499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-06-10

F2 · derivative.exercise_date: This option vests and becomes exercisable with respect to 100% of the option shares on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 23:11 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036782 · doc4.xml · nonDerivative · entry 1

DUGAN RICHARD W · CIK 0001263499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,641

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 19:13 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $10.57 $0.00
Disclosure

SEC source: 0001209191-20-036787 · doc4.xml · derivative · entry 2

Watkins Thomas · CIK 0001307935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-06-10

F2 · derivative.exercise_date: This option vests and becomes exercisable with respect to 100% of the option shares on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 19:13 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036787 · doc4.xml · nonDerivative · entry 1

Watkins Thomas · CIK 0001307935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,323

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 23:12 UTC GrantStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $10.57 $0.00
Disclosure

SEC source: 0001209191-20-036785 · doc4.xml · derivative · entry 2

Ward Anne Sempowski · CIK 0001790117 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-06-10

F2 · derivative.exercise_date: This option vests and becomes exercisable with respect to 100% of the option shares on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 23:12 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036785 · doc4.xml · nonDerivative · entry 1

Ward Anne Sempowski · CIK 0001790117 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 23:11 UTC GrantStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $10.57 $0.00
Disclosure

SEC source: 0001209191-20-036783 · doc4.xml · derivative · entry 2

Mitchell Stephen Ray · CIK 0001802653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-06-10

F2 · derivative.exercise_date: This option vests and becomes exercisable with respect to 100% of the option shares on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 23:11 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036783 · doc4.xml · nonDerivative · entry 1

Mitchell Stephen Ray · CIK 0001802653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,200

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 23:10 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $10.57 $0.00
Disclosure

SEC source: 0001209191-20-036780 · doc4.xml · derivative · entry 2

Chrousos Phaedra · CIK 0001774518 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-06-10

F2 · derivative.exercise_date: This option vests and becomes exercisable with respect to 100% of the option shares on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
June 11, 2020 Filed Jun 15, 2020 23:10 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-036780 · doc4.xml · nonDerivative · entry 1

Chrousos Phaedra · CIK 0001774518 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 11, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date.

Read SEC document
May 29, 2020 Filed Jun 2, 2020 16:13 UTC Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0001209191-20-033491 · doc4.xml · derivative · entry 3

Watkins Thomas · CIK 0001307935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2020-06-02

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: The option vested in 12 equal monthly installments beginning on July 3, 2010.

Read SEC document
May 29, 2020 Filed Jun 2, 2020 16:13 UTC SaleCommon Stock 9,677 $11.50 $111,285.50
Disclosure

SEC source: 0001209191-20-033491 · doc4.xml · nonDerivative · entry 2

Watkins Thomas · CIK 0001307935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,323

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy the exercise price and certain tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the exercise of certain stock options, which were scheduled to expire June 2, 2020 as reflected in this Form 4.

Read SEC document
May 29, 2020 Filed Jun 2, 2020 16:13 UTC Exercise / conversionCommon Stock 15,000 $7.38 $110,700.00
Disclosure

SEC source: 0001209191-20-033491 · doc4.xml · nonDerivative · entry 1

Watkins Thomas · CIK 0001307935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

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.

Read SEC document
May 28, 2020 Filed May 29, 2020 20:10 UTC Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $7.38 $0.00
Disclosure

SEC source: 0001209191-20-032896 · doc4.xml · derivative · entry 3

DUGAN RICHARD W · CIK 0001263499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2020-06-02

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.

F3 · derivative.exercise_date: The option vested in 12 equal monthly installments beginning on July 3, 2010.

Read SEC document
May 28, 2020 Filed May 29, 2020 20:10 UTC SaleCommon Stock 10,129 $11.04 $111,805.93
Disclosure

SEC source: 0001209191-20-032896 · doc4.xml · nonDerivative · entry 2

DUGAN RICHARD W · CIK 0001263499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,641

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy the exercise price and certain tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the exercise of certain stock options, which were scheduled to expire June 2, 2020 as reflected in this Form 4.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.99 to $11.11, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

Read SEC document
May 28, 2020 Filed May 29, 2020 20:10 UTC Exercise / conversionCommon Stock 15,000 $7.38 $110,700.00
Disclosure

SEC source: 0001209191-20-032896 · doc4.xml · nonDerivative · entry 1

DUGAN RICHARD W · CIK 0001263499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,770

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.

