Last 12 months
Inside the activity.
0 purchase rows · 0 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 | 0 |
| Apr 2026 | 0 | 0 |
| 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 |
|---|---|---|---|---|---|---|
| January 22, 2021 Filed Jan 26, 2021 21:32 UTC |
Curtis EricSVP & COO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001437749-21-001280 · rdgdoc.xml · derivative · entry 2 Curtis Eric · CIK 0001651755 · SVP & COO 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. Read SEC document |
| October 28, 2020 Filed Oct 29, 2020 10:08 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock | 250 | $6.56 | $1,639.88 |
DisclosureSEC source: 0001437749-20-021886 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,298 Read SEC document |
| October 23, 2020 Filed Oct 27, 2020 10:02 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 1,000 | $6.67 | $6,666.00 |
DisclosureSEC source: 0001437749-20-021666 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 F1 · price: The shares were purchased in multiple trades at prices ranging from $6.66 to $6.67. 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 09, 2020 Filed Oct 13, 2020 12:40 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock | 250 | $5.83 | $1,456.25 |
DisclosureSEC source: 0001437749-20-021048 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,048 Read SEC document |
| October 08, 2020 Filed Oct 9, 2020 12:03 UTC |
Curtis EricSVP & COO
|
PurchaseCommon Stock | 500 | $5.27 | $2,635.00 |
DisclosureSEC source: 0001437749-20-020955 · rdgdoc.xml · nonDerivative · entry 1 Curtis Eric · CIK 0001651755 · SVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Read SEC document |
| October 07, 2020 Filed Oct 9, 2020 12:06 UTC |
Hamill John P.SVP & CFO
|
PurchaseCommon Stock | 1,000 | $5.27 | $5,270.00 |
DisclosureSEC source: 0001437749-20-020957 · rdgdoc.xml · nonDerivative · entry 1 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| October 07, 2020 Filed Oct 9, 2020 12:05 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock | 250 | $5.17 | $1,292.50 |
DisclosureSEC source: 0001437749-20-020956 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,798 Read SEC document |
| July 29, 2020 Filed Oct 9, 2020 21:06 UTC |
Curtis EricSVP & COO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 205,461 | $0.00 Strike: $7.65 | $0.00 |
DisclosureSEC source: 0001437749-20-021001 · rdgdoc.xml · derivative · entry 1 Curtis Eric · CIK 0001651755 · SVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,461 Underlying: Common Stock · 205,461 shares Expires 2030-07-29 F1 · date: On July 29, 2020, the Compensation Committee (the "Committee") of the Board of Directors of Windtree Therapeutics, Inc., a Delaware corporation (the "Company") granted the stock option to Mr. Curtis outside of the Windtree Therapeutics, Inc. 2011 Long-Term Incentive Plan (the "Plan"), subject to approval by the stockholders of the Company at a later date. On September 29, 2020, the Committee amended the stock option grant to be under the Plan. F2 · 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. Read SEC document |
| July 20, 2020 Filed Jul 22, 2020 20:52 UTC |
Hamill John P.SVP & CFO
|
GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 211,000 | $0.00 Strike: $6.98 | $0.00 |
DisclosureSEC source: 0001437749-20-015549 · rdgdoc.xml · derivative · entry 1 Hamill John P. · CIK 0001716213 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,000 Underlying: Common Stock · 211,000 shares Expires 2030-07-20 F1 · derivative.exercise_date: The stock option vests in a series of three successive, equal installments beginning with the first anniversary of the grant. The stock option is an inducement grant pursuant to Nasdaq Listing Rule 5635(c)(4). Read SEC document |
| June 24, 2020 Filed Jan 10, 2022 22:03 UTC |
Center Laboratories, Inc.10% owner
|
OtherSERIES F WARRANTS · Derivative | 0 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0001213900-22-001391 · ownership.xml · derivative · entry 4 Center Laboratories, Inc. · CIK 0001770423 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Bioengine Capital Inc. Disclosed balance after: 0 Underlying: Common Stock · 384,824 shares Expires 2020-06-24 F4 · date: The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. The Series F Warrants were directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. As a result, the Reporting Person currently indirectly owns 0 shares of Series F Warrants. F4 · kind: The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. The Series F Warrants were directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. As a result, the Reporting Person currently indirectly owns 0 shares of Series F Warrants. F4 · balance_after: The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. The Series F Warrants were directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. As a result, the Reporting Person currently indirectly owns 0 shares of Series F Warrants. F4 · ownership.direct: The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. The Series F Warrants were directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. As a result, the Reporting Person currently indirectly owns 0 shares of Series F Warrants. Read SEC document |
