Last 12 months
Inside the activity.
2 purchase rows · 26 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 3 |
| Jan 2026 | 0 | 2 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 15 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 2 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 3 |
| Sep 2026 | 2 | 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 |
|---|---|---|---|---|---|---|
| March 12, 2018 Filed Mar 13, 2018 21:43 UTC |
ROBIN SHERRINGTONEVP Bus. & Corp. Development
|
GrantStock Option (Right to Buy) · Derivative | 55,000 | $0.00 Strike: $4.75 | $0.00 |
DisclosureSEC source: 0001171843-18-001915 · formfour.xml · derivative · entry 1 ROBIN SHERRINGTON · CIK 0001619962 · EVP Bus. & Corp. Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Shares · 55,000 shares Expires 2028-03-11 F1 · derivative.exercise_date: Vesting 25% on January 1, 2019, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month. Read SEC document |
| March 12, 2018 Filed Mar 13, 2018 21:42 UTC |
MORTIMER IANPRESIDENT & CFO
|
GrantStock Option (Right to Buy) · Derivative | 105,000 | $0.00 Strike: $4.75 | $0.00 |
DisclosureSEC source: 0001171843-18-001914 · form4.xml · derivative · entry 1 MORTIMER IAN · CIK 0001619961 · PRESIDENT & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common Shares · 105,000 shares Expires 2028-03-11 F1 · derivative.exercise_date: Vesting 25% on January 1, 2019, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 16:52 UTC |
PIMSTONE SIMON N.Director · CEO
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 10,288 | $0.00 Strike: $3.77 | $0.00 |
DisclosureSEC source: 0001171843-18-001956 · f4_pimstone031418.xml · derivative · entry 3 PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 10,288 shares Expires 2018-03-16 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 · derivative.exercise_price: The exercise price was converted to U.S. dollars from $3.74 CAD using the closing rate of exchange on the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the day of exercise. F2 · derivative.exercise_date: The shares subject to the option fully vested on December 31, 2011. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 16:52 UTC |
PIMSTONE SIMON N.Director · CEO
|
Exercise / conversionCommon Shares | 10,288 | $3.77 | $38,785.76 |
DisclosureSEC source: 0001171843-18-001956 · f4_pimstone031418.xml · nonDerivative · entry 1 PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,135 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 · price: The exercise price was converted to U.S. dollars from $3.74 CAD using the closing rate of exchange on the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the day of exercise. Read SEC document |
| February 22, 2018 Filed Mar 1, 2018 23:25 UTC |
Hayden Michael RDirector
|
GiftCommon Shares | 21,180 | $0.00 | $0.00 |
DisclosureSEC source: 0001171843-18-001619 · f4_hayden022318.xml · nonDerivative · entry 2 Hayden Michael R · CIK 0001352908 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 97,066 Read SEC document |
| February 22, 2018 Filed Mar 1, 2018 23:25 UTC |
Hayden Michael RDirector
|
GiftCommon Shares | 29,580 | $0.00 | $0.00 |
DisclosureSEC source: 0001171843-18-001619 · f4_hayden022318.xml · nonDerivative · entry 1 Hayden Michael R · CIK 0001352908 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,607 F1 · kind: 8,400 of these shares were gifted to family members that do not share the reporting person's household. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:55 UTC |
COHEN CHARLES J.VP, Biology
|
Exercise / conversionStock Option (Right to Buy) · Derivative | 26,748 | $0.00 Strike: $3.71 | $0.00 |
DisclosureSEC source: 0001171843-18-001149 · f4_cohen021318.xml · derivative · entry 3 COHEN CHARLES J. · CIK 0001619967 · VP, Biology 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 26,748 shares Expires 2018-03-16 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 · derivative.exercise_price: The exercise price was converted to U.S. dollars from $3.74 CAD using the closing rate of exchange on the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the day of exercise. F3 · derivative.exercise_date: The shares subject to the option fully vested on January 31, 2012. The date the option became fully vested was incorrectly reflected on the Reporting Person's Form 3. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:55 UTC |
COHEN CHARLES J.VP, Biology
|
Tax withholdingCommon Shares | 22,669 | $3.50 | $79,341.50 |
