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WINDTREE THERAPEUTICS INC /DE/

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8761
SEC CIK
0000946486
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175

Last 12 months

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
Feb 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
March 15, 2022 Filed Mar 15, 2022 20:45 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 3,000 $0.98 $2,940.30
Disclosure

SEC source: 0001437749-22-006313 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,058

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:53 UTC
Simonson StevenSVP, Chief Medical Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 99,600 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001437749-22-005424 · rdgdoc.xml · derivative · entry 3

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,600

Underlying: Common Stock · 99,600 shares

Expires 2032-03-04

F3 · derivative.exercise_date: This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the options on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:53 UTC
Simonson StevenSVP, Chief Medical Officer
GrantCommon Stock 66,300 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-005424 · rdgdoc.xml · nonDerivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,602

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs on an annual basis (every 12 months) with the first vest date on February 28, 2023 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:52 UTC GrantEmployee Stock Option (Right to Buy) · Derivative 99,600 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001437749-22-005421 · rdgdoc.xml · derivative · entry 2

Hamill John P. · CIK 0001716213 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,600

Underlying: Common Stock · 99,600 shares

Expires 2032-03-04

F2 · derivative.exercise_date: This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the options on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:52 UTC GrantCommon Stock 66,300 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-005421 · rdgdoc.xml · nonDerivative · entry 1

Hamill John P. · CIK 0001716213 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,800

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs on an annual basis (every 12 months) with the first vest date on February 28, 2023 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:51 UTC
Fraser CraigDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 250,400 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001437749-22-005417 · rdgdoc.xml · derivative · entry 3

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,400

Underlying: Common Stock · 250,400 shares

Expires 2032-03-04

F3 · derivative.exercise_date: This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the options on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:51 UTC
Fraser CraigDirector · President and CEO
GrantCommon Stock 166,900 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-005417 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,058

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs on an annual basis (every 12 months) with the first vest date on February 28, 2023 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:48 UTC
Curtis EricSVP & COO
GrantEmployee Stock Option (Right to Buy) · Derivative 99,600 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001437749-22-005414 · rdgdoc.xml · derivative · entry 2

Curtis Eric · CIK 0001651755 · SVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,600

Underlying: Common Stock · 99,600 shares

Expires 2032-03-04

F2 · derivative.exercise_date: This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the options on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:48 UTC
Curtis EricSVP & COO
GrantCommon Stock 66,300 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-005414 · rdgdoc.xml · nonDerivative · entry 1

Curtis Eric · CIK 0001651755 · SVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,591

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs on an annual basis (every 12 months) with the first vest date on February 28, 2023 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:47 UTC
CARMAN DIANESVP & General Counsel
GrantEmployee Stock Option (Right to Buy) · Derivative 99,600 $0.00 Strike: $1.02 $0.00
Disclosure

SEC source: 0001437749-22-005412 · rdgdoc.xml · derivative · entry 2

CARMAN DIANE · CIK 0001871113 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,600

Underlying: Common Stock · 99,600 shares

Expires 2032-03-04

F2 · derivative.exercise_date: This employee stock option shall vest and become exercisable with respect to one-twelfth of the total number of shares subject to the options on a quarterly basis (every three months) with the first vest date on May 31, 2022 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
March 04, 2022 Filed Mar 7, 2022 22:47 UTC
CARMAN DIANESVP & General Counsel
GrantCommon Stock 66,300 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-005412 · rdgdoc.xml · nonDerivative · entry 1

CARMAN DIANE · CIK 0001871113 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,300

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest with respect to one-third of the total number of shares subject to the RSUs on an annual basis (every 12 months) with the first vest date on February 28, 2023 provided that the reporting person remains in continuous service on each vesting date.