Read SEC document
March 03, 2020 Filed Mar 4, 2020 22:03 UTC
Williams TimothySVP & General Counsel
SaleCommon Stock 1,237 $10.51 $13,003.84
Disclosure

SEC source: 0001209191-20-016210 · doc4.xml · nonDerivative · entry 2

Williams Timothy · CIK 0001748392 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,040

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

Read SEC document
March 03, 2020 Filed Mar 4, 2020 17:00 UTC
Birznieks GuntherSVP, Business Development
SaleCommon Stock 5,535 $10.66 $58,984.28
Disclosure

SEC source: 0001209191-20-016197 · doc4.xml · nonDerivative · entry 2

Birznieks Gunther · CIK 0001702031 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,473

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.50 to $10.8644, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

Read SEC document
March 03, 2020 Filed Mar 4, 2020 22:01 UTC
Kelly James PatrickEVP & Chief Financial Officer
SaleCommon Stock 5,889 $10.76 $63,359.16
Disclosure

SEC source: 0001209191-20-016200 · doc4.xml · nonDerivative · entry 2

Kelly James Patrick · CIK 0001506314 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,869

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.60 to $11.0001, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

Read SEC document
March 03, 2020 Filed Mar 4, 2020 22:02 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
SaleCommon Stock 5,152 $10.98 $56,544.23
Disclosure

SEC source: 0001209191-20-016204 · doc4.xml · nonDerivative · entry 2

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,278,999

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.80 to $11.11, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:03 UTC
Williams TimothySVP & General Counsel
SaleCommon Stock 3,148 $10.30 $32,435.73
Disclosure

SEC source: 0001209191-20-016210 · doc4.xml · nonDerivative · entry 1

Williams Timothy · CIK 0001748392 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,277

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.30 to $10.31, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 17:00 UTC
Birznieks GuntherSVP, Business Development
SaleCommon Stock 12,223 $10.04 $122,685.92
Disclosure

SEC source: 0001209191-20-016197 · doc4.xml · nonDerivative · entry 1

Birznieks Gunther · CIK 0001702031 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,008

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.90 to $10.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:02 UTC
Reverberi Gian PieroSVP & Chief Commercial Officer
SaleCommon Stock 1,450 $10.18 $14,755.20
Disclosure

SEC source: 0001209191-20-016208 · doc4.xml · nonDerivative · entry 1

Reverberi Gian Piero · CIK 0001652023 · SVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,384

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.1537 to $10.2155, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:01 UTC
Kelly James PatrickEVP & Chief Financial Officer
SaleCommon Stock 12,968 $10.19 $132,086.86
Disclosure

SEC source: 0001209191-20-016200 · doc4.xml · nonDerivative · entry 1

Kelly James Patrick · CIK 0001506314 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,758

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.10 to $10.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

Read SEC document
March 02, 2020 Filed Mar 4, 2020 22:02 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
SaleCommon Stock 10,428 $10.57 $110,211.45
Disclosure

SEC source: 0001209191-20-016204 · doc4.xml · nonDerivative · entry 1

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,284,151

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to an irrevocable election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.14 to $10.96, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:05 UTC
Williams TimothySVP & General Counsel
GrantEmployee Stock Option (Right to Buy) · Derivative 70,000 $0.00 Strike: $11.32 $0.00
Disclosure

SEC source: 0001209191-20-014132 · doc4.xml · derivative · entry 2

Williams Timothy · CIK 0001748392 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-02-25

F2 · derivative.exercise_date: The option vests with respect to 25% of the underlying shares on February 26, 2021, with the balance vesting in equal monthly installments over the next 36 months of continuous service thereafter, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:05 UTC
Williams TimothySVP & General Counsel
GrantCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-014132 · doc4.xml · nonDerivative · entry 1

Williams Timothy · CIK 0001748392 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,425

F1 · price: Represents shares of common stock underlying a time-based restricted stock unit award ("RSU"). The RSU vests in four (4) equal annual installments with the first annual vest taking place on March 1, 2021, provided the Reporting Person remains continuously employed by the Issuer through each annual vesting date. Vested shares will be delivered on the First Permissible Trading Day (as defined in the RSU Agreement) that occurs on or after the day when the RSUs vest.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 18:01 UTC
Birznieks GuntherSVP, Business Development
GrantEmployee Stock Option (Right to Buy) · Derivative 70,000 $0.00 Strike: $11.32 $0.00
Disclosure

SEC source: 0001209191-20-014124 · doc4.xml · derivative · entry 2

Birznieks Gunther · CIK 0001702031 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-02-25

F2 · derivative.exercise_date: The option vests with respect to 25% of the underlying shares on February 26, 2021, with the balance vesting in equal monthly installments over the next 36 months of continuous service thereafter, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 18:01 UTC
Birznieks GuntherSVP, Business Development
GrantCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-014124 · doc4.xml · nonDerivative · entry 1

Birznieks Gunther · CIK 0001702031 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,231

