Last 12 months
Inside the activity.
0 purchase rows · 14 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 3 |
| Apr 2026 | 0 | 11 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 24, 2019 Filed Apr 24, 2019 23:03 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 16,403 | $1.03 | $16,895.09 |
DisclosureSEC source: 0000925421-19-000157 · edgar.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,751,604 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.03 to $1.06. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 23, 2019 Filed Apr 24, 2019 23:03 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 27,554 | $1.03 | $28,380.62 |
DisclosureSEC source: 0000925421-19-000157 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,768,007 F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.99 to $1.06. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 22, 2019 Filed Apr 24, 2019 23:03 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 7,100 | $0.97 | $6,887.00 |
DisclosureSEC source: 0000925421-19-000157 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,795,561 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.95 to $0.99. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 15, 2019 Filed Apr 16, 2019 01:26 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 28,794 | $0.99 | $28,506.06 |
DisclosureSEC source: 0000925421-19-000153 · edgar.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,802,661 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.97 to $1.03. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 12, 2019 Filed Apr 16, 2019 01:26 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 30,908 | $1.04 | $32,144.32 |
DisclosureSEC source: 0000925421-19-000153 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,831,455 F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.08. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 11, 2019 Filed Apr 16, 2019 01:26 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 57,438 | $1.08 | $62,033.04 |
DisclosureSEC source: 0000925421-19-000153 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,862,363 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.03 to $1.15. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 10, 2019 Filed Apr 10, 2019 22:26 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 140,230 | $1.09 | $152,850.70 |
DisclosureSEC source: 0000925421-19-000149 · edgar.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,919,801 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.15. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 09, 2019 Filed Apr 10, 2019 22:26 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 32,991 | $1.01 | $33,320.91 |
DisclosureSEC source: 0000925421-19-000149 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,060,031 F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.98 to $1.03. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 08, 2019 Filed Apr 10, 2019 22:26 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 27,525 | $1.02 | $28,075.50 |
DisclosureSEC source: 0000925421-19-000149 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,093,022 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.08. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 05, 2019 Filed Apr 5, 2019 21:14 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 24,661 | $1.02 | $25,154.22 |
DisclosureSEC source: 0000925421-19-000145 · edgar.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,120,547 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.99 to $1.05. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 04, 2019 Filed Apr 5, 2019 21:14 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 47,900 | $1.01 | $48,379.00 |
DisclosureSEC source: 0000925421-19-000145 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,145,208 F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.98 to $1.02. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 03, 2019 Filed Apr 5, 2019 21:14 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 58,033 | $0.96 | $55,711.68 |
DisclosureSEC source: 0000925421-19-000145 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,193,108 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.93 to $1.01. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 02, 2019 Filed Apr 3, 2019 00:09 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 51,754 | $0.97 | $50,201.38 |
DisclosureSEC source: 0000925421-19-000141 · edgar.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,251,141 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.93 to $1.00. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 00:09 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 116,909 | $0.95 | $111,063.55 |
DisclosureSEC source: 0000925421-19-000141 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,302,895 F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.90 to $0.99. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| March 29, 2019 Filed Apr 3, 2019 00:09 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 63,100 | $0.91 | $57,421.00 |
DisclosureSEC source: 0000925421-19-000141 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,419,804 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.88 to $0.96. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| March 28, 2019 Filed Mar 28, 2019 21:16 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 88,835 | $0.94 | $83,504.90 |
DisclosureSEC source: 0000925421-19-000139 · edgar.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,482,904 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.92 to $1.00. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 21:16 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 50,749 | $0.99 | $50,241.51 |
DisclosureSEC source: 0000925421-19-000139 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,571,739 F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.99 to $1.02. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| March 26, 2019 Filed Mar 28, 2019 21:16 UTC |
Novartis Bioventures Ltd10% owner
NOVARTIS AG10% owner
|
SaleCommon Stock | 177,762 | $1.01 | $179,539.62 |
