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Nasdaq · USD

XERS

Xeris Biopharma Holdings, Inc.

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Tapewire entity
4670
SEC CIK
0001867096
Parsed reports
172

Last 12 months

Inside the activity.

0 purchase rows · 33 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202502
Dec 202503
Jan 202603
Feb 202601
Mar 202603
Apr 202601
May 202601
Jun 202605
Jul 202604
Aug 202603
Sep 202604
Oct 202603

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 05, 2024 Filed Jun 5, 2024 20:19 UTC GrantCommon Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-24-000108 · wk-form4_1717618752.xml · nonDerivative · entry 1

SHERMAN JEFFREY W · CIK 0001230482 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,380

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 5, 2025 or the date of the Company's next annual meeting of stockholders.

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May 10, 2024 Filed May 10, 2024 20:04 UTC PurchaseCommon Stock 5,400 $1.91 $10,314.00
Disclosure

SEC source: 0001867096-24-000067 · wk-form4_1715371447.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Schmid Family Trust dated August 15, 2017

Disclosed balance after: 16,400

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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March 18, 2024 Filed Mar 18, 2024 21:32 UTC
JOHNSON JOHNDirector
Exercise / conversionStock Option (Right to Buy) · Derivative 215,600 $0.00 Strike: $1.99 $0.00
Disclosure

SEC source: 0001867096-24-000036 · wk-form4_1710797522.xml · derivative · entry 2

JOHNSON JOHN · CIK 0001410781 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 215,600 shares

Expires 2029-11-14

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_date: The options to purchase shares of Xeris Biopharma Holdings Inc. common stock fully vested on October 5, 2021.

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March 18, 2024 Filed Mar 18, 2024 21:32 UTC
JOHNSON JOHNDirector
Exercise / conversionCommon Stock 215,600 $1.99 $429,044.00
Disclosure

SEC source: 0001867096-24-000036 · wk-form4_1710797522.xml · nonDerivative · entry 1

JOHNSON JOHN · CIK 0001410781 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 751,412

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 15, 2024 Filed Apr 1, 2024 21:45 UTC
Kong GarhengDirector
OtherCommon Stock 6,474 Not disclosed Not disclosed
Disclosure

SEC source: 0001867096-24-000041 · wk-form4_1712007900.xml · nonDerivative · entry 1

Kong Garheng · CIK 0001435183 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,144

F1 · kind: Keveyis Sales 2023 Milestone achieved resulting in the settlement of the related Contingent Value Right ("CVR") in shares of Xeris Biopharma Holdings, Inc. (the "Company")'s Common Stock.

F2 · shares: The reporting person's right to receive additional shares pursuant to this earn-out right became fixed and irrevocable on October 5, 2021, the effective time of the Merger (as defined below), pursuant to the transaction agreement dated as of May 24, 2021 by and among Xeris Pharmaceuticals, Inc. ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), the Issuer ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), where HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge, and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger").

F3 · price: The number of shares of Common Stock for the CVR is equal to the product (A) $0.25 divided by the volume weighted average price for the Company's Common Stock as reported by Nasdaq for the ten (10) Trading Days immediately prior to October 5, 2021 and (B) the number of CVRs held by the holder as reflected on the CVR Register.

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March 15, 2024 Filed Apr 1, 2024 21:43 UTC
JOHNSON JOHNDirector
OtherCommon Stock 89,571 Not disclosed Not disclosed
Disclosure

SEC source: 0001867096-24-000039 · wk-form4_1712007768.xml · nonDerivative · entry 1

JOHNSON JOHN · CIK 0001410781 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 840,983

F1 · kind: Keveyis Sales 2023 Milestone achieved resulting in the settlement of the related Contingent Value Right ("CVR") in shares of Xeris Biopharma Holdings, Inc. (the "Company")'s Common Stock.

F2 · shares: The reporting person's right to receive additional shares pursuant to this earn-out right became fixed and irrevocable on October 5, 2021, the effective time of the Merger (as defined below), pursuant to the transaction agreement dated as of May 24, 2021 by and among Xeris Pharmaceuticals, Inc. ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), the Issuer ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), where HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge, and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger").