F1 · price: Represents shares of common stock underlying a time-based restricted stock unit award ("RSU"). The RSU vests in four (4) equal annual installments with the first annual vest taking place on March 1, 2021, provided the Reporting Person remains continuously employed by the Issuer through each annual vesting date. Vested shares will be delivered on the First Permissible Trading Day (as defined in the RSU Agreement) that occurs on or after the day when the RSUs vest.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:03 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 140,000 $0.00 Strike: $11.32 $0.00
Disclosure

SEC source: 0001209191-20-014127 · doc4.xml · derivative · entry 2

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 140,000 shares

Expires 2030-02-25

F2 · derivative.exercise_date: The option vests with respect to 25% of the underlying shares on February 26, 2021, with the balance vesting in equal monthly installments over the next 36 months of continuous service thereafter, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:03 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
GrantCommon Stock 60,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-014127 · doc4.xml · nonDerivative · entry 1

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,294,579

F1 · price: Represents shares of common stock underlying a time-based restricted stock unit award ("RSU"). The RSU vests in four (4) equal annual installments with the first annual vest taking place on March 1, 2021, provided the Reporting Person remains continuously employed by the Issuer through each annual vesting date. Vested shares will be delivered on the First Permissible Trading Day (as defined in the RSU Agreement) that occurs on or after the day when the RSUs vest.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:04 UTC
Wijkstrom JoakimSVP, Chief Marketing Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 70,000 $0.00 Strike: $11.32 $0.00
Disclosure

SEC source: 0001209191-20-014129 · doc4.xml · derivative · entry 2

Wijkstrom Joakim · CIK 0001785888 · SVP, Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-02-25

F2 · derivative.exercise_date: The option vests with respect to 25% of the underlying shares on February 26, 2021, with the balance vesting in equal monthly installments over the next 36 months of continuous service thereafter, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:04 UTC
Wijkstrom JoakimSVP, Chief Marketing Officer
GrantCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-014129 · doc4.xml · nonDerivative · entry 1

Wijkstrom Joakim · CIK 0001785888 · SVP, Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

F1 · price: Represents shares of common stock underlying a time-based restricted stock unit award ("RSU"). The RSU vests in four (4) equal annual installments with the first annual vest taking place on March 1, 2021, provided the Reporting Person remains continuously employed by the Issuer through each annual vesting date. Vested shares will be delivered on the First Permissible Trading Day (as defined in the RSU Agreement) that occurs on or after the day when the RSUs vest.

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February 26, 2020 Filed Feb 28, 2020 23:02 UTC
Jones Aranthan IIChief Corp. Affairs Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 70,000 $0.00 Strike: $11.32 $0.00
Disclosure

SEC source: 0001209191-20-014126 · doc4.xml · derivative · entry 2

Jones Aranthan II · CIK 0001785894 · Chief Corp. Affairs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-02-25

F2 · derivative.exercise_date: The option vests with respect to 25% of the underlying shares on February 26, 2021, with the balance vesting in equal monthly installments over the next 36 months of continuous service thereafter, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date.

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February 26, 2020 Filed Feb 28, 2020 23:02 UTC
Jones Aranthan IIChief Corp. Affairs Officer
GrantCommon Stock 30,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-014126 · doc4.xml · nonDerivative · entry 1

Jones Aranthan II · CIK 0001785894 · Chief Corp. Affairs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

F1 · price: Represents shares of common stock underlying a time-based restricted stock unit award ("RSU"). The RSU vests in four (4) equal annual installments with the first annual vest taking place on March 1, 2021, provided the Reporting Person remains continuously employed by the Issuer through each annual vesting date. Vested shares will be delivered on the First Permissible Trading Day (as defined in the RSU Agreement) that occurs on or after the day when the RSUs vest.

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February 14, 2020 Filed Feb 19, 2020 21:20 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $12.70 $0.00
Disclosure

SEC source: 0001209191-20-010516 · doc4.xml · derivative · entry 1

Mitchell Stephen Ray · CIK 0001802653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common · 35,000 shares

Expires 2030-02-13

F1 · derivative.exercise_date: The option vests with respect to 25% of the underlying shares when the Reporting Person completes 12 months of continuous service following the date of grant, with the balance vesting in equal monthly installments over the next 36 months of continuous service thereafter, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date.

