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Nasdaq · USD

XBIT

XBiotech Inc.

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7044
SEC CIK
0001626878
Parsed reports
138

Last 12 months

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0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Jan 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
February 12, 2020 Filed Feb 13, 2020 16:44 UTC
MCKENZIE W THORPEDirector · 10% owner
Disposition to issuerCommon Stock 15,214 $30.00 $456,420.00
Disclosure

SEC source: 0001209191-20-009263 · doc4.xml · nonDerivative · entry 4

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Spouse

Disclosed balance after: 32,524

Read SEC document
February 12, 2020 Filed Feb 13, 2020 16:44 UTC
MCKENZIE W THORPEDirector · 10% owner
Disposition to issuerCommon Stock 31,870 $30.00 $956,100.00
Disclosure

SEC source: 0001209191-20-009263 · doc4.xml · nonDerivative · entry 3

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Foundation

Disclosed balance after: 68,130

Read SEC document
February 12, 2020 Filed Feb 13, 2020 16:44 UTC
MCKENZIE W THORPEDirector · 10% owner
Disposition to issuerCommon Stock 3,665 $30.00 $109,950.00
Disclosure

SEC source: 0001209191-20-009263 · doc4.xml · nonDerivative · entry 2

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 7,835

Read SEC document
February 12, 2020 Filed Feb 13, 2020 16:44 UTC
MCKENZIE W THORPEDirector · 10% owner
Disposition to issuerCommon Stock 1,401,856 $30.00 $42,055,680.00
Disclosure

SEC source: 0001209191-20-009263 · doc4.xml · nonDerivative · entry 1

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,996,744

Read SEC document
February 12, 2020 Filed Feb 13, 2020 21:52 UTC Disposition to issuerCommon Stock 95,612 $30.00 $2,868,360.00
Disclosure

SEC source: 0001209191-20-009282 · doc4.xml · nonDerivative · entry 1

Waldin Jan-Paul · CIK 0001733176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,388

Read SEC document
February 12, 2020 Filed Feb 14, 2020 15:05 UTC
GUT THOMAS10% owner
Disposition to issuerCommon Stock 1,868,870 $30.00 $56,066,100.00
Disclosure

SEC source: 0001104659-20-021546 · tm208173d1_form4.xml · nonDerivative · entry 1

GUT THOMAS · CIK 0001640283 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,995,170

F1 · shares: Represents shares of common stock tendered by the reporting person and accepted for payment and purchased by the issuer in the issuer's tender offer for up to $420 million of its common stock. The number of shares reported is an estimate, and will be amended when a final determination is made.

Read SEC document
February 12, 2020 Filed Feb 19, 2020 18:04 UTC Amendment
GUT THOMAS10% owner
Disposition to issuerCommon Stock 1,947,584 $30.00 $58,427,520.00
Disclosure

SEC source: 0001104659-20-022929 · tm209304-1_form4a.xml · nonDerivative · entry 1

GUT THOMAS · CIK 0001640283 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,916,456

F1 · shares: Represents shares of common stock tendered by the reporting person and accepted for payment and purchased by the issuer in the issuer's tender offer for up to $420 million of its common stock.

Read SEC document
February 12, 2020 Filed Mar 5, 2020 11:32 UTC Amendment
GUT THOMAS10% owner
Disposition to issuerCommon Stock 1,949,929 $30.00 $58,497,870.00
Disclosure

SEC source: 0001104659-20-029536 · tm2011767d1_form4a.xml · nonDerivative · entry 1

GUT THOMAS · CIK 0001640283 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,914,111

F1 · shares: Represents shares of common stock tendered by the reporting person and accepted for payment and purchased by the issuer in the issuer's tender offer for up to $420 million of its common stock.

F2 · shares: The Form 4/A filed on February 19, 2019 is amended by this Form 4 amendment to correctly reflect the reporting person's ownership of common stock.

F2 · balance_after: The Form 4/A filed on February 19, 2019 is amended by this Form 4 amendment to correctly reflect the reporting person's ownership of common stock.