| June 24, 2020 Filed Jan 10, 2022 22:03 UTC |
Bioengine Capital Inc.10% owner
|
OtherSERIES F WARRANTS · Derivative | 0 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0001213900-22-001390 · ownership.xml · derivative · entry 4 Bioengine Capital Inc. · CIK 0001770197 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 384,824 shares Expires 2020-06-24 F4 · date: The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. As a result, the Reporting Person now directly owns 0 shares of Series F Warrants. F4 · kind: The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. As a result, the Reporting Person now directly owns 0 shares of Series F Warrants. F4 · balance_after: The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. As a result, the Reporting Person now directly owns 0 shares of Series F Warrants. F4 · ownership.direct: The Reporting Person voluntarily discloses that, on July 24, 2020, Series F Warrants had expired. As a result, the Reporting Person now directly owns 0 shares of Series F Warrants. Read SEC document |
| June 04, 2020 Filed Jun 6, 2020 00:36 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 12,200 | $7.32 | $89,332.06 |
DisclosureSEC source: 0001437749-20-012549 · rdgdoc.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,200 F1 · price: The shares were purchased in multiple trades at prices ranging from $7.09 to $7.58. 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 |
| June 04, 2020 Filed Oct 26, 2020 22:26 UTC Amendment |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 12,000 | $7.32 | $87,867.60 |
DisclosureSEC source: 0001437749-20-021655 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · price: The shares were purchased in multiple trades at prices ranging from $7.09 to $7.58. 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 |
| June 03, 2020 Filed Jun 6, 2020 00:36 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 200 | $7.42 | $1,483.98 |
DisclosureSEC source: 0001437749-20-012549 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:56 UTC |
Templeton Mary B EsqSVP, Gen Counsel & Corp Sec
|
PurchaseCommon Stock Warrants · Derivative | 1,103 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011879 · rdgdoc.xml · derivative · entry 3 Templeton Mary B Esq · CIK 0001530067 · SVP, Gen Counsel & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,103 Underlying: Common Stock · 1,103 shares Expires 2025-05-22 F3 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:56 UTC |
Templeton Mary B EsqSVP, Gen Counsel & Corp Sec
|
PurchaseCommon Stock | 1,103 | $7.25 | $7,996.75 |
DisclosureSEC source: 0001437749-20-011879 · rdgdoc.xml · nonDerivative · entry 1 Templeton Mary B Esq · CIK 0001530067 · SVP, Gen Counsel & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,134 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:55 UTC |
Tattory John ASVP & CFO
|
PurchaseCommon Stock Warrants · Derivative | 449 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011878 · rdgdoc.xml · derivative · entry 3 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 449 Underlying: Common Stock · 449 shares Expires 2025-05-22 F3 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:55 UTC |
Tattory John ASVP & CFO
|
PurchaseCommon Stock | 449 | $7.25 | $3,255.25 |
DisclosureSEC source: 0001437749-20-011878 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,280 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:54 UTC |
Simonson StevenSVP, Chief Medical Officer
|
PurchaseCommon Stock Warrants · Derivative | 517 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011877 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 517 Underlying: Common Stock · 517 shares Expires 2025-05-22 F3 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:54 UTC |
Simonson StevenSVP, Chief Medical Officer
|
PurchaseCommon Stock | 517 | $7.25 | $3,748.25 |