DisclosureSEC source: 0001171843-18-001149 · f4_cohen021318.xml · nonDerivative · entry 2 COHEN CHARLES J. · CIK 0001619967 · VP, Biology 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,079 F2 · price: Represents the closing price of the Company's common shares on February 09, 2018, which was converted to $4.41 Canadian for purposes of net settlement calculations. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:55 UTC |
COHEN CHARLES J.VP, Biology
|
Exercise / conversionCommon Shares | 26,748 | $3.71 | $99,235.08 |
DisclosureSEC source: 0001171843-18-001149 · f4_cohen021318.xml · nonDerivative · entry 1 COHEN CHARLES J. · CIK 0001619967 · VP, Biology 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,748 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 · price: The exercise price was converted to U.S. dollars from $3.74 CAD using the closing rate of exchange on the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the day of exercise. Read SEC document |
| November 15, 2017 Filed Nov 16, 2017 16:56 UTC |
AZAB MOHAMMADDirector
|
PurchaseCommon Shares | 15,000 | $2.22 | $33,280.50 |
DisclosureSEC source: 0001171843-17-007110 · formfour.xml · nonDerivative · entry 1 AZAB MOHAMMAD · CIK 0001309653 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,210 F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.2095 to $2.231, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. Read SEC document |
| October 23, 2017 Filed Oct 24, 2017 18:46 UTC |
PIMSTONE SIMON N.Director · President & CEO
|
GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $3.10 | $0.00 |
DisclosureSEC source: 0001171843-17-006256 · formfour.xml · derivative · entry 1 PIMSTONE SIMON N. · CIK 0001620084 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Shares · 11,000 shares Expires 2027-10-22 F1 · derivative.exercise_date: Vesting 25% on October 23, 2018, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month. Read SEC document |
| October 23, 2017 Filed Oct 24, 2017 22:48 UTC |
MORTIMER IANCFO & COO
|
GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $3.10 | $0.00 |
DisclosureSEC source: 0001171843-17-006258 · form4mortimer.xml · derivative · entry 1 MORTIMER IAN · CIK 0001619961 · CFO & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Shares · 25,000 shares Expires 2027-10-22 F1 · derivative.exercise_date: Vesting 25% on October 23, 2018, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month. Read SEC document |
| October 23, 2017 Filed Oct 24, 2017 22:46 UTC |
ROBIN SHERRINGTONSVP Bus. & Corp. Development
|
GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $3.10 | $0.00 |
DisclosureSEC source: 0001171843-17-006257 · formfour.xml · derivative · entry 1 ROBIN SHERRINGTON · CIK 0001619962 · SVP Bus. & Corp. Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Shares · 11,000 shares Expires 2027-10-22 F1 · derivative.exercise_date: Vesting 25% on October 23, 2018, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month. Read SEC document |
| October 23, 2017 Filed Oct 24, 2017 22:45 UTC |
GOLDBERG Y. PAULSVP, Clinical Development
|
GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $3.10 | $0.00 |
DisclosureSEC source: 0001171843-17-006255 · formfour.xml · derivative · entry 1 GOLDBERG Y. PAUL · CIK 0001619960 · SVP, Clinical Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Shares · 11,000 shares Expires 2027-10-22 F1 · derivative.exercise_date: Vesting 25% on October 23, 2018, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month. Read SEC document |
| October 23, 2017 Filed Oct 24, 2017 22:44 UTC |
EMPFIELD JAMES R.SVP, Drug Discovery
|
GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $3.10 | $0.00 |
DisclosureSEC source: 0001171843-17-006254 · formfour.xml · derivative · entry 1 EMPFIELD JAMES R. · CIK 0001665430 · SVP, Drug Discovery 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Shares · 20,000 shares Expires 2027-10-22 F1 · derivative.exercise_date: Vesting 25% on October 23, 2018, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month. Read SEC document |
| October 23, 2017 Filed Oct 24, 2017 22:43 UTC |
COHEN CHARLES J.VP, Biology
|
GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $3.10 | $0.00 |
DisclosureSEC source: 0001171843-17-006253 · formfour.xml · derivative · entry 1 COHEN CHARLES J. · CIK 0001619967 · VP, Biology 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Shares · 11,000 shares Expires 2027-10-22 F1 · derivative.exercise_date: Vesting 25% on October 23, 2018, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month. Read SEC document |
| September 22, 2017 Filed Sep 25, 2017 17:00 UTC |