DisclosureSEC source: 0000925421-19-000139 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,622,488 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.06. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F4 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:54 UTC |
PAKOLA STEVEChief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0000899243-19-004277 · doc4.xml · derivative · entry 1 PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2029-02-15 F1 · derivative.exercise_date: Options exercisable as to 1/4th on the first anniversary of the grant date and an additional 1/48th monthly thereafter until the fourth anniversary of the grant date date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:52 UTC |
HOFFMAN STEPHEN JDirector · Chief Executive Officer
|
GrantStock Option (Right to Buy) · Derivative | 365,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0000899243-19-004274 · doc4.xml · derivative · entry 1 HOFFMAN STEPHEN J · CIK 0001190418 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,000 Underlying: Common Stock · 365,000 shares Expires 2029-02-15 F1 · derivative.exercise_date: Options exercisable as to 1/4th on the first anniversary of the grant date and an additional 1/48th monthly thereafter until the fourth anniversary of the grant date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC |
Gardner Joseph H.Director · President
|
GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0000899243-19-004275 · doc4.xml · derivative · entry 1 Gardner Joseph H. · CIK 0001700816 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2029-02-15 F1 · derivative.exercise_date: Options exercisable as to 1/4th on the first anniversary of the grant date and an additional 1/48th monthly thereafter until the fourth anniversary of the grant date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:52 UTC |
PETERS KEVIN G.Chief Scientific Officer
|
GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0000899243-19-004273 · doc4.xml · derivative · entry 1 PETERS KEVIN G. · CIK 0001700663 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2029-02-15 F1 · derivative.exercise_date: Options exercisable as to 1/4th on the first anniversary of the grant date and an additional 1/48th monthly thereafter until the fourth anniversary of the grant date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:51 UTC |
ROGERS MICHAEL WChief Financial Officer
|
GrantStock Option (Right to Buy) · Derivative | 215,328 | $0.00 Strike: $3.27 | $0.00 |
DisclosureSEC source: 0000899243-19-004271 · doc4.xml · derivative · entry 1 ROGERS MICHAEL W · CIK 0001244159 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,328 Underlying: Common Stock · 215,328 shares Expires 2029-02-15 F1 · derivative.exercise_date: Options exercisable as to 1/4th on the first anniversary of the grant date and an additional 1/48th monthly thereafter until the fourth anniversary of the grant date. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 02:00 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 23,818 | $2.45 | $58,442.23 |
DisclosureSEC source: 0000899243-19-000999 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,621,835 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.36 to $2.52. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 02:00 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.39 | $47,876.00 |
DisclosureSEC source: 0000899243-19-000999 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,598,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.34 to $2.55. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| January 08, 2019 Filed Jan 11, 2019 02:00 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.20 | $43,972.00 |
DisclosureSEC source: 0000899243-19-000999 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,578,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.065 to $2.44. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| January 07, 2019 Filed Jan 8, 2019 02:00 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.18 | $43,558.00 |
DisclosureSEC source: 0000899243-19-000701 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,558,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.075 to $2.23. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| January 04, 2019 Filed Jan 8, 2019 02:00 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.12 | $42,396.00 |
DisclosureSEC source: 0000899243-19-000701 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,538,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.10 to $2.15. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| January 03, 2019 Filed Jan 8, 2019 02:00 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.08 | $41,508.00 |
DisclosureSEC source: 0000899243-19-000701 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,518,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.96 to $2.15. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| January 02, 2019 Filed Jan 3, 2019 02:01 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.94 | $38,838.00 |
DisclosureSEC source: 0000899243-19-000196 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,498,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.845 to $2.04. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 02:01 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.75 | $34,900.00 |
DisclosureSEC source: 0000899243-19-000196 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,478,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.71 to $1.76. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 28, 2018 Filed Jan 3, 2019 02:01 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.72 | $34,372.00 |
DisclosureSEC source: 0000899243-19-000196 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,458,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.655 to $1.80. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 27, 2018 Filed Dec 28, 2018 00:13 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.67 | $33,410.00 |
DisclosureSEC source: 0000899243-18-031908 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,438,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.63 to $1.73. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 00:13 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.69 | $33,854.00 |
