Last 12 months
Inside the activity.
0 purchase rows · 4 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 | 1 |
| Jan 2026 | 0 | 3 |
| 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 |
|---|---|---|---|---|---|---|
| May 13, 2021 Filed May 14, 2021 17:10 UTC |
Bock BrianChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 600,000 | $0.00 Strike: $1.54 | $0.00 |
DisclosureSEC source: 0001209191-21-032812 · doc4.xml · derivative · entry 1 Bock Brian · CIK 0001860804 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2031-05-12 F1 · derivative.exercise_date: One-fourth (1/4th) of the shares shall vest on May 13, 2022 and the remainder of the shares will vest in a series of thirty-six (36) successive equal monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:42 UTC |
Feltner Douglas E.Chief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 220,000 | $0.00 Strike: $1.90 | $0.00 |
DisclosureSEC source: 0001209191-21-029059 · doc4.xml · derivative · entry 1 Feltner Douglas E. · CIK 0001813344 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,000 Underlying: Common Stock · 220,000 shares Expires 2031-04-26 F1 · derivative.exercise_date: The shares subject to the option vest in 48 substantially equal monthly installments from the vesting commencement date of April 27, 2021, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| April 27, 2021 Filed Apr 29, 2021 17:40 UTC |
Giljohann David ADirector · Chief Executive Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 1,142,900 | $0.00 Strike: $1.90 | $0.00 |
DisclosureSEC source: 0001209191-21-029057 · doc4.xml · derivative · entry 1 Giljohann David A · CIK 0001697932 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,142,900 Underlying: Common Stock · 1,142,900 shares Expires 2031-04-26 F1 · derivative.exercise_date: The shares subject to the option vest in 48 substantially equal monthly installments from the vesting commencement date of April 27, 2021, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| April 27, 2021 Filed May 4, 2021 22:01 UTC |
SCHROFF MATTHIASChief Operating Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 60,000 | $0.00 Strike: $1.90 | $0.00 |
DisclosureSEC source: 0001209191-21-030013 · doc4.xml · derivative · entry 2 SCHROFF MATTHIAS · CIK 0001737982 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-04-26 F1 · derivative.exercise_date: The shares subject to the option vest in 48 substantially equal monthly installments from the vesting commencement date of April 27, 2021, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| April 27, 2021 Filed May 4, 2021 22:01 UTC |
SCHROFF MATTHIASChief Operating Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 476,200 | $0.00 Strike: $1.90 | $0.00 |
DisclosureSEC source: 0001209191-21-030013 · doc4.xml · derivative · entry 1 SCHROFF MATTHIAS · CIK 0001737982 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 476,200 Underlying: Common Stock · 476,200 shares Expires 2031-04-26 F1 · derivative.exercise_date: The shares subject to the option vest in 48 substantially equal monthly installments from the vesting commencement date of April 27, 2021, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| March 05, 2021 Filed Mar 8, 2021 18:56 UTC |
SASSINE ANDYDirector
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-21-018734 · doc4.xml · derivative · entry 1 SASSINE ANDY · CIK 0001515322 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2031-03-04 F1 · derivative.exercise_date: The shares subject to the option vest in 36 substantially equal monthly installments from the vesting commencement date of March 5, 2021, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| March 05, 2021 Filed Mar 8, 2021 23:57 UTC |
GAROFALO ELIZABETH A.Director
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001209191-21-018736 · doc4.xml · derivative · entry 1 GAROFALO ELIZABETH A. · CIK 0001826361 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2031-03-04 F1 · derivative.exercise_date: The shares subject to the option vest in 36 substantially equal monthly installments from the vesting commencement date of March 5, 2021, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 16:46 UTC |
SULAT JAMES RDirector
|
GrantStock Option (right to buy) · Derivative | 43,386 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001209191-21-001201 · doc4.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,386 Underlying: Common Stock · 43,386 shares Expires 2031-01-01 F1 · derivative.exercise_date: The shares subject to the option vest in 36 substantially equal monthly installments from the vesting commencement date of January 2, 2021, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| July 06, 2020 Filed Jul 8, 2020 20:46 UTC |