Read SEC document
February 12, 2020 Filed Mar 19, 2020 13:29 UTC Amendment
SIMARD JOHNDirector · Chief Executive Officer · 10% owner
Disposition to issuerCommon Stock 2,103,894 $30.00 $63,116,820.00
Disclosure

SEC source: 0001209191-20-020220 · doc4a.xml · nonDerivative · entry 1

SIMARD JOHN · CIK 0001639078 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,223,166

Read SEC document
February 12, 2020 Filed Mar 19, 2020 13:34 UTC Amendment
MCKENZIE W THORPEDirector · 10% owner
Disposition to issuerCommon Stock 15,874 $30.00 $476,220.00
Disclosure

SEC source: 0001209191-20-020221 · doc4a.xml · nonDerivative · entry 4

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Spouse

Disclosed balance after: 31,864

Read SEC document
February 12, 2020 Filed Mar 19, 2020 13:34 UTC Amendment
MCKENZIE W THORPEDirector · 10% owner
Disposition to issuerCommon Stock 33,252 $30.00 $997,560.00
Disclosure

SEC source: 0001209191-20-020221 · doc4a.xml · nonDerivative · entry 3

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Foundation

Disclosed balance after: 66,748

Read SEC document
February 12, 2020 Filed Mar 19, 2020 13:34 UTC Amendment
MCKENZIE W THORPEDirector · 10% owner
Disposition to issuerCommon Stock 3,825 $30.00 $114,750.00
Disclosure

SEC source: 0001209191-20-020221 · doc4a.xml · nonDerivative · entry 2

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 7,676

Read SEC document
February 12, 2020 Filed Mar 19, 2020 13:34 UTC Amendment
MCKENZIE W THORPEDirector · 10% owner
Disposition to issuerCommon Stock 1,462,636 $30.00 $43,879,080.00
Disclosure

SEC source: 0001209191-20-020221 · doc4a.xml · nonDerivative · entry 1

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,935,964

Read SEC document
February 12, 2020 Filed Mar 19, 2020 17:26 UTC Amendment Disposition to issuerCommon Stock 99,757 $30.00 $2,992,710.00
Disclosure

SEC source: 0001209191-20-020219 · doc4a.xml · nonDerivative · entry 1

Waldin Jan-Paul · CIK 0001733176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,243

Read SEC document
February 03, 2020 Filed Feb 13, 2020 17:07 UTC GiftCommon Stock 5,000,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009318 · doc4.xml · nonDerivative · entry 1

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,282

Read SEC document
January 06, 2020 Filed Jan 9, 2020 16:19 UTC
MCKENZIE W THORPEDirector · 10% owner
Exercise / conversionStock Option · Derivative 46,000 $0.00 Strike: $3.75 $0.00
Disclosure

SEC source: 0001209191-20-002718 · doc4.xml · derivative · entry 6

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,199,500

Underlying: Common Stock · 46,000 shares

Expires 2020-02-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 06, 2020 Filed Jan 9, 2020 16:19 UTC
MCKENZIE W THORPEDirector · 10% owner
Exercise / conversionStock Option · Derivative 77,000 $0.00 Strike: $3.75 $0.00
Disclosure

SEC source: 0001209191-20-002718 · doc4.xml · derivative · entry 5

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,245,500

Underlying: Common Stock · 77,000 shares

Expires 2020-01-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 06, 2020 Filed Jan 9, 2020 16:19 UTC
MCKENZIE W THORPEDirector · 10% owner
Exercise / conversionCommon Stock 123,000 $3.75 $461,250.00
Disclosure

SEC source: 0001209191-20-002718 · doc4.xml · nonDerivative · entry 1

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,706,600

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 06, 2019 Filed Dec 11, 2019 15:52 UTC
SIMARD JOHNDirector · Chief Executive Officer · 10% owner
Exercise / conversionStock Option · Derivative 1,000,000 $11.12 Strike: $11.12 $11,120,000.00
Disclosure

SEC source: 0001209191-19-060015 · doc4.xml · derivative · entry 1

SIMARD JOHN · CIK 0001639078 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,625,000

Underlying: Common Stock · 1,000,000 shares

Expires 2029-12-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: On December 6, 2019 (the Grant Date) John Simard was granted nonstatutory stock options under the Company's 2015 Equity Incentive Plan to purchase shares of the Company's Common Stock at an exercise price equal to the closing price of the Company's common stock, as reported by the Nasdaq Stock Market, on the Grant Date. The options will vest in two equal installments on the six-month anniversary and the first anniversary of the Grant Date.