F3 · price: The number of shares of Common Stock for the CVR is equal to the product (A) $0.25 divided by the volume weighted average price for the Company's Common Stock as reported by Nasdaq for the ten (10) Trading Days immediately prior to October 5, 2021 and (B) the number of CVRs held by the holder as reflected on the CVR Register.

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March 15, 2024 Filed Apr 11, 2024 20:05 UTC OtherCommon Stock 6,502 Not disclosed Not disclosed
Disclosure

SEC source: 0001867096-24-000043 · wk-form4_1712865937.xml · nonDerivative · entry 1

SHERMAN JEFFREY W · CIK 0001230482 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,380

F1 · kind: Keveyis Sales 2023 Milestone achieved resulting in the settlement of the related Contingent Value Right ("CVR") in shares of Xeris Biopharma Holdings, Inc. (the "Company")'s Common Stock.

F2 · shares: The reporting person's right to receive additional shares pursuant to this earn-out right became fixed and irrevocable on October 5, 2021, the effective time of the Merger (as defined below), pursuant to the transaction agreement dated as of May 24, 2021 by and among Xeris Pharmaceuticals, Inc. ("Xeris"), Strongbridge Biopharma plc ("Strongbridge"), the Issuer ("HoldCo") and Wells MergerSub, Inc., a wholly owned subsidiary of HoldCo ("MergerSub"), where HoldCo acquired the entire issued and to be issued ordinary share capital of Strongbridge, and MergerSub merged with and into Xeris, with Xeris continuing as the surviving corporation and wholly owned subsidiary of HoldCo (the "Merger").

F3 · price: The number of shares of Common Stock for the CVR is equal to the product (A) $0.25 divided by the volume weighted average price for the Company's Common Stock as reported by Nasdaq for the ten (10) Trading Days immediately prior to October 5, 2021 and (B) the number of CVRs held by the holder as reflected on the CVR Register.

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March 14, 2024 Filed Mar 15, 2024 01:03 UTC PurchaseCommon Stock 4,500 $2.16 $9,720.00
Disclosure

SEC source: 0001867096-24-000034 · wk-form4_1710464612.xml · nonDerivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Schmid Family Trust dated August 15, 2017

Disclosed balance after: 11,000

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
January 31, 2024 Filed Jan 31, 2024 22:05 UTC
Pieper StevenSee Remarks
GrantCommon Stock 450,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-24-000018 · wk-form4_1706738714.xml · nonDerivative · entry 1

Pieper Steven · CIK 0001875714 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,626,912

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

Read SEC document
January 31, 2024 Filed Jan 31, 2024 17:04 UTC
Edick Paul RDirector · See Remarks
GrantStock Appreciation Right · Derivative 500,000 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001867096-24-000014 · wk-form4_1706738662.xml · derivative · entry 3

Edick Paul R · CIK 0001531178 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2026-03-03

F3 · derivative.exercise_date: The award will vest in full on the two-year anniversary of the grant date.

F4 · derivative.underlying: Upon exercise, the Stock Appreciation Right will be settled in cash.

Read SEC document
January 31, 2024 Filed Jan 31, 2024 17:04 UTC
Edick Paul RDirector · See Remarks
GrantCommon Stock 1,500,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-24-000014 · wk-form4_1706738662.xml · nonDerivative · entry 1

Edick Paul R · CIK 0001531178 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,788,064

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

Read SEC document
January 31, 2024 Filed Jan 31, 2024 22:05 UTC GrantCommon Stock 750,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-24-000017 · wk-form4_1706738697.xml · nonDerivative · entry 1

Shannon John Patrick Jr · CIK 0001553595 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,158,575

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

Read SEC document
January 31, 2024 Filed Jan 31, 2024 22:04 UTC
Hecht BethSee Remarks
GrantCommon Stock 750,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-24-000015 · wk-form4_1706738674.xml · nonDerivative · entry 1

Hecht Beth · CIK 0001652410 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,554,968

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

F2 · balance_after: These shares include 7,210 shares that were purchased on June 30, 2023 due to participation by the reporting individual in the issuer's 2018 Employee Stock Purchase Plan.