Venkatesan JayDirector
|
Exercise / conversionStock Option (right to buy) · Derivative | 12,930 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001209191-20-041770 · doc4.xml · derivative · entry 6 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,930 shares Expires 2025-04-28 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. F5 · derivative.exercise_date: This option vested in 48 substantially equal monthly installments from February 20, 2015, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| July 06, 2020 Filed Jul 8, 2020 20:46 UTC |
Venkatesan JayDirector
|
Exercise / conversionStock Option (right to buy) · Derivative | 9,310 | $0.00 Strike: $0.65 | $0.00 |
DisclosureSEC source: 0001209191-20-041770 · doc4.xml · derivative · entry 5 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,310 shares Expires 2024-02-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: This option vested 25% on October 1, 2014, and the remaining 75% vested in 36 substantially equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| July 06, 2020 Filed Jul 8, 2020 20:46 UTC |
Venkatesan JayDirector
|
Exercise / conversionCommon Stock | 12,930 | $1.03 | $13,317.90 |
DisclosureSEC source: 0001209191-20-041770 · doc4.xml · nonDerivative · entry 2 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324,473 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 |
| July 06, 2020 Filed Jul 8, 2020 20:46 UTC |
Venkatesan JayDirector
|
Exercise / conversionCommon Stock | 9,310 | $0.65 | $6,051.50 |
DisclosureSEC source: 0001209191-20-041770 · doc4.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 311,544 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 |
| June 12, 2020 Filed Jun 16, 2020 21:43 UTC |
AURASENSE LLC10% owner
|
SaleCommon Stock | 10,195 | $2.83 | $28,851.85 |
DisclosureSEC source: 0001698530-20-000052 · wf-form4_159235820987109.xml · nonDerivative · entry 1 AURASENSE LLC · CIK 0001476816 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,257,629 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.81 to $2.87 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 21:35 UTC |
Mirkin Chad A.Director · 10% owner
|
SaleCommon Stock | 10,195 | $2.83 | $28,851.85 |
DisclosureSEC source: 0001209191-20-037163 · doc4.xml · nonDerivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By AuraSense, LLC Disclosed balance after: 11,257,629 F1 · kind: Certain of these transactions are matchable transactions under Section 16(b) of the Exchange Act. The Reporting Person will disgorge the full amount of any recoverable profits to the Issuer. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.81 to $2.87 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · ownership.nature: The Reporting Person is a member of the Board of Managers of AuraSense, LLC and may be deemed to share voting or dispositive power over the shares held by AuraSense, LLC. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 19:21 UTC |
Kim Helen SusanDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035123 · doc4.xml · derivative · entry 1 Kim Helen Susan · CIK 0001422772 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 19:22 UTC |
Mirkin Chad A.Director · 10% owner
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035124 · doc4.xml · derivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 23:22 UTC |
Venkatesan JayDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035126 · doc4.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 19:24 UTC |
WALT DAVID RDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035128 · doc4.xml · derivative · entry 1 WALT DAVID R · CIK 0001205236 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 23:23 UTC |
Walbert Timothy PDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035127 · doc4.xml · derivative · entry 1 Walbert Timothy P · CIK 0001349376 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 19:19 UTC |
Cleland Jeffrey LDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035121 · doc4.xml · derivative · entry 1 Cleland Jeffrey L · CIK 0001601948 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| June 04, 2020 Filed Jun 8, 2020 23:20 UTC |
Hau BosunDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035122 · doc4.xml · derivative · entry 1 Hau Bosun · CIK 0001730224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| June 04, 2020 Filed Jun 9, 2020 20:27 UTC |
Muralidhar BaliDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.79 | $0.00 |
DisclosureSEC source: 0001209191-20-035256 · doc4.xml · derivative · entry 1 Muralidhar Bali · CIK 0001784138 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2030-06-03 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 06:55 UTC |