Read SEC document
December 30, 2021 Filed Jan 10, 2022 22:03 UTC PurchaseCommon Stock 1,239,088 $1.60 $1,982,540.80
Disclosure

SEC source: 0001213900-22-001391 · ownership.xml · nonDerivative · entry 3

Center Laboratories, Inc. · CIK 0001770423 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,239,088

F3 · kind: On December 30, 2021, the Reporting Person purchased all remaining shares of Common Stock held by Bioengine Capital Inc., and now holds the shares directly.

Read SEC document
December 30, 2021 Filed Jan 10, 2022 22:03 UTC SaleCommon Stock 1,239,088 $1.60 $1,982,540.80
Disclosure

SEC source: 0001213900-22-001390 · ownership.xml · nonDerivative · entry 3

Bioengine Capital Inc. · CIK 0001770197 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · kind: On December 30, 2021, the Reporting Person sold all its remaining shares of Common Stock to Center Laboratories, Inc., which owns 58.6% of the Reporting Person. As a result of the foregoing transaction, the Reporting Person now directly owns 0 shares of Common Stock.

F3 · ownership.direct: On December 30, 2021, the Reporting Person sold all its remaining shares of Common Stock to Center Laboratories, Inc., which owns 58.6% of the Reporting Person. As a result of the foregoing transaction, the Reporting Person now directly owns 0 shares of Common Stock.

Read SEC document
November 19, 2021 Filed Nov 22, 2021 13:35 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 930 $1.60 $1,488.00
Disclosure

SEC source: 0001437749-21-027198 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,158

Read SEC document
November 18, 2021 Filed Nov 18, 2021 21:25 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 930 $1.61 $1,497.30
Disclosure

SEC source: 0001437749-21-027085 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,228

Read SEC document
October 22, 2021 Filed Oct 25, 2021 13:17 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 3,000 $1.90 $5,700.00
Disclosure

SEC source: 0001437749-21-024196 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,298

Read SEC document
October 19, 2021 Filed Oct 19, 2021 20:56 UTC
Huang JamesDirector
PurchaseCommon Stock 50,000 $1.90 $95,135.00
Disclosure

SEC source: 0001437749-21-023912 · rdgdoc.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,281

F1 · price: The shares were purchased in multiple trades at prices ranging from $1.84 to $1.93. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
October 19, 2021 Filed Oct 19, 2021 20:51 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 3,000 $1.91 $5,730.00
Disclosure

SEC source: 0001437749-21-023910 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,298

Read SEC document
July 01, 2021 Filed Jul 6, 2021 20:05 UTC
CARMAN DIANESVP & General Counsel
GrantStock Option (Right to Buy) · Derivative 150,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001437749-21-016434 · rdgdoc.xml · derivative · entry 1

CARMAN DIANE · CIK 0001871113 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-07-01

F1 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date. The stock option is an inducement grant pursuant to Nasdaq Listing Rule 5635(c)(4).

Read SEC document
June 15, 2021 Filed Jun 18, 2021 00:03 UTC
Huang JamesDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.28 $0.00
Disclosure

SEC source: 0001437749-21-015119 · rdgdoc.xml · derivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

F3 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
June 15, 2021 Filed Jun 18, 2021 00:02 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $2.28 $0.00
Disclosure

SEC source: 0001437749-21-015118 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

F1 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
April 16, 2021 Filed Apr 19, 2021 11:49 UTC PurchaseCommon Stock 1,000 $2.07 $2,066.90
Disclosure

SEC source: 0001437749-21-009187 · rdgdoc.xml · nonDerivative · entry 1

Hamill John P. · CIK 0001716213 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

F1 · price: The shares were purchased in multiple trades at prices ranging from $2.065 to $2.0685. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
April 16, 2021 Filed Apr 20, 2021 11:44 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 1,000 $2.09 $2,092.00
Disclosure

SEC source: 0001437749-21-009306 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,298

F1 · price: The shares were purchased in multiple trades at prices ranging from $2.09 to $2.0933. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
April 15, 2021 Filed Apr 19, 2021 11:47 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 1,000 $2.24 $2,239.90
Disclosure