F1 · derivative.exercise_price: On December 6, 2019 (the Grant Date) John Simard was granted nonstatutory stock options under the Company's 2015 Equity Incentive Plan to purchase shares of the Company's Common Stock at an exercise price equal to the closing price of the Company's common stock, as reported by the Nasdaq Stock Market, on the Grant Date. The options will vest in two equal installments on the six-month anniversary and the first anniversary of the Grant Date.

Read SEC document
November 29, 2019 Filed Dec 4, 2019 15:29 UTC
MCKENZIE W THORPEDirector · 10% owner
Exercise / conversionStock Option · Derivative 185,000 $0.00 Strike: $3.75 $0.00
Disclosure

SEC source: 0001209191-19-059014 · doc4.xml · derivative · entry 5

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 185,000 shares

Expires 2019-11-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 29, 2019 Filed Dec 4, 2019 15:29 UTC
MCKENZIE W THORPEDirector · 10% owner
Exercise / conversionCommon Stock 185,000 $3.75 $693,750.00
Disclosure

SEC source: 0001209191-19-059014 · doc4.xml · nonDerivative · entry 1

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,583,600

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 06, 2019 Filed Nov 8, 2019 15:05 UTC
SHIVASWAMY SUSHMAChief Scientific Officer
Exercise / conversionStock Option · Derivative 100,000 $0.00 Strike: $10.36 $0.00
Disclosure

SEC source: 0001209191-19-055793 · doc4.xml · derivative · entry 1

SHIVASWAMY SUSHMA · CIK 0001638762 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-11-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 06, 2019 Filed Nov 8, 2019 15:06 UTC
HAN QUEENAVP Finance & HR
GrantStock Option · Derivative 75,000 $0.00 Strike: $10.36 $0.00
Disclosure

SEC source: 0001209191-19-055794 · doc4.xml · derivative · entry 1

HAN QUEENA · CIK 0001638986 · VP Finance & HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2029-11-06

Read SEC document
September 06, 2019 Filed Sep 6, 2018 16:35 UTC
MCKENZIE W THORPEDirector · 10% owner
SaleCommon Stock 7,159 $3.69 $26,396.66
Disclosure

SEC source: 0001209191-18-049834 · doc4.xml · nonDerivative · entry 3

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,880,421

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.6 to $3.89, inclusive. The reporting person undertakes to provide to XBIT, any security holder of XBIT, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
July 10, 2019 Filed Sep 9, 2019 17:06 UTC
Libby PeterDirector
GrantDirector Stock option · Derivative 25,000 $0.00 Strike: $7.76 $0.00
Disclosure

SEC source: 0001209191-19-048852 · doc4.xml · derivative · entry 1

Libby Peter · CIK 0001784088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-07-09

Read SEC document
June 27, 2019 Filed Jun 28, 2019 17:24 UTC
SIMARD JOHNDirector · Chief Executive Officer · 10% owner
Exercise / conversionStock Option · Derivative 300,000 $7.45 Strike: $7.45 $2,235,000.00
Disclosure

SEC source: 0001209191-19-039527 · doc4.xml · derivative · entry 1

SIMARD JOHN · CIK 0001639078 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2029-06-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: On June 27, 2019 (the Grant Date) John Simard was granted nonstatutory stock options (the Options) under the Company's 2015 Equity Incentive Plan to purcahse shares of the Company's Common Stock (the Shares) at an exercise price equal to the closing sales price of the Shares on the Grant Date as quoted by the Nasdaq Stock Market. The options vest in three equal annual installments commencing as of the first anniversary of the Grant Date with an expiry of ten years from the Grant Date.

F1 · derivative.exercise_price: On June 27, 2019 (the Grant Date) John Simard was granted nonstatutory stock options (the Options) under the Company's 2015 Equity Incentive Plan to purcahse shares of the Company's Common Stock (the Shares) at an exercise price equal to the closing sales price of the Shares on the Grant Date as quoted by the Nasdaq Stock Market. The options vest in three equal annual installments commencing as of the first anniversary of the Grant Date with an expiry of ten years from the Grant Date.