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January 31, 2024 Filed Jan 31, 2024 17:04 UTC GrantCommon Stock 175,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-24-000016 · wk-form4_1706738685.xml · nonDerivative · entry 1

JOHNSON KENNETH ERLAND · CIK 0001743774 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 446,860

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

F2 · balance_after: These shares include 2,077 shares that were purchased on June 30, 2023 due to participation by the reporting individual in the issuer's 2018 Employee Stock Purchase Plan.

Read SEC document
January 31, 2024 Filed Aug 2, 2024 21:22 UTC
Shannon John Patrick JrDirector · See Remarks
Tax withholdingCommon Stock 110,750 $2.46 $272,445.00
Disclosure

SEC source: 0001867096-24-000145 · wk-form4_1722633763.xml · nonDerivative · entry 9

Shannon John Patrick Jr · CIK 0001553595 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,148,061

F3 · date: This transaction is being reported late due to administrative oversight.

F11 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 31, 2024.

Read SEC document
January 31, 2024 Filed Aug 9, 2024 20:06 UTC
Pieper StevenSee Remarks
Tax withholdingCommon Stock 110,750 $2.46 $272,445.00
Disclosure

SEC source: 0001867096-24-000168 · wk-form4_1723234008.xml · nonDerivative · entry 10

Pieper Steven · CIK 0001875714 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,437,104

F1 · date: This transaction is being reported late due to administrative oversight.

F11 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 31, 2024.

Read SEC document
January 31, 2024 Filed Aug 9, 2024 20:07 UTC
Hecht BethSee Remarks
Tax withholdingCommon Stock 45,909 $2.46 $112,936.14
Disclosure

SEC source: 0001867096-24-000170 · wk-form4_1723234030.xml · nonDerivative · entry 8

Hecht Beth · CIK 0001652410 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,380,802

F1 · date: This transaction is being reported late due to administrative oversight.

F10 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 31, 2024.

Read SEC document
January 31, 2024 Filed Aug 9, 2024 16:07 UTC Tax withholdingCommon Stock 15,131 $2.46 $37,222.26
Disclosure

SEC source: 0001867096-24-000169 · wk-form4_1723234020.xml · nonDerivative · entry 8

JOHNSON KENNETH ERLAND · CIK 0001743774 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 373,036

F1 · date: This transaction is being reported late due to administrative oversight.

F10 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 31, 2024.

Read SEC document
January 29, 2024 Filed Aug 2, 2024 21:22 UTC
Shannon John Patrick JrDirector · See Remarks
Tax withholdingCommon Stock 22,150 $2.66 $58,919.00
Disclosure

SEC source: 0001867096-24-000145 · wk-form4_1722633763.xml · nonDerivative · entry 8

Shannon John Patrick Jr · CIK 0001553595 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,258,811

F3 · date: This transaction is being reported late due to administrative oversight.

F10 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 29, 2024.

Read SEC document
January 29, 2024 Filed Aug 9, 2024 20:06 UTC
Pieper StevenSee Remarks
Tax withholdingCommon Stock 4,379 $2.66 $11,648.14
Disclosure

SEC source: 0001867096-24-000168 · wk-form4_1723234008.xml · nonDerivative · entry 9

Pieper Steven · CIK 0001875714 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,547,854

F1 · date: This transaction is being reported late due to administrative oversight.

F10 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 29, 2024.

Read SEC document
January 29, 2024 Filed Aug 9, 2024 20:07 UTC
Hecht BethSee Remarks
Tax withholdingCommon Stock 19,675 $2.66 $52,335.50
Disclosure

SEC source: 0001867096-24-000170 · wk-form4_1723234030.xml · nonDerivative · entry 7

Hecht Beth · CIK 0001652410 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,426,711

F1 · date: This transaction is being reported late due to administrative oversight.