SEC source: 0001437749-21-009186 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,298

Read SEC document
April 07, 2021 Filed Apr 8, 2021 20:16 UTC
Curtis EricSVP & COO
PurchaseCommon Stock 791 $2.52 $1,991.11
Disclosure

SEC source: 0001437749-21-008559 · rdgdoc.xml · nonDerivative · entry 1

Curtis Eric · CIK 0001651755 · SVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

F1 · price: The shares were purchased in multiple trades at prices ranging from $2.515 to $2.5185. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
April 06, 2021 Filed Apr 7, 2021 20:18 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 500 $2.57 $1,285.00
Disclosure

SEC source: 0001437749-21-008459 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,298

Read SEC document
April 05, 2021 Filed Apr 6, 2021 20:28 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 1,000 $2.58 $2,579.90
Disclosure

SEC source: 0001437749-21-008400 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,798

Read SEC document
April 01, 2021 Filed Apr 5, 2021 12:06 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 500 $2.46 $1,229.35
Disclosure

SEC source: 0001437749-21-008159 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,798

Read SEC document
March 31, 2021 Filed Mar 31, 2021 20:30 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 500 $2.32 $1,159.95
Disclosure

SEC source: 0001437749-21-007852 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,298

Read SEC document
March 31, 2021 Filed Apr 2, 2021 21:13 UTC
Huang JamesDirector · 10% owner
PurchaseCommon Stock 150,000 $2.36 $354,000.00
Disclosure

SEC source: 0001437749-21-008134 · rdgdoc.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,000

F1 · price: The shares were purchased in multiple trades at prices ranging from $2.275 to $2.40. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Read SEC document
March 25, 2021 Filed Mar 25, 2021 20:44 UTC PurchaseCommon Stock Warrants · Derivative 1,500 $0.00 Strike: $3.60 $0.00
Disclosure

SEC source: 0001437749-21-007172 · rdgdoc.xml · derivative · entry 2

Hamill John P. · CIK 0001716213 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2026-03-25

F1 · price: Issued in connection with the purchase of shares of common stock on March 25, 2021 as reported above.

Read SEC document
March 25, 2021 Filed Mar 25, 2021 20:44 UTC PurchaseCommon Stock 1,500 $3.25 $4,875.00
Disclosure

SEC source: 0001437749-21-007172 · rdgdoc.xml · nonDerivative · entry 1

Hamill John P. · CIK 0001716213 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Read SEC document
March 25, 2021 Filed Mar 25, 2021 20:45 UTC
Simonson StevenSVP, Chief Medical Officer
PurchaseCommon Stock Warrants · Derivative 1,500 $0.00 Strike: $3.60 $0.00
Disclosure

SEC source: 0001437749-21-007173 · rdgdoc.xml · derivative · entry 3

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2026-03-25

F2 · price: Issued in connection with the purchase of shares of common stock on March 25, 2021 as reported above.

Read SEC document
March 25, 2021 Filed Mar 25, 2021 20:45 UTC
Simonson StevenSVP, Chief Medical Officer
PurchaseCommon Stock 1,500 $3.25 $4,875.00
Disclosure

SEC source: 0001437749-21-007173 · rdgdoc.xml · nonDerivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,302

Read SEC document
March 25, 2021 Filed Mar 25, 2021 20:43 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock Warrants · Derivative 1,500 $0.00 Strike: $3.60 $0.00
Disclosure

SEC source: 0001437749-21-007171 · rdgdoc.xml · derivative · entry 3

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2026-03-25

F2 · price: Issued in connection with the purchase of shares of common stock on March 25, 2021 as reported above.

Read SEC document
March 25, 2021 Filed Mar 25, 2021 20:43 UTC
Fraser CraigDirector · President and CEO
PurchaseCommon Stock 1,500 $3.25 $4,875.00
Disclosure

SEC source: 0001437749-21-007171 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,798

Read SEC document
February 03, 2021 Filed Feb 6, 2021 02:14 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002149 · rdgdoc.xml · derivative · entry 2

PEACOCK BRUCE · CIK 0001228459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock options shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant date.

