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Nasdaq · USD

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X4 Pharmaceuticals, Inc

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5638
SEC CIK
0001501697
Parsed reports
328

Last 12 months

Inside the activity.

0 purchase rows · 5 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202601
Jun 202601
Jul 202600
Aug 202602
Sep 202600
Oct 202601

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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
October 07, 2024 Filed Oct 8, 2024 16:44 UTC
DiBiase MaryChief Operating Officer
SaleCommon Stock 67,695 $0.57 $38,328.91
Disclosure

SEC source: 0001628280-24-042542 · wk-form4_1728420247.xml · nonDerivative · entry 2

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 452,060

F2 · shares: These transactions were made pursuant to a rule 10b5-1 trading plan adopted by the Reporting Person on June 28, 2024.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.55 to $0.6043, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
October 07, 2024 Filed Oct 8, 2024 16:44 UTC
Mostafa Adam S.Chief Financial Officer
SaleCommon Stock 230,645 $0.55 $126,900.88
Disclosure

SEC source: 0001628280-24-042545 · wk-form4_1728420276.xml · nonDerivative · entry 2

Mostafa Adam S. · CIK 0001738081 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · shares: These transactions were made pursuant to a rule 10b5-1 trading plan adopted by the Reporting Person on June 28, 2024.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5144 to $0.6036, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
October 07, 2024 Filed Oct 8, 2024 20:44 UTC
Baldry MarkChief Commercial Officer
SaleCommon Stock 11,127 $0.58 $6,505.96
Disclosure

SEC source: 0001628280-24-042544 · wk-form4_1728420266.xml · nonDerivative · entry 2

Baldry Mark · CIK 0001644137 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,509

F2 · shares: These transactions were made pursuant to a rule 10b5-1 trading plan adopted by the Reporting Person on June 28, 2024.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.561 to $0.6115, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
October 07, 2024 Filed Oct 8, 2024 20:44 UTC
Ragan PaulaDirector · President and CEO
SaleCommon Stock 239,436 $0.55 $131,522.19
Disclosure

SEC source: 0001628280-24-042543 · wk-form4_1728420257.xml · nonDerivative · entry 2

Ragan Paula · CIK 0001769914 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,057,713

F2 · shares: These transactions were made pursuant to a rule 10b5-1 trading plan adopted by the Reporting Person on June 28, 2024.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5142 to $0.6036, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
October 07, 2024 Filed Oct 8, 2024 20:44 UTC
Taveras ArthurChief Scientific Officer
SaleCommon Stock 76,920 $0.56 $43,305.96
Disclosure

SEC source: 0001628280-24-042541 · wk-form4_1728420235.xml · nonDerivative · entry 2

Taveras Arthur · CIK 0001830901 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 388,026

F2 · shares: These transactions were made pursuant to a rule 10b5-1 trading plan adopted by the Reporting Person on June 28, 2024.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5291 to $0.6038, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
October 04, 2024 Filed Oct 8, 2024 16:44 UTC
DiBiase MaryChief Operating Officer
GrantCommon Stock 230,645 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-042542 · wk-form4_1728420247.xml · nonDerivative · entry 1

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 519,755

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition.

Read SEC document
October 04, 2024 Filed Oct 8, 2024 16:44 UTC
Mostafa Adam S.Chief Financial Officer
GrantCommon Stock 230,645 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-042545 · wk-form4_1728420276.xml · nonDerivative · entry 1

Mostafa Adam S. · CIK 0001738081 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230,645

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of the performance condition.

Read SEC document
October 04, 2024 Filed Oct 8, 2024 20:44 UTC
Baldry MarkChief Commercial Officer
GrantCommon Stock 34,946 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-042544 · wk-form4_1728420266.xml · nonDerivative · entry 1

Baldry Mark · CIK 0001644137 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,636

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition.

Read SEC document
October 04, 2024 Filed Oct 8, 2024 20:44 UTC
Ragan PaulaDirector · President and CEO
GrantCommon Stock 532,081 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-042543 · wk-form4_1728420257.xml · nonDerivative · entry 1

Ragan Paula · CIK 0001769914 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,297,149

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition.

Read SEC document
October 04, 2024 Filed Oct 8, 2024 20:44 UTC
Taveras ArthurChief Scientific Officer
GrantCommon Stock 230,645 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-042541 · wk-form4_1728420235.xml · nonDerivative · entry 1

Taveras Arthur · CIK 0001830901 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 464,946

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition.