AZAB MOHAMMADDirector
|
PurchaseCommon Shares | 8,000 | $2.95 | $23,600.00 |
DisclosureSEC source: 0001171843-17-005707 · form4azab.xml · nonDerivative · entry 2 AZAB MOHAMMAD · CIK 0001309653 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,210 Read SEC document |
| September 21, 2017 Filed Sep 25, 2017 17:00 UTC |
AZAB MOHAMMADDirector
|
PurchaseCommon Shares | 2,000 | $2.95 | $5,900.00 |
DisclosureSEC source: 0001171843-17-005707 · form4azab.xml · nonDerivative · entry 1 AZAB MOHAMMAD · CIK 0001309653 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,210 Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 16:48 UTC |
WINQUIST RAYMONDHead, Translational Research
|
PurchaseCommon Shares | 1,000 | $3.00 | $2,995.00 |
DisclosureSEC source: 0001171843-17-005193 · formfour.xml · nonDerivative · entry 1 WINQUIST RAYMOND · CIK 0001670668 · Head, Translational Research 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 16:49 UTC |
AZAB MOHAMMADDirector
|
PurchaseCommon Shares | 6,312 | $2.90 | $18,301.64 |
DisclosureSEC source: 0001171843-17-005194 · formfour.xml · nonDerivative · entry 2 AZAB MOHAMMAD · CIK 0001309653 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,210 F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.6899 to $2.95, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. Read SEC document |
| August 17, 2017 Filed Aug 21, 2017 16:49 UTC |
AZAB MOHAMMADDirector
|
PurchaseCommon Shares | 23 | $2.65 | $60.95 |
DisclosureSEC source: 0001171843-17-005194 · formfour.xml · nonDerivative · entry 1 AZAB MOHAMMAD · CIK 0001309653 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,898 Read SEC document |
| August 15, 2017 Filed Aug 16, 2017 22:55 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 7,429 | $2.41 | $17,920.23 |
DisclosureSEC source: 0000921895-17-002188 · form407422032_08162017.xml · nonDerivative · entry 4 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,077,694 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.direct: Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. Read SEC document |
| August 15, 2017 Filed Aug 16, 2017 22:55 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 11,429 | $2.41 | $27,569.03 |
DisclosureSEC source: 0000921895-17-002188 · form407422032_08162017.xml · nonDerivative · entry 3 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,674,468 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.direct: Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 21:33 UTC |
EMPFIELD JAMES R.SVP, Drug Discovery
|
PurchaseCommon Shares | 10,000 | $2.48 | $24,824.00 |
DisclosureSEC source: 0001171843-17-005162 · formfour.xml · nonDerivative · entry 1 EMPFIELD JAMES R. · CIK 0001665430 · SVP, Drug Discovery 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| August 14, 2017 Filed Aug 14, 2017 22:06 UTC |
Hayden Michael RDirector
|
PurchaseCommon Shares | 15,000 | $2.75 | $41,247.00 |
DisclosureSEC source: 0001171843-17-005068 · formfour.xml · nonDerivative · entry 1 Hayden Michael R · CIK 0001352908 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,187 F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.745 to $2.75, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. Read SEC document |
| August 14, 2017 Filed Aug 15, 2017 20:54 UTC |
Svoronos DawnDirector
|
PurchaseCommon Shares | 50,000 | $2.82 | $140,770.00 |
DisclosureSEC source: 0001171843-17-005101 · formfour.xml · nonDerivative · entry 1 Svoronos Dawn · CIK 0001574579 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.80 to $2.85, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. Read SEC document |
| August 14, 2017 Filed Aug 16, 2017 22:55 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 13,337 | $2.70 | $36,057.91 |
DisclosureSEC source: 0000921895-17-002188 · form407422032_08162017.xml · nonDerivative · entry 2 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,070,265 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.direct: Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. Read SEC document |
| August 14, 2017 Filed Aug 16, 2017 22:55 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 28,007 | $2.70 | $75,719.73 |
DisclosureSEC source: 0000921895-17-002188 · form407422032_08162017.xml · nonDerivative · entry 1 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,663,039 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.direct: Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF. Read SEC document |
| August 11, 2017 Filed Aug 14, 2017 22:05 UTC |
GANNON STEVENDirector
|
PurchaseCommon Shares | 15,000 | $2.82 | $42,267.00 |