F9 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 29, 2024.

Read SEC document
January 29, 2024 Filed Aug 9, 2024 16:07 UTC Tax withholdingCommon Stock 10,747 $2.66 $28,587.02
Disclosure

SEC source: 0001867096-24-000169 · wk-form4_1723234020.xml · nonDerivative · entry 7

JOHNSON KENNETH ERLAND · CIK 0001743774 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 388,167

F1 · date: This transaction is being reported late due to administrative oversight.

F9 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 29, 2024.

Read SEC document
January 03, 2024 Filed Aug 2, 2024 21:22 UTC
Shannon John Patrick JrDirector · See Remarks
Tax withholdingCommon Stock 40,834 $2.24 $91,468.16
Disclosure

SEC source: 0001867096-24-000145 · wk-form4_1722633763.xml · nonDerivative · entry 7

Shannon John Patrick Jr · CIK 0001553595 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,280,961

F3 · date: This transaction is being reported late due to administrative oversight.

F9 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 3, 2024.

Read SEC document
January 03, 2024 Filed Aug 9, 2024 20:06 UTC
Pieper StevenSee Remarks
Tax withholdingCommon Stock 23,067 $2.24 $51,670.08
Disclosure

SEC source: 0001867096-24-000168 · wk-form4_1723234008.xml · nonDerivative · entry 8

Pieper Steven · CIK 0001875714 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,552,233

F1 · date: This transaction is being reported late due to administrative oversight.

F9 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 3, 2024.

Read SEC document
January 03, 2024 Filed Aug 9, 2024 20:07 UTC
Hecht BethSee Remarks
Tax withholdingCommon Stock 33,488 $2.24 $75,013.12
Disclosure

SEC source: 0001867096-24-000170 · wk-form4_1723234030.xml · nonDerivative · entry 6

Hecht Beth · CIK 0001652410 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,446,386

F1 · date: This transaction is being reported late due to administrative oversight.

F8 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 3, 2024.

Read SEC document
January 03, 2024 Filed Aug 9, 2024 16:07 UTC Tax withholdingCommon Stock 12,400 $2.24 $27,776.00
Disclosure

SEC source: 0001867096-24-000169 · wk-form4_1723234020.xml · nonDerivative · entry 6

JOHNSON KENNETH ERLAND · CIK 0001743774 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 398,914

F1 · date: This transaction is being reported late due to administrative oversight.

F8 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 3, 2024.

Read SEC document
November 27, 2023 Filed Nov 29, 2023 21:09 UTC PurchaseCommon Stock 5,400 $1.87 $10,098.00
Disclosure

SEC source: 0001867096-23-000154 · wk-form4_1701292127.xml · nonDerivative · entry 2

SHERMAN JEFFREY W · CIK 0001230482 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: JEFFREY W SHERMAN LIVING TRUST U/A DTD 03/21/2001

Disclosed balance after: 5,400

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
November 20, 2023 Filed Nov 21, 2023 21:16 UTC
Pieper StevenSee Remarks
PurchaseCommon Stock 28,000 $1.95 $54,600.00
Disclosure

SEC source: 0001867096-23-000149 · wk-form4_1700601408.xml · nonDerivative · entry 1

Pieper Steven · CIK 0001875714 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,176,912

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.92 to $1.99, 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 purchased at each separate price within the range.

Read SEC document
November 20, 2023 Filed Nov 21, 2023 21:20 UTC
HALKUFF DAWNDirector
PurchaseCommon Stock 5,410 $1.84 $9,954.40
Disclosure

SEC source: 0001867096-23-000151 · wk-form4_1700601584.xml · nonDerivative · entry 2

HALKUFF DAWN · CIK 0001743658 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By; DAWN HALKUFF REVOCABLE TRUST U/A DTD 08/25/2017

Disclosed balance after: 5,410

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
November 17, 2023 Filed Nov 17, 2023 22:58 UTC PurchaseCommon Stock 30,769 $1.64 $50,399.62
Disclosure

SEC source: 0001867096-23-000145 · wk-form4_1700261903.xml · nonDerivative · entry 1

Shannon John Patrick Jr · CIK 0001553595 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,408,575

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.6250 to $1.6400, 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 purchased at each separate price within the range.