Read SEC document
September 09, 2024 Filed Sep 11, 2024 16:01 UTC
DiBiase MaryChief Operating Officer
SaleCommon Stock 2,642 $0.66 $1,737.64
Disclosure

SEC source: 0001628280-24-040128 · wk-form4_1726084882.xml · nonDerivative · entry 1

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,110

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.6548 to $0.6646, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award.

Read SEC document
June 10, 2024 Filed Jun 11, 2024 20:12 UTC GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-027671 · wk-form4_1718136724.xml · nonDerivative · entry 1

WYZGA MICHAEL S · CIK 0001201256 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,667

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person as an annual award for service on the Board of Directors. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the Issuer's next annual meeting of stockholders, subject to continued board service through the applicable vesting date. The RSUs will vest in full upon the occurrence of a change in control of the Issuer.

Read SEC document
June 10, 2024 Filed Jun 11, 2024 20:13 UTC GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-027676 · wk-form4_1718136785.xml · nonDerivative · entry 1

MCGIRR DAVID W J · CIK 0001219023 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,667

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person as an annual award for service on the Board of Directors. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the Issuer's next annual meeting of stockholders, subject to continued board service through the applicable vesting date. The RSUs will vest in full upon the occurrence of a change in control of the Issuer.

Read SEC document
June 10, 2024 Filed Jun 11, 2024 20:13 UTC GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-027678 · wk-form4_1718136807.xml · nonDerivative · entry 1

de Craecker Francoise · CIK 0001887843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,667

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person as an annual award for service on the Board of Directors. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the Issuer's next annual meeting of stockholders, subject to continued board service through the applicable vesting date. The RSUs will vest in full upon the occurrence of a change in control of the Issuer.

Read SEC document
June 10, 2024 Filed Jun 11, 2024 20:13 UTC GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-027677 · wk-form4_1718136796.xml · nonDerivative · entry 1

Aliski William · CIK 0001598426 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,667

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person as an annual award for service on the Board of Directors. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the Issuer's next annual meeting of stockholders, subject to continued board service through the applicable vesting date. The RSUs will vest in full upon the occurrence of a change in control of the Issuer.

Read SEC document
June 10, 2024 Filed Jun 11, 2024 20:13 UTC GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-027675 · wk-form4_1718136772.xml · nonDerivative · entry 1

Stewart Murray · CIK 0001723450 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 191,504

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person as an annual award for service on the Board of Directors. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the Issuer's next annual meeting of stockholders, subject to continued board service through the applicable vesting date. The RSUs will vest in full upon the occurrence of a change in control of the Issuer.

Read SEC document
June 10, 2024 Filed Jun 11, 2024 20:12 UTC
Bridger GaryDirector
GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-027674 · wk-form4_1718136760.xml · nonDerivative · entry 1

Bridger Gary · CIK 0001600049 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,667

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person as an annual award for service on the Board of Directors. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the Issuer's next annual meeting of stockholders, subject to continued board service through the applicable vesting date. The RSUs will vest in full upon the occurrence of a change in control of the Issuer.

Read SEC document
June 10, 2024 Filed Jun 11, 2024 20:12 UTC
Woods KeithDirector
GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-027673 · wk-form4_1718136748.xml · nonDerivative · entry 1

Woods Keith · CIK 0001996804 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,000

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person as an annual award for service on the Board of Directors. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the Issuer's next annual meeting of stockholders, subject to continued board service through the applicable vesting date. The RSUs will vest in full upon the occurrence of a change in control of the Issuer.

Read SEC document
June 10, 2024 Filed Jun 11, 2024 20:12 UTC GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-24-027672 · wk-form4_1718136736.xml · nonDerivative · entry 1

Lawton Alison Frances · CIK 0001542650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,667

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person as an annual award for service on the Board of Directors. The RSUs will vest in full on the earlier of (i) the one-year anniversary of the grant date or (ii) the Issuer's next annual meeting of stockholders, subject to continued board service through the applicable vesting date. The RSUs will vest in full upon the occurrence of a change in control of the Issuer.

Read SEC document
May 17, 2024 Filed Feb 14, 2025 21:08 UTC
Baldry MarkChief Commercial Officer
PurchaseCommon Stock 21,646 $0.68 $14,654.34
Disclosure

SEC source: 0001628280-25-005698 · wk-form4_1739567298.xml · nonDerivative · entry 1

Baldry Mark · CIK 0001644137 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,769

F1 · balance_after: The Reporting Person purchased shares of common stock through the Issuer's Amended and Restated 2017 Employee Stock Purchase Plan. Such purchases were inadvertently omitted from previous Form 4 filings and are now being reported.