DisclosureSEC source: 0001171843-17-005067 · formfour.xml · nonDerivative · entry 1 GANNON STEVEN · CIK 0001643085 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.75 to $2.8458, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 18:06 UTC |
PIMSTONE SIMON N.Director · President & CEO
|
PurchaseCommon Shares | 6,000 | $2.90 | $17,400.00 |
DisclosureSEC source: 0001171843-17-005069 · formfour.xml · nonDerivative · entry 1 PIMSTONE SIMON N. · CIK 0001620084 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,847 Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 22:07 UTC |
PATOU GARYDirector
|
PurchaseCommon Stock | 7,500 | $2.78 | $20,835.75 |
DisclosureSEC source: 0001171843-17-005072 · f4_patou081417.xml · nonDerivative · entry 1 PATOU GARY · CIK 0001283535 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Note Disclosed balance after: 12,500 F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.7769 to $2.80, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F2 · ownership.nature: By Gary & Karen Barbara Patou TTEE Patou Family Trust FBO Gary Patou Karen Barbara Patou Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 22:07 UTC |
SCHELLER RICHARD HDirector
|
PurchaseCommon Shares | 7,000 | $2.85 | $19,950.00 |
DisclosureSEC source: 0001171843-17-005070 · formfour.xml · nonDerivative · entry 1 SCHELLER RICHARD H · CIK 0001214133 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 22:07 UTC |
MORTIMER IANCFO & COO
|
PurchaseCommon Stock | 10,000 | $2.90 | $29,000.00 |
DisclosureSEC source: 0001171843-17-005071 · f4_mortimer081417.xml · nonDerivative · entry 2 MORTIMER IAN · CIK 0001619961 · CFO & COO 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 14,300 Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 22:07 UTC |
MORTIMER IANCFO & COO
|
PurchaseCommon Stock | 5,000 | $2.85 | $14,225.00 |
DisclosureSEC source: 0001171843-17-005071 · f4_mortimer081417.xml · nonDerivative · entry 1 MORTIMER IAN · CIK 0001619961 · CFO & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| August 08, 2017 Filed Aug 10, 2017 23:58 UTC |
PATOU GARYDirector
|
PurchaseCommon Stock | 5,000 | $3.00 | $15,002.50 |
DisclosureSEC source: 0001171843-17-004960 · formfour.xml · nonDerivative · entry 1 PATOU GARY · CIK 0001283535 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See note Disclosed balance after: 5,000 F1 · ownership.nature: By Gary & Karen Barbara Patou TTEE Patou Family Trust FBO Gary Patou Karen Barbara Patou Read SEC document |
| June 27, 2017 Filed Jun 29, 2017 22:21 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 8,496 | $4.00 | $33,984.00 |
DisclosureSEC source: 0001193805-17-001214 · xeneform462717.xml · nonDerivative · entry 3 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,464 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F4 · ownership.direct: Shares of Common Stock owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. Read SEC document |
| June 27, 2017 Filed Jun 29, 2017 22:21 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 30,170 | $4.00 | $120,680.00 |
DisclosureSEC source: 0001193805-17-001214 · xeneform462717.xml · nonDerivative · entry 2 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,056,928 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.direct: Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. Read SEC document |
| June 27, 2017 Filed Jun 29, 2017 22:21 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 46,795 | $4.00 | $187,180.00 |
DisclosureSEC source: 0001193805-17-001214 · xeneform462717.xml · nonDerivative · entry 1 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,635,032 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.direct: Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF. Read SEC document |
| June 27, 2017 Filed Jun 30, 2017 16:00 UTC Amendment |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 8,496 | $3.04 | $25,794.71 |
DisclosureSEC source: 0000921895-17-001865 · form4a07422010_06302017.xml · nonDerivative · entry 3 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,464 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F4 · ownership.direct: Shares of Common Stock owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. Read SEC document |
| June 27, 2017 Filed Jun 30, 2017 16:00 UTC Amendment |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 30,170 | $3.04 | $91,599.14 |
DisclosureSEC source: 0000921895-17-001865 · form4a07422010_06302017.xml · nonDerivative · entry 2 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,056,928 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.direct: Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. Read SEC document |