Read SEC document
February 03, 2021 Filed Feb 6, 2021 02:13 UTC
Huang JamesDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002148 · rdgdoc.xml · derivative · entry 4

Huang James · CIK 0001573160 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-03

F3 · derivative.exercise_date: The stock options shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant date.

Read SEC document
February 03, 2021 Filed Feb 6, 2021 02:11 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002147 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock option shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant date.

Read SEC document
February 03, 2021 Filed Feb 6, 2021 02:09 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002146 · rdgdoc.xml · derivative · entry 2

Schreiber Brian D · CIK 0001762945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock options were fully vested and exercisable on the grant date.

Read SEC document
February 03, 2021 Filed Feb 6, 2021 02:08 UTC GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002145 · rdgdoc.xml · derivative · entry 2

Joseph Mahady M · CIK 0001187302 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock options were fully vested and exercisable on the grant date.

Read SEC document
February 03, 2021 Filed Feb 6, 2021 02:05 UTC
Leone John RDirector
GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002144 · rdgdoc.xml · derivative · entry 2

Leone John R · CIK 0001301047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock options were fully vested and exercisable on the grant date.

Read SEC document
February 03, 2021 Filed Feb 6, 2021 02:03 UTC GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002142 · rdgdoc.xml · derivative · entry 1

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
February 03, 2021 Filed Feb 6, 2021 02:01 UTC
Loh EvanDirector
GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002140 · rdgdoc.xml · derivative · entry 1

Loh Evan · CIK 0001622680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.

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February 03, 2021 Filed Feb 9, 2021 21:25 UTC GrantStock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $5.50 $0.00
Disclosure

SEC source: 0001437749-21-002339 · rdgdoc.xml · derivative · entry 1

SCOTT ROBERT A · CIK 0001248520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.

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January 22, 2021 Filed Jan 26, 2021 21:39 UTC
Simonson StevenSVP, Chief Medical Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $5.44 $0.00
Disclosure

SEC source: 0001437749-21-001286 · rdgdoc.xml · derivative · entry 4

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-01-22

F3 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant date.

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January 22, 2021 Filed Jan 26, 2021 21:39 UTC
Simonson StevenSVP, Chief Medical Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 52,600 $0.00 Strike: $5.44 $0.00
Disclosure

SEC source: 0001437749-21-001286 · rdgdoc.xml · derivative · entry 3

Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,600

Underlying: Common Stock · 52,600 shares

Expires 2031-01-22

F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments on the grant date and the first and second anniversaries of the grant date.

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January 22, 2021 Filed Jan 26, 2021 21:35 UTC GrantEmployee Stock Option (Right to Buy) · Derivative 60,000 $0.00 Strike: $5.44 $0.00
Disclosure

SEC source: 0001437749-21-001284 · rdgdoc.xml · derivative · entry 2

Hamill John P. · CIK 0001716213 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-01-22

F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant date.

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January 22, 2021 Filed Jan 26, 2021 21:34 UTC
Fraser CraigDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 143,250 $0.00 Strike: $5.44 $0.00
Disclosure

SEC source: 0001437749-21-001282 · rdgdoc.xml · derivative · entry 4

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,250

Underlying: Common Stock · 143,250 shares

Expires 2031-01-22

F3 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant date.

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January 22, 2021 Filed Jan 26, 2021 21:34 UTC
Fraser CraigDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 143,250 $0.00 Strike: $5.44 $0.00
Disclosure

SEC source: 0001437749-21-001282 · rdgdoc.xml · derivative · entry 3

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,250

Underlying: Common Stock · 143,250 shares

Expires 2031-01-22

F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments on the grant date and the first and second anniversaries of the grant date.

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