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March 11, 2024 Filed Mar 11, 2024 17:19 UTC
DiBiase MaryChief Operating Officer
SaleCommon Stock 15,409 $0.88 $13,590.74
Disclosure

SEC source: 0001628280-24-010278 · wk-form4_1710191967.xml · nonDerivative · entry 1

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,752

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.863 to $0.91, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award.

Read SEC document
March 11, 2024 Filed Mar 11, 2024 17:19 UTC
Mostafa Adam S.Chief Financial Officer
SaleCommon Stock 52,500 $0.88 $46,347.00
Disclosure

SEC source: 0001628280-24-010279 · wk-form4_1710191979.xml · nonDerivative · entry 1

Mostafa Adam S. · CIK 0001738081 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.8649 to $0.9147, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
March 11, 2024 Filed Mar 11, 2024 21:20 UTC
Taveras ArthurChief Scientific Officer
SaleCommon Stock 14,235 $0.88 $12,552.42
Disclosure

SEC source: 0001628280-24-010281 · wk-form4_1710192010.xml · nonDerivative · entry 1

Taveras Arthur · CIK 0001830901 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 234,301

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.863 to $0.9112, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award.

Read SEC document
March 11, 2024 Filed Mar 11, 2024 21:20 UTC
Ragan PaulaDirector · President and CEO
SaleCommon Stock 49,678 $0.88 $43,855.74
Disclosure

SEC source: 0001628280-24-010280 · wk-form4_1710191995.xml · nonDerivative · entry 1

Ragan Paula · CIK 0001769914 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 765,068

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.863 to $0.9147, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award

Read SEC document
February 13, 2024 Filed Feb 16, 2024 17:09 UTC
DiBiase MaryChief Operating Officer
GrantStock Appreciation Right · Derivative 428,248 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001628280-24-005383 · wk-form4_1708121369.xml · derivative · entry 1

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 428,248

Underlying: Common Stock · 428,248 shares

Expires 2034-02-13

F1 · derivative.exercise_date: The Stock Appreciation Right will vest and become exercisable in equal annual installments (rounding down to the nearest whole share, except for the last installment) on the first, second, and third anniversaries of February 13, 2024, subject to the Reporting Person remaining an employee of the Issuer through and including each applicable vesting date.

Read SEC document
February 13, 2024 Filed Feb 16, 2024 17:10 UTC
Mostafa Adam S.Chief Financial Officer
GrantStock Appreciation Right · Derivative 523,414 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001628280-24-005384 · wk-form4_1708121388.xml · derivative · entry 1

Mostafa Adam S. · CIK 0001738081 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 523,414

Underlying: Common Stock · 523,414 shares

Expires 2034-02-13

F1 · derivative.exercise_date: The Stock Appreciation Right will vest and become exercisable in equal annual installments (rounding down to the nearest whole share, except for the last installment) on the first, second, and third anniversaries of February 13, 2024, subject to the Reporting Person remaining an employee of the Issuer through and including each applicable vesting date.

Read SEC document
February 13, 2024 Filed Feb 16, 2024 22:11 UTC
Arbet-Engels ChristopheChief Medical Officer
GrantStock Appreciation Right · Derivative 475,831 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001628280-24-005385 · wk-form4_1708121451.xml · derivative · entry 1

Arbet-Engels Christophe · CIK 0001802615 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 475,831

Underlying: Common Stock · 475,831 shares

Expires 2034-02-13

F1 · derivative.exercise_date: The Stock Appreciation Right will vest and become exercisable in equal annual installments (rounding down to the nearest whole share, except for the last installment) on the first, second, and third anniversaries of February 13, 2024, subject to the Reporting Person remaining an employee of the Issuer through and including each applicable vesting date.

Read SEC document
February 13, 2024 Filed Feb 16, 2024 22:09 UTC
Ragan PaulaDirector · President and CEO
GrantStock Appreciation Right · Derivative 1,189,578 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001628280-24-005382 · wk-form4_1708121356.xml · derivative · entry 1

Ragan Paula · CIK 0001769914 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,189,578

Underlying: Common Stock · 1,189,578 shares

Expires 2034-02-13

F1 · derivative.exercise_date: The Stock Appreciation Right will vest and become exercisable in equal annual installments (rounding down to the nearest whole share, except for the last installment) on the first, second, and third anniversaries of February 13, 2024, subject to the Reporting Person remaining an employee of the Issuer through and including each applicable vesting date.