| June 27, 2017 Filed Jun 30, 2017 16:00 UTC Amendment |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 46,795 | $3.04 | $142,074.30 |
DisclosureSEC source: 0000921895-17-001865 · form4a07422010_06302017.xml · nonDerivative · entry 1 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,635,032 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.direct: Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF. Read SEC document |
| June 22, 2017 Filed Jun 23, 2017 23:16 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 854 | $4.00 | $3,416.00 |
DisclosureSEC source: 0000921895-17-001832 · form407422032_06232017.xml · nonDerivative · entry 6 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,968 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F4 · ownership.direct: Shares of Common Stock owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. Read SEC document |
| June 22, 2017 Filed Jun 23, 2017 23:16 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 2,884 | $4.00 | $11,536.00 |
DisclosureSEC source: 0000921895-17-001832 · form407422032_06232017.xml · nonDerivative · entry 5 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,026,758 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.direct: Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. Read SEC document |
| June 22, 2017 Filed Jun 23, 2017 23:16 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 4,525 | $4.00 | $18,100.00 |
DisclosureSEC source: 0000921895-17-001832 · form407422032_06232017.xml · nonDerivative · entry 4 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,588,237 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.direct: Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 23:16 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 1,362 | $4.00 | $5,448.00 |
DisclosureSEC source: 0000921895-17-001832 · form407422032_06232017.xml · nonDerivative · entry 3 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,114 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F4 · ownership.direct: Shares of Common Stock owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 23:16 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 4,406 | $4.00 | $17,624.00 |
DisclosureSEC source: 0000921895-17-001832 · form407422032_06232017.xml · nonDerivative · entry 2 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,023,874 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.direct: Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 23:16 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 6,380 | $4.00 | $25,520.00 |
DisclosureSEC source: 0000921895-17-001832 · form407422032_06232017.xml · nonDerivative · entry 1 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,583,712 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.direct: Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF. Read SEC document |
| June 19, 2017 Filed Jun 19, 2017 23:33 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 357 | $3.85 | $1,374.45 |
DisclosureSEC source: 0000921895-17-001809 · form407422032_06192017.xml · nonDerivative · entry 9 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,752 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F4 · ownership.direct: Shares of Common Stock owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by Trading Fund OS. Read SEC document |
| June 19, 2017 Filed Jun 19, 2017 23:33 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 1,271 | $3.85 | $4,893.35 |
DisclosureSEC source: 0000921895-17-001809 · form407422032_06192017.xml · nonDerivative · entry 8 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,019,468 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F3 · ownership.direct: Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. Read SEC document |
| June 19, 2017 Filed Jun 19, 2017 23:33 UTC |
BVF PARTNERS L P/IL10% owner
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF INC/IL10% owner
LAMPERT MARK N10% owner
|
PurchaseCommon Stock, no par value per share | 1,967 | $3.85 | $7,572.95 |
DisclosureSEC source: 0000921895-17-001809 · form407422032_06192017.xml · nonDerivative · entry 7 BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · 10% owner LAMPERT MARK N · CIK 0001233840 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,577,332 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F2 · ownership.direct: Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF. 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.