Read SEC document
June 27, 2019 Filed Jul 1, 2019 15:30 UTC GrantStock Option · Derivative 25,000 $0.00 Strike: $7.45 $0.00
Disclosure

SEC source: 0001209191-19-039641 · doc4.xml · derivative · entry 1

MacAdam Donald H. · CIK 0001735261 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-06-27

Read SEC document
June 27, 2019 Filed Jul 1, 2019 15:33 UTC
MCKENZIE W THORPEDirector · 10% owner
GrantStock Option · Derivative 25,000 $0.00 Strike: $7.45 $0.00
Disclosure

SEC source: 0001209191-19-039647 · doc4.xml · derivative · entry 1

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-06-27

Read SEC document
June 27, 2019 Filed Jul 1, 2019 19:36 UTC GrantStock Option · Derivative 25,000 $0.00 Strike: $7.45 $0.00
Disclosure

SEC source: 0001209191-19-039652 · doc4.xml · derivative · entry 1

Waldin Jan-Paul · CIK 0001733176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-06-27

Read SEC document
June 04, 2019 Filed Jun 6, 2019 10:36 UTC PurchaseCommon Stock 1,200,000 $8.25 $9,900,000.00
Disclosure

SEC source: 0001209191-19-034978 · doc4.xml · nonDerivative · entry 1

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,110,282

F1 · kind: Represents a purchase from the underwriter in the Issuer's public offering.

Read SEC document
March 07, 2019 Filed Mar 4, 2019 16:13 UTC
SHIVASWAMY SUSHMAChief Scientific Officer
Exercise / conversionStock options · Derivative 4,500 $0.00 Strike: $2.50 $0.00
Disclosure

SEC source: 0001209191-19-015553 · doc4.xml · derivative · entry 3

SHIVASWAMY SUSHMA · CIK 0001638762 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stocks · 4,500 shares

Expires 2019-05-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 04, 2019 Filed Mar 5, 2019 16:25 UTC PurchaseCommon Stock 16,426 $7.91 $129,929.66
Disclosure

SEC source: 0001209191-19-016489 · doc4.xml · nonDerivative · entry 1

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,910,282

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.80 to $8.04, inclusive. The reporting person undertakes to provide to XBiotech Inc., any security holder of XBiotech Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
March 01, 2019 Filed Mar 4, 2019 10:29 UTC PurchaseCommon Stock 34,999 $8.13 $284,541.87
Disclosure

SEC source: 0001209191-19-015316 · doc4.xml · nonDerivative · entry 3

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,893,856

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.94 to $8.25, inclusive. The reporting person undertakes to provide to XBiotech Inc., any security holder of XBiotech Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F4 · balance_after: Number is revised to include 150,000 shares which were inadvertently omitted from prior filings.

Read SEC document
February 28, 2019 Filed Mar 4, 2019 10:29 UTC PurchaseCommon Stock 5,302 $8.19 $43,423.38
Disclosure

SEC source: 0001209191-19-015316 · doc4.xml · nonDerivative · entry 2

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,858,857

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.99 to $8.31, inclusive. The reporting person undertakes to provide to XBiotech Inc., any security holder of XBiotech Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
February 27, 2019 Filed Mar 4, 2019 10:29 UTC PurchaseCommon Stock 5,273 $8.13 $42,869.49
Disclosure

SEC source: 0001209191-19-015316 · doc4.xml · nonDerivative · entry 1

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,853,555

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.91 to $8.23, inclusive. The reporting person undertakes to provide to XBiotech Inc., any security holder of XBiotech Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Read SEC document
February 07, 2019 Filed Feb 14, 2019 14:38 UTC PurchaseCommon Stock 40,000 $10.00 $400,000.00
Disclosure

SEC source: 0001209191-19-010053 · doc4.xml · nonDerivative · entry 6

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,698,282

Read SEC document
February 07, 2019 Filed Mar 4, 2019 16:13 UTC
SHIVASWAMY SUSHMAChief Scientific Officer
SaleCommon Stock 4,500 $10.00 $45,000.00
Disclosure

SEC source: 0001209191-19-015553 · doc4.xml · nonDerivative · entry 2

SHIVASWAMY SUSHMA · CIK 0001638762 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
February 07, 2019 Filed Mar 4, 2019 16:13 UTC
SHIVASWAMY SUSHMAChief Scientific Officer
Exercise / conversionCommon Stock 4,500 $2.50 $11,250.00
Disclosure