DisclosureSEC source: 0001437749-20-011877 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,802 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:44 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock Warrants · Derivative | 2,069 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011874 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Underlying: Common Stock · 2,069 shares Expires 2025-05-22 F3 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:44 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock | 2,069 | $7.25 | $15,000.25 |
DisclosureSEC source: 0001437749-20-011874 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,548 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:43 UTC |
Schreiber Brian DDirector
|
PurchaseCommon Stock Warrants · Derivative | 2,069 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011872 · rdgdoc.xml · derivative · entry 2 Schreiber Brian D · CIK 0001762945 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Underlying: Common Stock · 2,069 shares Expires 2025-05-22 F1 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:43 UTC |
Schreiber Brian DDirector
|
PurchaseCommon Stock | 2,069 | $7.25 | $15,000.25 |
DisclosureSEC source: 0001437749-20-011872 · rdgdoc.xml · nonDerivative · entry 1 Schreiber Brian D · CIK 0001762945 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:41 UTC |
PEACOCK BRUCEDirector
|
PurchaseCommon Stock Warrants · Derivative | 3,500 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011871 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,500 shares Expires 2025-05-22 F2 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:41 UTC |
PEACOCK BRUCEDirector
|
PurchaseCommon Stock | 3,500 | $7.25 | $25,375.00 |
DisclosureSEC source: 0001437749-20-011871 · rdgdoc.xml · nonDerivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,886 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:40 UTC |
Joseph Mahady MDirector
|
PurchaseCommon Stock Warrants · Derivative | 2,069 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011870 · rdgdoc.xml · derivative · entry 2 Joseph Mahady M · CIK 0001187302 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Underlying: Common Stock · 2,069 shares Expires 2025-05-22 F2 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:40 UTC |
Joseph Mahady MDirector
|
PurchaseCommon Stock | 2,069 | $7.25 | $15,000.25 |
DisclosureSEC source: 0001437749-20-011870 · rdgdoc.xml · nonDerivative · entry 1 Joseph Mahady M · CIK 0001187302 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,455 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:39 UTC |
Leone John RDirector
|
PurchaseCommon Stock Warrants · Derivative | 2,069 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011869 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Underlying: Common Stock · 2,069 shares Expires 2025-05-22 F2 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:39 UTC |
Leone John RDirector
|
PurchaseCommon Stock | 2,069 | $7.25 | $15,000.25 |
DisclosureSEC source: 0001437749-20-011869 · rdgdoc.xml · nonDerivative · entry 1 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,473 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:37 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock Warrants · Derivative | 275,862 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011868 · rdgdoc.xml · derivative · entry 4 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Panacea Venture Healthcare Fund I L.P. Disclosed balance after: 275,862 Underlying: Common Stock · 275,862 shares Expires 2025-05-22 F4 · balance_after: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:37 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 275,862 | $7.25 | $1,999,999.50 |
DisclosureSEC source: 0001437749-20-011868 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Panacea Venture Healthcare Fund I L.P. Disclosed balance after: 2,336,853 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. F2 · ownership.nature: The Reporting Person is a Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:36 UTC |
Geffken Daniel E.Director
|
PurchaseCommon Stock Warrants · Derivative | 2,069 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011866 · rdgdoc.xml · derivative · entry 2 Geffken Daniel E. · CIK 0001314756 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Underlying: Common Stock · 2,069 shares Expires 2025-05-22 F1 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:36 UTC |
Geffken Daniel E.Director
|
PurchaseCommon Stock | 2,069 | $7.25 | $15,000.25 |
DisclosureSEC source: 0001437749-20-011866 · rdgdoc.xml · nonDerivative · entry 1 Geffken Daniel E. · CIK 0001314756 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,069 Read SEC document |