Feltner Douglas E.Chief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 400,000 | $0.00 Strike: $2.72 | $0.00 |
DisclosureSEC source: 0001209191-20-034595 · doc4.xml · derivative · entry 1 Feltner Douglas E. · CIK 0001813344 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2030-06-02 F1 · derivative.exercise_date: This option vests 25% on May 18, 2021, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| May 20, 2020 Filed May 21, 2020 16:46 UTC |
Mirkin Chad A.Director · 10% owner
|
Exercise / conversionStock Option (right to buy) · Derivative | 49,649 | $0.00 Strike: $0.65 | $0.00 |
DisclosureSEC source: 0001209191-20-031317 · doc4.xml · derivative · entry 5 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 49,649 shares Expires 2024-03-01 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. F5 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| May 20, 2020 Filed May 21, 2020 16:46 UTC |
Mirkin Chad A.Director · 10% owner
|
Exercise / conversionCommon Stock | 49,649 | $0.65 | $32,271.85 |
DisclosureSEC source: 0001209191-20-031317 · doc4.xml · nonDerivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,649 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 13, 2020 Filed Mar 16, 2020 08:47 UTC |
Giljohann David ADirector · Chief Executive Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 871,504 | $0.00 Strike: $1.19 | $0.00 |
DisclosureSEC source: 0001698530-20-000022 · wf-form4_158436283129441.xml · derivative · entry 1 Giljohann David A · CIK 0001697932 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 871,504 Underlying: Common Stock · 871,504 shares Expires 2030-03-12 F1 · derivative.exercise_date: This option vests in 48 substantially equal monthly installments from March 13, 2020, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 08:47 UTC |
WALT DAVID RDirector
|
PurchaseCommon Stock | 291,066 | $1.21 | $352,859.31 |
DisclosureSEC source: 0001698530-20-000021 · wf-form4_158436280737371.xml · nonDerivative · entry 1 WALT DAVID R · CIK 0001205236 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,058,777 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $1.1998 to $1.2196, inclusive. The reporting person undertakes to provide to Exicure, Inc., any security holder of Exicure, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 08:46 UTC |
SNYDER DAVID SChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 230,200 | $0.00 Strike: $1.19 | $0.00 |
DisclosureSEC source: 0001698530-20-000020 · wf-form4_158436278626721.xml · derivative · entry 2 SNYDER DAVID S · CIK 0001398625 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,200 Underlying: Common Stock · 230,200 shares Expires 2030-03-12 F2 · derivative.exercise_date: This option vests in 48 substantially equal monthly installments from March 13, 2020, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 08:46 UTC |
Mirkin Chad A.Director · 10% owner
|
PurchaseCommon Stock | 15,000 | $1.45 | $21,750.00 |
DisclosureSEC source: 0001698530-20-000019 · wf-form4_158436276534600.xml · nonDerivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · balance_after: 27,267 shares previously reported as direct beneficial ownership are held in the Chad A. Mirkin Living Trust and therefore should have been reported as indirect beneficial ownership. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 08:46 UTC |
SNYDER DAVID SChief Financial Officer
|
PurchaseCommon Stock | 18,248 | $1.40 | $25,591.00 |
DisclosureSEC source: 0001698530-20-000020 · wf-form4_158436278626721.xml · nonDerivative · entry 1 SNYDER DAVID S · CIK 0001398625 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,248 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $1.3650 to $1.43, inclusive. The reporting person undertakes to provide to Exicure, Inc., any security holder of Exicure, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| December 19, 2019 Filed Dec 23, 2019 21:05 UTC |
Muralidhar BaliDirector
|
PurchaseCommon Stock $0.0001 par value | 727,000 | $2.75 | $1,999,250.00 |
DisclosureSEC source: 0000905718-19-000989 · exicure_fm4dec192019.xml · nonDerivative · entry 1 Muralidhar Bali · CIK 0001784138 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 6,977,000 F1 · ownership.nature: The shares are held by Abingworth Bioventures VII LP ("Abingworth VII"). Abingworth Bioventures VII GP LP ("Abingworth GP") serves as the general partner of Abingworth VII. Abingworth General Partner VII LLP, serves as the general partner of Abingworth GP. Abingworth VII (acting by its general partner Abingworth GP, acting by its general partner Abingworth General Partner VII LLP) has delegated to Abingworth LLP ("ALLP"), all investment and dispositive power over the securities held by Abingworth VII. ALLP holds the reported securities indirectly through Abingworth VII. The reporting person is an employee of ALLP. F2 · ownership.nature: The reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 02, 2019 Filed Aug 5, 2019 20:18 UTC |