Read SEC document
February 13, 2024 Filed Feb 16, 2024 22:09 UTC
Baldry MarkChief Commercial Officer
GrantStock Appreciation Right · Derivative 523,414 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001628280-24-005380 · wk-form4_1708121338.xml · derivative · entry 1

Baldry Mark · CIK 0001644137 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 523,414

Underlying: Common Stock · 523,414 shares

Expires 2034-02-13

F1 · derivative.exercise_date: The Stock Appreciation Right will vest and become exercisable in equal annual installments (rounding down to the nearest whole share, except for the last installment) on the first, second, and third anniversaries of February 13, 2024, subject to the Reporting Person remaining an employee of the Issuer through and including each applicable vesting date.

Read SEC document
February 13, 2024 Filed Feb 16, 2024 22:08 UTC
Taveras ArthurChief Scientific Officer
GrantStock Appreciation Right · Derivative 428,248 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001628280-24-005379 · wk-form4_1708121312.xml · derivative · entry 1

Taveras Arthur · CIK 0001830901 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 428,248

Underlying: Common Stock · 428,248 shares

Expires 2034-02-13

F1 · derivative.exercise_date: The Stock Appreciation Right will vest and become exercisable in equal annual installments (rounding down to the nearest whole share, except for the last installment) on the first, second, and third anniversaries of February 13, 2024, subject to the Reporting Person remaining an employee of the Issuer through and including each applicable vesting date.

Read SEC document
February 13, 2024 Filed Feb 28, 2024 22:52 UTC Amendment
Arbet-Engels ChristopheChief Medical Officer
GrantStock Appreciation Right · Derivative 180,816 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001628280-24-007711 · wk-form4a_1709160742.xml · derivative · entry 1

Arbet-Engels Christophe · CIK 0001802615 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,816

Underlying: Common Stock · 180,816 shares

Expires 2034-02-13

F1 · shares: This Form 4 amendment is being filed to correct the number of stock appreciation rights awarded to the Reporting Person on February 13, 2024. The original Form 4 filed on February 16, 2024 inadvertently reported the number of stock appreciation rights awarded as 475,831 due to an administrative error.

F2 · derivative.exercise_date: The Stock Appreciation Right will vest and become exercisable in equal annual installments (rounding down to the nearest whole share, except for the last installment) on the first, second, and third anniversaries of February 13, 2024, subject to the Reporting Person remaining an employee of the Issuer through and including each applicable vesting date.

Read SEC document
February 12, 2024 Filed Feb 12, 2024 17:23 UTC
DiBiase MaryChief Operating Officer
SaleCommon Stock 3,683 $1.01 $3,708.78
Disclosure

SEC source: 0001628280-24-004288 · wk-form4_1707776621.xml · nonDerivative · entry 1

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307,161

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.98 to $1.04, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award.

Read SEC document
February 12, 2024 Filed Feb 12, 2024 17:03 UTC
Mostafa Adam S.Chief Financial Officer
SaleCommon Stock 27,721 $1.01 $27,973.26
Disclosure

SEC source: 0001628280-24-004263 · wk-form4_1707775417.xml · nonDerivative · entry 1

Mostafa Adam S. · CIK 0001738081 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,500

F1 · kind: These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 23, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.97 to $1.07, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
February 12, 2024 Filed Feb 12, 2024 22:23 UTC
Taveras ArthurChief Scientific Officer
SaleCommon Stock 787 $1.01 $792.67
Disclosure

SEC source: 0001628280-24-004287 · wk-form4_1707776584.xml · nonDerivative · entry 1

Taveras Arthur · CIK 0001830901 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248,536

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.98 to $1.04, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award.

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February 12, 2024 Filed Feb 12, 2024 22:05 UTC
Ragan PaulaDirector · President and CEO
SaleCommon Stock 21,695 $1.01 $21,892.42
Disclosure

SEC source: 0001628280-24-004266 · wk-form4_1707775482.xml · nonDerivative · entry 1

Ragan Paula · CIK 0001769914 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 814,746

F1 · kind: These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 24, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.97 to $1.05, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award.

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November 03, 2023 Filed Nov 3, 2023 21:26 UTC
Ragan PaulaDirector · President and CEO
SaleCommon Stock 39,906 $0.90 $35,915.40
Disclosure

SEC source: 0001628280-23-036796 · wk-form4_1699046800.xml · nonDerivative · entry 2

Ragan Paula · CIK 0001769914 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 836,441

F1 · kind: These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 24, 2023.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.8043 to $0.9454, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award

Read SEC document
November 01, 2023 Filed Nov 3, 2023 16:40 UTC
DiBiase MaryChief Operating Officer
SaleCommon Stock 67,695 $0.73 $49,417.35
Disclosure

SEC source: 0001628280-23-036757 · wk-form4_1699044035.xml · nonDerivative · entry 1

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 310,844

F1 · kind: These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 2, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6839 to $0.80, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award