| May 20, 2020 Filed Jan 10, 2022 22:03 UTC |
Center Laboratories, Inc.10% owner
|
PurchaseSERIES J WARRANTS · Derivative | 55,172 | $0.00 Strike: $7.80 | $0.00 |
DisclosureSEC source: 0001213900-22-001391 · ownership.xml · derivative · entry 6 Center Laboratories, Inc. · CIK 0001770423 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Bioengine Capital Inc. Disclosed balance after: 55,172 Underlying: Common Stock · 55,172 shares Expires 2025-05-22 F6 · ownership.direct: The Series G and Series J Warrants are directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. Read SEC document |
| May 20, 2020 Filed Jan 10, 2022 22:03 UTC |
Center Laboratories, Inc.10% owner
|
OtherSERIES G WARRANTS · Derivative | 249,004 | $0.00 Strike: $12.15 | $0.00 |
DisclosureSEC source: 0001213900-22-001391 · ownership.xml · derivative · entry 5 Center Laboratories, Inc. · CIK 0001770423 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Bioengine Capital Inc. Disclosed balance after: 249,004 Underlying: Common Stock · 249,004 shares Expires 2023-12-24 F5 · kind: The Reporting Person voluntarily discloses that, on May 20, 2020, in connection with the Reverse Stock Split, the Issuer effected a 1-for-3 reverse split of all of its issued and outstanding Series G Warrants, which resulted in the Reporting Person's beneficial ownership of Series G Warrants being reduced from 747,012 shares of Series G Warrants to 249,004 shares of Series G Warrants. F7 · derivative.exercise_date: The exercise of the Series G Warrants is subject to a beneficial ownership limitation of 9.99%, and this limitation can only be changed with effect from the 61st day after a notice requesting such change is delivered to the Issuer. F5 · ownership.direct: The Reporting Person voluntarily discloses that, on May 20, 2020, in connection with the Reverse Stock Split, the Issuer effected a 1-for-3 reverse split of all of its issued and outstanding Series G Warrants, which resulted in the Reporting Person's beneficial ownership of Series G Warrants being reduced from 747,012 shares of Series G Warrants to 249,004 shares of Series G Warrants. F6 · ownership.direct: The Series G and Series J Warrants are directly held by Bioengine Capital Inc. and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. Read SEC document |
| May 20, 2020 Filed Jan 10, 2022 22:03 UTC |
Center Laboratories, Inc.10% owner
|
PurchaseCommon Stock | 55,172 | $7.25 | $399,997.00 |
DisclosureSEC source: 0001213900-22-001391 · ownership.xml · nonDerivative · entry 2 Center Laboratories, Inc. · CIK 0001770423 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Bioengine Capital Inc. Disclosed balance after: 1,239,088 F2 · ownership.direct: The shares of Common Stock are directly held by Bioengine Capital Inc, and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. Read SEC document |
| May 20, 2020 Filed Jan 10, 2022 22:03 UTC |
Center Laboratories, Inc.10% owner
|
OtherCommon Stock | 3,551,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-001391 · ownership.xml · nonDerivative · entry 1 Center Laboratories, Inc. · CIK 0001770423 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Bioengine Capital Inc. Disclosed balance after: 1,183,916 F1 · shares: The Reporting Person voluntarily discloses that, on May 20, 2020, the Issuer effected a 1-for-3 reverse stock split of its Common Stock (the "Reverse Stock Split"), which resulted in the Reporting Person's beneficial ownership of issued and outstanding Common Stock being reduced from 3,551,750 shares of Common Stock to 1,183,916 shares of Common Stock. The shares of Common Stock are directly held by Bioengine Capital Inc., and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. F2 · ownership.direct: The shares of Common Stock are directly held by Bioengine Capital Inc, and indirectly held by the Reporting Person, which owns 58.6% of Bioengine Capital Inc. Read SEC document |
| May 20, 2020 Filed Jan 10, 2022 22:03 UTC |
Bioengine Capital Inc.10% owner
|
PurchaseSERIES J WARRANTS · Derivative | 55,172 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001213900-22-001390 · ownership.xml · derivative · entry 6 Bioengine Capital Inc. · CIK 0001770197 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,172 Underlying: Common Stock · 55,172 shares Expires 2025-05-22 Read SEC document |
| May 20, 2020 Filed Jan 10, 2022 22:03 UTC |
Bioengine Capital Inc.10% owner
|
OtherSERIES G WARRANTS · Derivative | 249,004 | $0.00 Strike: $12.15 | $0.00 |