Muralidhar BaliDirector
|
GrantStock option (right to buy) · Derivative | 43,386 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0000905718-19-000661 · exicure_fm4aug22019.xml · derivative · entry 1 Muralidhar Bali · CIK 0001784138 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,386 Underlying: Common Stock · 43,386 shares Expires 2029-08-01 F1 · derivative.exercise_date: This option vests in 36 substantially equal monthly installments from August 2, 2019, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| August 02, 2019 Filed Aug 6, 2019 17:13 UTC |
Mirkin Chad A.Director · 10% owner
|
PurchaseCommon Stock | 25,000 | $2.00 | $50,000.00 |
DisclosureSEC source: 0001698530-19-000113 · wf-form4_156512600692958.xml · nonDerivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By BSR Enterprises, LLC Disclosed balance after: 25,000 F1 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F2 · ownership.nature: The Reporting Person is a board member of BSR Enterprises, LLC and may be deemed to share voting and dispositive power over the shares held by BSR Enterprises, LLC with the Reporting Person's spouse. Read SEC document |
| August 02, 2019 Filed Aug 6, 2019 21:11 UTC |
Venkatesan JayDirector
|
PurchaseCommon Stock | 250,000 | $2.00 | $500,000.00 |
DisclosureSEC source: 0001698530-19-000111 · wf-form4_156512586376371.xml · nonDerivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,234 Read SEC document |
| August 02, 2019 Filed Aug 6, 2019 17:09 UTC |
WALT DAVID RDirector
|
PurchaseCommon Stock | 1,000,000 | $2.00 | $2,000,000.00 |
DisclosureSEC source: 0001698530-19-000109 · wf-form4_156512576327940.xml · nonDerivative · entry 1 WALT DAVID R · CIK 0001205236 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,767,711 Read SEC document |
| August 02, 2019 Filed Aug 7, 2019 00:07 UTC |
Hau BosunDirector
|
GrantStock Option (right to buy) · Derivative | 43,386 | $0.00 Strike: $2.95 | $0.00 |
DisclosureSEC source: 0001698530-19-000118 · wf-form4_156513646290042.xml · derivative · entry 1 Hau Bosun · CIK 0001730224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,386 Underlying: Common Stock · 43,386 shares Expires 2029-08-01 F1 · derivative.exercise_date: (1) This option vests in 36 substantially equal monthly installments from August 2, 2019, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| July 22, 2019 Filed Jul 22, 2019 23:08 UTC |
Walbert Timothy PDirector
|
GrantStock Option (right to buy) · Derivative | 43,386 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001698530-19-000091 · wf-form4_156383691936943.xml · derivative · entry 1 Walbert Timothy P · CIK 0001349376 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,386 Underlying: Common Stock · 43,386 shares Expires 2029-07-21 F1 · derivative.exercise_date: This option vests in 36 substantially equal monthly installments from July 22, 2019, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| July 22, 2019 Filed Jul 22, 2019 19:05 UTC |
Cleland Jeffrey LDirector
|
GrantStock Option (right to buy) · Derivative | 43,386 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001698530-19-000089 · wf-form4_156383674362452.xml · derivative · entry 1 Cleland Jeffrey L · CIK 0001601948 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,386 Underlying: Common Stock · 43,386 shares Expires 2029-07-21 F1 · derivative.exercise_date: This option vests in 36 substantially equal monthly installments from July 22, 2019, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 17:34 UTC |
Thaxton Colby ShadDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0001698530-19-000061 · wf-form4_156054802997708.xml · derivative · entry 1 Thaxton Colby Shad · CIK 0001697945 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2029-06-13 F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 14, 2019, provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service with the Issuer through each such date or, if earlier, such annual meeting and certain change of control provisions. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 17:30 UTC |