Read SEC document
November 16, 2023 Filed Nov 17, 2023 23:35 UTC PurchaseCommon Stock 6,500 $1.51 $9,815.00
Disclosure

SEC source: 0001867096-23-000147 · wk-form4_1700264146.xml · nonDerivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Schmid Family Trust dated August 15, 2017

Disclosed balance after: 6,500

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
November 14, 2023 Filed Nov 15, 2023 21:13 UTC
PERSKY MARLADirector
PurchaseCommon Stock 6,370 $1.58 $10,057.59
Disclosure

SEC source: 0001867096-23-000143 · wk-form4_1700082785.xml · nonDerivative · entry 2

PERSKY MARLA · CIK 0001270354 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Marla Susan Persky Revocable Trust u/a dated 9/23/2000

Disclosed balance after: 6,370

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
August 09, 2023 Filed Aug 9, 2023 18:57 UTC
Edick Paul RDirector · See Remarks
PurchaseCommon Stock 10,000 $2.38 $23,794.00
Disclosure

SEC source: 0001867096-23-000117 · wk-form4_1691621818.xml · nonDerivative · entry 1

Edick Paul R · CIK 0001531178 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,288,064

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.365 to $2.3899, 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 purchased at each separate price within the range.

Read SEC document
July 28, 2023 Filed Aug 9, 2024 20:06 UTC
Pieper StevenSee Remarks
Tax withholdingCommon Stock 10,200 $2.53 $25,806.00
Disclosure

SEC source: 0001867096-24-000168 · wk-form4_1723234008.xml · nonDerivative · entry 7

Pieper Steven · CIK 0001875714 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,575,300

F1 · date: This transaction is being reported late due to administrative oversight.

F8 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of July 28, 2023.

Read SEC document
June 07, 2023 Filed Jun 7, 2023 20:58 UTC
HALKUFF DAWNDirector
GrantCommon Stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000097 · wk-form4_1686171475.xml · nonDerivative · entry 1

HALKUFF DAWN · CIK 0001743658 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,500

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 7, 2024 or the date of the Company's next annual meeting of stockholders.

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June 07, 2023 Filed Jun 7, 2023 21:02 UTC GrantCommon Stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000103 · wk-form4_1686171739.xml · nonDerivative · entry 1

BORMANN-KENNEDY BARBARA-JEAN ANNE · CIK 0001635065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,500

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 7, 2024 or the date of the Company's next annual meeting of stockholders.

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June 07, 2023 Filed Jun 7, 2023 20:55 UTC GrantCommon Stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000093 · wk-form4_1686171315.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,159

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 7, 2024 or the date of the Company's next annual meeting of stockholders.

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June 07, 2023 Filed Jun 7, 2023 21:00 UTC
Kong GarhengDirector
GrantCommon Stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000101 · wk-form4_1686171645.xml · nonDerivative · entry 1

Kong Garheng · CIK 0001435183 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,670

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 7, 2024 or the date of the Company's next annual meeting of stockholders.

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June 07, 2023 Filed Jun 7, 2023 20:59 UTC
JOHNSON JOHNDirector
GrantCommon Stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000099 · wk-form4_1686171564.xml · nonDerivative · entry 1

JOHNSON JOHN · CIK 0001410781 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 535,812

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 7, 2024 or the date of the Company's next annual meeting of stockholders.

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June 07, 2023 Filed Jun 7, 2023 20:56 UTC
PERSKY MARLADirector
GrantCommon Stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000095 · wk-form4_1686171393.xml · nonDerivative · entry 1

PERSKY MARLA · CIK 0001270354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,500

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 7, 2024 or the date of the Company's next annual meeting of stockholders.