DisclosureSEC source: 0000899243-18-031908 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,418,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.58 to $1.86. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 21, 2018 Filed Dec 28, 2018 00:13 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.84 | $36,870.00 |
DisclosureSEC source: 0000899243-18-031908 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,398,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.72 to $2.03. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 00:04 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.85 | $36,984.00 |
DisclosureSEC source: 0000899243-18-031493 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,378,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.80 to $1.91. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 00:04 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.92 | $38,384.00 |
DisclosureSEC source: 0000899243-18-031493 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,358,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.81 to $2.06. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 18, 2018 Filed Dec 21, 2018 00:04 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.99 | $39,856.00 |
DisclosureSEC source: 0000899243-18-031493 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,338,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.90 to $2.06. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 14, 2018 Filed Dec 15, 2018 01:55 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.00 | $40,094.00 |
DisclosureSEC source: 0000899243-18-031136 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,318,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.94 to $2.10. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 13, 2018 Filed Dec 15, 2018 01:55 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.02 | $40,308.00 |
DisclosureSEC source: 0000899243-18-031136 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,298,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.99 to $2.10. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 12, 2018 Filed Dec 15, 2018 01:55 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.05 | $40,938.00 |
DisclosureSEC source: 0000899243-18-031136 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,278,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.12. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 12, 2018 Filed Feb 13, 2019 21:41 UTC |
Gardner Joseph H.Director · President
|
GiftCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-003439 · doc5.xml · nonDerivative · entry 2 Gardner Joseph H. · CIK 0001700816 · Director · President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 150,000 F1 · balance_after: On December 12, 2018, the reporting person gifted these shares to a family trust for the benefit of the reporting person's children. The reporting person's sibling is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. F1 · ownership.nature: On December 12, 2018, the reporting person gifted these shares to a family trust for the benefit of the reporting person's children. The reporting person's sibling is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 12, 2018 Filed Feb 13, 2019 21:41 UTC |
Gardner Joseph H.Director · President
|
GiftCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-003439 · doc5.xml · nonDerivative · entry 1 Gardner Joseph H. · CIK 0001700816 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 443,019 Read SEC document |
| December 11, 2018 Filed Dec 12, 2018 01:52 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.09 | $41,846.00 |
DisclosureSEC source: 0000899243-18-030684 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,258,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.03 to $2.15. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 10, 2018 Filed Dec 12, 2018 01:52 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.13 | $42,608.00 |
DisclosureSEC source: 0000899243-18-030684 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,238,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.08 to $2.21. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 07, 2018 Filed Dec 12, 2018 01:52 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.14 | $42,788.00 |
DisclosureSEC source: 0000899243-18-030684 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,218,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.06 to $2.205. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 06, 2018 Filed Dec 7, 2018 01:54 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.18 | $43,584.00 |
DisclosureSEC source: 0000899243-18-030326 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,198,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.07 to $2.25. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 04, 2018 Filed Dec 7, 2018 01:54 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $2.10 | $41,994.00 |
DisclosureSEC source: 0000899243-18-030326 · doc4.xml · nonDerivative · entry 2 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,178,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.99 to $2.13. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| December 03, 2018 Filed Dec 7, 2018 01:54 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.99 | $39,774.00 |
DisclosureSEC source: 0000899243-18-030326 · doc4.xml · nonDerivative · entry 1 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,158,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.94 to $2.10. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. Read SEC document |
| November 30, 2018 Filed Dec 1, 2018 02:00 UTC |
Satter Muneer ADirector · 10% owner
|
PurchaseCommon Stock | 20,000 | $1.98 | $39,692.00 |
DisclosureSEC source: 0000899243-18-029916 · doc4.xml · nonDerivative · entry 3 Satter Muneer A · CIK 0001315797 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,138,017 F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.85 to $2.09. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest. 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.