SEC source: 0001209191-19-015553 · doc4.xml · nonDerivative · entry 1

SHIVASWAMY SUSHMA · CIK 0001638762 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 06, 2019 Filed Feb 14, 2019 14:38 UTC PurchaseCommon Stock 30,000 $9.49 $284,700.00
Disclosure

SEC source: 0001209191-19-010053 · doc4.xml · nonDerivative · entry 5

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,658,282

Read SEC document
February 06, 2019 Filed Feb 14, 2019 14:38 UTC PurchaseCommon Stock 35,000 $8.93 $312,550.00
Disclosure

SEC source: 0001209191-19-010053 · doc4.xml · nonDerivative · entry 4

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,628,282

Read SEC document
January 04, 2019 Filed Mar 4, 2019 16:48 UTC
HAN QUEENAVP Finance & HR
GrantStock Option · Derivative 25,000 $0.00 Strike: $5.26 $0.00
Disclosure

SEC source: 0001209191-19-015691 · doc4.xml · derivative · entry 1

HAN QUEENA · CIK 0001638986 · VP Finance & HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-01-04

Read SEC document
January 04, 2019 Filed Mar 4, 2019 16:51 UTC
SHIVASWAMY SUSHMAChief Scientific Officer
GrantStock Option · Derivative 15,000 $0.00 Strike: $5.26 $0.00
Disclosure

SEC source: 0001209191-19-015702 · doc4.xml · derivative · entry 1

SHIVASWAMY SUSHMA · CIK 0001638762 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-01-04

Read SEC document
January 02, 2019 Filed Feb 14, 2019 14:38 UTC PurchaseCommon Stock 900 $5.15 $4,635.00
Disclosure

SEC source: 0001209191-19-010053 · doc4.xml · nonDerivative · entry 3

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,593,282

Read SEC document
December 27, 2018 Filed Dec 28, 2018 16:17 UTC
MCKENZIE W THORPEDirector · 10% owner
PurchaseCommon Stock 1,364 $4.92 $6,705.83
Disclosure

SEC source: 0001209191-18-064318 · doc4.xml · nonDerivative · entry 6

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 32,702

Read SEC document
December 27, 2018 Filed Feb 14, 2019 14:38 UTC PurchaseCommon Stock 2,200 $4.98 $10,956.00
Disclosure

SEC source: 0001209191-19-010053 · doc4.xml · nonDerivative · entry 2

RENNES FONDATION · CIK 0001094515 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,592,382

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December 27, 2018 Filed Mar 4, 2019 15:40 UTC Amendment
MCKENZIE W THORPEDirector · 10% owner
PurchaseCommon Stock 1,364 $4.92 $6,705.83
Disclosure

SEC source: 0001209191-19-015475 · doc4a.xml · nonDerivative · entry 6

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 47,738

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December 26, 2018 Filed Dec 28, 2018 16:17 UTC
MCKENZIE W THORPEDirector · 10% owner
PurchaseCommon Stock 3,600 $5.00 $17,996.04
Disclosure

SEC source: 0001209191-18-064318 · doc4.xml · nonDerivative · entry 5

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 31,338

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December 26, 2018 Filed Mar 4, 2019 15:40 UTC Amendment
MCKENZIE W THORPEDirector · 10% owner
PurchaseCommon Stock 18,636 $5.07 $94,566.52
Disclosure

SEC source: 0001209191-19-015475 · doc4a.xml · nonDerivative · entry 5

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 46,374

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December 24, 2018 Filed Dec 28, 2018 16:17 UTC
MCKENZIE W THORPEDirector · 10% owner
PurchaseCommon Stock 24,838 $5.88 $146,097.12
Disclosure

SEC source: 0001209191-18-064318 · doc4.xml · nonDerivative · entry 4

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Spouse

Disclosed balance after: 27,738

Read SEC document
December 24, 2018 Filed Mar 4, 2019 15:40 UTC Amendment
MCKENZIE W THORPEDirector · 10% owner
PurchaseCommon Stock 24,838 $5.88 $146,097.12
Disclosure

SEC source: 0001209191-19-015475 · doc4a.xml · nonDerivative · entry 4

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 27,738

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.