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January 02, 2020 Filed Jan 6, 2020 17:25 UTC
Birznieks GuntherSVP, Business Development
SaleCommon Stock 4,020 $15.93 $64,021.31
Disclosure

SEC source: 0001209191-20-002027 · doc4.xml · nonDerivative · entry 1

Birznieks Gunther · CIK 0001702031 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,231

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to a written election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.80 to $16.19, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

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January 02, 2020 Filed Jan 6, 2020 22:26 UTC
Reverberi Gian PieroSVP & Chief Commercial Officer
SaleCommon Stock 1,155 $16.06 $18,550.69
Disclosure

SEC source: 0001209191-20-002032 · doc4.xml · nonDerivative · entry 1

Reverberi Gian Piero · CIK 0001652023 · SVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,834

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to a written election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.84 to $16.26, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

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January 02, 2020 Filed Jan 6, 2020 22:25 UTC
Kelly James PatrickEVP & Chief Financial Officer
SaleCommon Stock 4,020 $15.94 $64,086.04
Disclosure

SEC source: 0001209191-20-002029 · doc4.xml · nonDerivative · entry 1

Kelly James Patrick · CIK 0001506314 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,726

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to a written election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.81 to $16.18, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

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January 02, 2020 Filed Jan 6, 2020 22:26 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
SaleCommon Stock 9,467 $16.00 $151,492.83
Disclosure

SEC source: 0001209191-20-002031 · doc4.xml · nonDerivative · entry 1

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,234,579

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the settlement of the vested portion of RSUs. Such sale was executed pursuant to a written election made by the Reporting Person during an open trading window under a program approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.81 to $16.185, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

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December 12, 2019 Filed Dec 13, 2019 21:21 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 85,801 $0.00 Strike: $10.65 $0.00
Disclosure

SEC source: 0001209191-19-060380 · doc4.xml · derivative · entry 6

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,801 shares

Expires 2019-12-16

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.

F4 · derivative.exercise_date: The option vested in 48 equal monthly installments from the date of grant.

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December 12, 2019 Filed Dec 13, 2019 21:21 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
SaleCommon Stock 70,036 $16.98 $1,189,351.35
Disclosure

SEC source: 0001209191-19-060380 · doc4.xml · nonDerivative · entry 4

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,244,046

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy the exercise price and certain tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the exercise of certain stock options, which were scheduled to expire December 16, 2019 as reflected in this Form 4.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.72 to $17.13, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

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December 12, 2019 Filed Dec 13, 2019 21:21 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
Exercise / conversionCommon Stock 85,801 $10.65 $913,780.65
Disclosure

SEC source: 0001209191-19-060380 · doc4.xml · nonDerivative · entry 3

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,314,082

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.

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December 11, 2019 Filed Dec 13, 2019 21:21 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 89,199 $0.00 Strike: $10.65 $0.00
Disclosure

SEC source: 0001209191-19-060380 · doc4.xml · derivative · entry 5

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,801

Underlying: Common Stock · 89,199 shares

Expires 2019-12-16

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.

F4 · derivative.exercise_date: The option vested in 48 equal monthly installments from the date of grant.

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December 11, 2019 Filed Dec 13, 2019 21:21 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
SaleCommon Stock 72,373 $16.92 $1,224,377.46
Disclosure

SEC source: 0001209191-19-060380 · doc4.xml · nonDerivative · entry 2

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,228,281

F1 · kind: Represents shares of the Issuer's common stock sold to satisfy the exercise price and certain tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the exercise of certain stock options, which were scheduled to expire December 16, 2019 as reflected in this Form 4.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.55 to $17.47, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

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December 11, 2019 Filed Dec 13, 2019 21:21 UTC
Polymeropoulos Mihael HristosDirector · President and CEO
Exercise / conversionCommon Stock 89,199 $10.65 $949,969.35
Disclosure

SEC source: 0001209191-19-060380 · doc4.xml · nonDerivative · entry 1

Polymeropoulos Mihael Hristos · CIK 0001355537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300,654

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.

Read SEC document
October 28, 2019 Filed Oct 29, 2019 01:47 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $14.21 $0.00
Disclosure

SEC source: 0001209191-19-054300 · doc4.xml · derivative · entry 1

Ward Anne Sempowski · CIK 0001790117 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-10-27

F1 · derivative.exercise_date: The option vests with respect to 25% of the underlying shares when the Reporting Person completes 12 months of continuous service following the date of grant, with the balance vesting in equal monthly installments over the next 36 months of continuous service thereafter, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date.

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August 26, 2019 Filed Aug 28, 2019 20:30 UTC Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $14.78 $0.00
Disclosure

SEC source: 0001209191-19-047610 · doc4.xml · derivative · entry 3

DUGAN RICHARD W · CIK 0001263499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2019-08-26

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: The option vested in 12 equal monthly installments beginning on September 27, 2009.

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August 26, 2019 Filed Aug 28, 2019 20:30 UTC SaleCommon Stock 15,000 $14.85 $222,750.00
Disclosure

SEC source: 0001209191-19-047610 · doc4.xml · nonDerivative · entry 2

DUGAN RICHARD W · CIK 0001263499 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,770

F1 · kind: Represents shares of common stock sold to cover the payment of the option exercise price (which represents 99.94% of the proceeds from the sales made by the Reporting Person) of the option, which was set to expire on August 26, 2019.

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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.