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June 07, 2023 Filed Jun 7, 2023 20:52 UTC GrantCommon Stock 42,500 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000091 · wk-form4_1686171118.xml · nonDerivative · entry 1

SHERMAN JEFFREY W · CIK 0001230482 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,878

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 7, 2024 or the date of the Company's next annual meeting of stockholders.

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March 27, 2023 Filed Mar 29, 2023 16:53 UTC GrantCommon Stock 85,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000050 · wf-form4_168012321668743.xml · nonDerivative · entry 1

Fairley Ricki Louise · CIK 0001971350 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

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January 31, 2023 Filed Feb 1, 2023 21:13 UTC
Pieper StevenSee Remarks
GrantCommon Stock 750,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000022 · wf-form4_167528596828835.xml · nonDerivative · entry 1

Pieper Steven · CIK 0001875714 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,148,912

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

F2 · balance_after: These shares include 7,544 shares that were purchased on June 30, 2022 and 2,534 shares that were purchased on December 31, 2022 due to participation by the reporting individual in the issuer's 2018 Employee Stock Purchase Plan.

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January 31, 2023 Filed Feb 1, 2023 16:13 UTC
Edick Paul RDirector · See Remarks
GrantCommon Stock 750,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000023 · wf-form4_167528599539937.xml · nonDerivative · entry 1

Edick Paul R · CIK 0001531178 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,278,064

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

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January 31, 2023 Filed Feb 1, 2023 21:13 UTC GrantCommon Stock 750,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000024 · wf-form4_167528602235679.xml · nonDerivative · entry 1

Shannon John Patrick Jr · CIK 0001553595 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,377,806

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

F2 · balance_after: These shares include 8,896 shares that were purchased on June 30, 2022 due to participation by the reporting individual in the issuer's 2018 Employee Stock Purchase Plan.

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January 31, 2023 Filed Feb 1, 2023 21:12 UTC
Hecht BethSee Remarks
GrantCommon Stock 350,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000020 · wf-form4_167528592477189.xml · nonDerivative · entry 1

Hecht Beth · CIK 0001652410 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 797,758

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

F2 · balance_after: These shares include 5,039 shares that were purchased on June 30, 2022 and 5,898 shares that were purchased on December 31, 2022 due to participation by the reporting individual in the issuer's 2018 Employee Stock Purchase Plan.

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January 31, 2023 Filed Feb 1, 2023 16:12 UTC GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000019 · wf-form4_167528590383194.xml · nonDerivative · entry 1

JOHNSON KENNETH ERLAND · CIK 0001743774 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,783

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

F2 · balance_after: These shares include 1,460 shares that were purchased on June 30, 2022 and 1,700 shares that were purchased on December 31, 2022 due to participation by the reporting individual in the issuer's 2018 Employee Stock Purchase Plan.

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January 31, 2023 Filed Feb 1, 2023 16:12 UTC
PRESTRELSKI STEVENChief Scientific Officer
GrantCommon Stock 150,000 $0.00 $0.00
Disclosure

SEC source: 0001867096-23-000021 · wf-form4_167528594232700.xml · nonDerivative · entry 1

PRESTRELSKI STEVEN · CIK 0001744027 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 719,780

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in equal annual installments over three years.

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January 31, 2023 Filed Aug 2, 2024 21:22 UTC
Shannon John Patrick JrDirector · See Remarks
Tax withholdingCommon Stock 9,880 $1.24 $12,251.20
Disclosure

SEC source: 0001867096-24-000145 · wk-form4_1722633763.xml · nonDerivative · entry 6

Shannon John Patrick Jr · CIK 0001553595 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,321,795

F3 · date: This transaction is being reported late due to administrative oversight.

F8 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 31, 2023.

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January 31, 2023 Filed Aug 9, 2024 20:06 UTC
Pieper StevenSee Remarks
Tax withholdingCommon Stock 778 $1.24 $964.72
Disclosure

SEC source: 0001867096-24-000168 · wk-form4_1723234008.xml · nonDerivative · entry 6

Pieper Steven · CIK 0001875714 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,585,500

F1 · date: This transaction is being reported late due to administrative oversight.

F7 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested as of January 31, 2023.

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