Kim Helen SusanDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0001698530-19-000057 · wf-form4_156054783184281.xml · derivative · entry 1 Kim Helen Susan · CIK 0001422772 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2029-06-13 F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 14, 2019, provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service with the Issuer through each such date or, if earlier, such annual meeting and certain change of control provisions. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 17:35 UTC |
Mirkin Chad A.Director · 10% owner
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0001698530-19-000063 · wf-form4_156054813032072.xml · derivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2029-06-13 F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 14, 2019, provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service with the Issuer through each such date or, if earlier, such annual meeting and certain change of control provisions. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 21:37 UTC |
Venkatesan JayDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0001698530-19-000065 · wf-form4_156054824434724.xml · derivative · entry 1 Venkatesan Jay · CIK 0001413350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2029-06-13 F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 14, 2019, provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service with the Issuer through each such date or, if earlier, such annual meeting and certain change of control provisions. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 17:32 UTC |
WALT DAVID RDirector
|
GrantStock Option (right to buy) · Derivative | 21,693 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0001698530-19-000059 · wf-form4_156054796356175.xml · derivative · entry 1 WALT DAVID R · CIK 0001205236 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,693 Underlying: Common Stock · 21,693 shares Expires 2029-06-13 F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 14, 2019, provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service with the Issuer through each such date or, if earlier, such annual meeting and certain change of control provisions. Read SEC document |
| March 22, 2019 Filed Mar 22, 2019 16:12 UTC |
Mirkin Chad A.Director · 10% owner
|
PurchaseCommon Stock | 500 | $2.30 | $1,150.00 |
DisclosureSEC source: 0001698530-19-000035 · wf-form4_155328555643731.xml · nonDerivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,267 Read SEC document |
| March 21, 2019 Filed Mar 21, 2019 16:41 UTC |
Mirkin Chad A.Director · 10% owner
|
PurchaseCommon Stock | 1,000 | $2.43 | $2,430.00 |
DisclosureSEC source: 0001698530-19-000033 · wf-form4_155320086220904.xml · nonDerivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,767 Read SEC document |
| March 19, 2019 Filed Mar 19, 2019 16:52 UTC |
Giljohann David ADirector · Chief Executive Officer
|
PurchaseCommon Stock | 7,000 | $2.40 | $16,800.00 |
DisclosureSEC source: 0001698530-19-000027 · wf-form4_155302872171248.xml · nonDerivative · entry 1 Giljohann David A · CIK 0001697932 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,666 Read SEC document |
| March 18, 2019 Filed Mar 18, 2019 17:21 UTC |
Mirkin Chad A.Director · 10% owner
|
PurchaseCommon Stock | 1,000 | $2.40 | $2,400.00 |
DisclosureSEC source: 0001698530-19-000025 · wf-form4_155294406516861.xml · nonDerivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,767 Read SEC document |
| March 13, 2019 Filed Mar 14, 2019 16:58 UTC |
Mirkin Chad A.Director · 10% owner
|
PurchaseCommon Stock | 2,200 | $2.50 | $5,500.00 |
DisclosureSEC source: 0001698530-19-000021 · wf-form4_155259707154344.xml · nonDerivative · entry 1 Mirkin Chad A. · CIK 0001416999 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,767 Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 16:51 UTC |
SNYDER DAVID SChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 250,000 | $0.00 Strike: $2.80 | $0.00 |
DisclosureSEC source: 0001698530-19-000010 · wf-form4_155147710326978.xml · derivative · entry 1 SNYDER DAVID S · CIK 0001398625 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-02-27 F1 · derivative.exercise_date: This option vests in 48 substantially equal monthly installments from February 28, 2019, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. Read SEC document |
| August 02, 2018 Filed Aug 3, 2018 17:31 UTC |
SNYDER DAVID SChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $4.97 | $0.00 |
DisclosureSEC source: 0001698530-18-000038 · wf-form4_153333187899131.xml · derivative · entry 1 SNYDER DAVID S · CIK 0001398625 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-08-01 F1 · derivative.exercise_date: This option vests in 48 substantially equal monthly installments from August 2, 2018, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions. 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.