DisclosureSEC source: 0001213900-22-001390 · ownership.xml · derivative · entry 5 Bioengine Capital Inc. · CIK 0001770197 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,004 Underlying: Common Stock · 249,004 shares Expires 2023-12-24 F5 · kind: The Reporting Person voluntarily discloses that, on May 20, 2020, in connection with the Reverse Stock Split, the Issuer effected a 1-for-3 reverse split of all of its issued and outstanding Series G Warrants, which resulted in the Reporting Person's ownership of Series G Warrants being reduced from 747,012 shares of Series G Warrants to 249,004 shares of Series G Warrants. F6 · derivative.exercise_date: The exercise of the Series G Warrants is subject to a beneficial ownership limitation of 9.99% and this limitation can only be changed with effect from the 61st day after a notice requesting such change is delivered to the Issuer. Read SEC document |
| May 20, 2020 Filed Jan 10, 2022 22:03 UTC |
Bioengine Capital Inc.10% owner
|
PurchaseCommon Stock | 55,172 | $7.25 | $399,997.00 |
DisclosureSEC source: 0001213900-22-001390 · ownership.xml · nonDerivative · entry 2 Bioengine Capital Inc. · CIK 0001770197 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,239,088 F2 · ownership.direct: The shares were directly held by the Reporting Person and indirectly held by Center Laboratories, Inc., which owns 58.6% of the Reporting Person. Read SEC document |
| May 20, 2020 Filed Jan 10, 2022 22:03 UTC |
Bioengine Capital Inc.10% owner
|
OtherCommon Stock | 3,551,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-001390 · ownership.xml · nonDerivative · entry 1 Bioengine Capital Inc. · CIK 0001770197 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,183,916 F1 · shares: The Reporting Person voluntarily discloses that, on May 20, 2020, the Issuer effected a 1-for-3 reverse stock split of its Common Stock (the "Reverse Stock Split"), which resulted in the Reporting Person's ownership of issued and outstanding Common Stock being reduced from 3,551,750 shares of Common Stock to 1,183,916 shares of Common Stock. F2 · ownership.direct: The shares were directly held by the Reporting Person and indirectly held by Center Laboratories, Inc., which owns 58.6% of the Reporting Person. Read SEC document |
| February 18, 2020 Filed Feb 20, 2020 21:21 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 400 | $3.84 | $1,535.00 |
DisclosureSEC source: 0001437749-20-003165 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,400 F1 · price: The shares were purchased in multiple trades at prices ranging from $3.75 to $4.10. 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 |
| February 11, 2020 Filed Feb 12, 2020 21:07 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock | 250 | $4.10 | $1,025.00 |
DisclosureSEC source: 0001437749-20-002448 · rdgdoc.xml · nonDerivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,590 Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:07 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock | 250 | $4.10 | $1,025.00 |
DisclosureSEC source: 0001437749-20-002448 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,340 Read SEC document |
| February 07, 2020 Filed Feb 7, 2020 22:11 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 500 | $4.05 | $2,025.00 |
DisclosureSEC source: 0001437749-20-002069 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,000 Read SEC document |
| February 04, 2020 Filed Feb 5, 2020 21:14 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock | 500 | $4.24 | $2,120.00 |
DisclosureSEC source: 0001437749-20-001792 · rdgdoc.xml · nonDerivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,090 Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 21:14 UTC |
Fraser CraigDirector · President and CEO
|
PurchaseCommon Stock | 100 | $4.20 | $420.00 |
DisclosureSEC source: 0001437749-20-001792 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,590 Read SEC document |
| January 17, 2020 Filed Jan 22, 2020 01:52 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 2,000 | $4.18 | $8,365.80 |
DisclosureSEC source: 0001437749-20-000944 · rdgdoc.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 F1 · price: The shares were purchased in multiple trades at prices ranging from $4.10 to $4.19. 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 |
| January 16, 2020 Filed Jan 22, 2020 01:52 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 58 | $4.20 | $243.60 |
DisclosureSEC source: 0001437749-20-000944 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,500 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.