Read SEC document
November 01, 2023 Filed Nov 3, 2023 16:42 UTC
Mostafa Adam S.Chief Financial Officer
SaleCommon Stock 230,645 $0.73 $168,370.85
Disclosure

SEC source: 0001628280-23-036758 · wk-form4_1699044122.xml · nonDerivative · entry 1

Mostafa Adam S. · CIK 0001738081 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 80,221

F1 · kind: These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 23, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6835 to $0.7911, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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November 01, 2023 Filed Nov 3, 2023 21:26 UTC
Ragan PaulaDirector · President and CEO
SaleCommon Stock 199,531 $0.73 $145,657.63
Disclosure

SEC source: 0001628280-23-036796 · wk-form4_1699046800.xml · nonDerivative · entry 1

Ragan Paula · CIK 0001769914 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 876,347

F1 · kind: These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 24, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6835 to $0.80, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award

Read SEC document
November 01, 2023 Filed Nov 3, 2023 20:39 UTC
Baldry MarkChief Commercial Officer
SaleCommon Stock 10,257 $0.73 $7,487.61
Disclosure

SEC source: 0001628280-23-036756 · wk-form4_1699043973.xml · nonDerivative · entry 1

Baldry Mark · CIK 0001644137 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 24,690

F1 · kind: These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 25, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.687 to $0.7927, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award

Read SEC document
November 01, 2023 Filed Nov 3, 2023 20:39 UTC
Taveras ArthurChief Scientific Officer
SaleCommon Stock 67,695 $0.73 $49,417.35
Disclosure

SEC source: 0001628280-23-036755 · wk-form4_1699043942.xml · nonDerivative · entry 1

Taveras Arthur · CIK 0001830901 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 249,323

F1 · kind: These transactions were made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 24, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6841 to $0.80, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · acquired: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award

Read SEC document
October 31, 2023 Filed Nov 2, 2023 16:55 UTC
DiBiase MaryChief Operating Officer
GrantCommon Stock 230,645 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-036459 · wk-form4_1698958524.xml · nonDerivative · entry 1

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 378,539

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition, which occurs upon FDA acceptance of a new drug application for mavorixafor.

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October 31, 2023 Filed Nov 2, 2023 17:04 UTC
Mostafa Adam S.Chief Financial Officer
GrantCommon Stock 230,645 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-036471 · wk-form4_1698959058.xml · nonDerivative · entry 1

Mostafa Adam S. · CIK 0001738081 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,866

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition, which occurs upon FDA acceptance of a new drug application for mavorixafor.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 21:00 UTC
Baldry MarkChief Commercial Officer
GrantCommon Stock 34,947 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-036466 · wk-form4_1698958841.xml · nonDerivative · entry 1

Baldry Mark · CIK 0001644137 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,947

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition, which occurs upon FDA acceptance of a new drug application for mavorixafor.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 20:58 UTC
Ragan PaulaDirector · President and CEO
GrantCommon Stock 532,081 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-036462 · wk-form4_1698958692.xml · nonDerivative · entry 1

Ragan Paula · CIK 0001769914 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,075,878

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition, which occurs upon FDA acceptance of a new drug application for mavorixafor.

Read SEC document
October 31, 2023 Filed Nov 2, 2023 20:59 UTC
Taveras ArthurChief Scientific Officer
GrantCommon Stock 230,645 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-036463 · wk-form4_1698958731.xml · nonDerivative · entry 1

Taveras Arthur · CIK 0001830901 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 317,018

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units. The Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition, which occurs upon FDA acceptance of a new drug application for mavorixafor.

Read SEC document
October 16, 2023 Filed Oct 18, 2023 20:02 UTC
Woods KeithDirector
GrantCommon Stock 90,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-034579 · wk-form4_1697659344.xml · nonDerivative · entry 1

Woods Keith · CIK 0001996804 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

F1 · shares: Represents a restricted stock units ("RSUs") grant. The RSUs will vest in three equal annual installments commencing on October 16, 2024, subject to the Reporting Person's continued service as a director through each such date.

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September 08, 2023 Filed Sep 12, 2023 16:04 UTC
DiBiase MaryChief Operating Officer
SaleCommon Stock 2,642 $1.25 $3,299.86
Disclosure

SEC source: 0001628280-23-032065 · wk-form4_1694549085.xml · nonDerivative · entry 1

DiBiase Mary · CIK 0001880179 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,894

F1 · kind: The reported transaction was effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $1.22 to $1.255, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F3 · balance_after: Of the shares of common stock reported, 74,046 shares represent restricted stock units.

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August 31, 2023 Filed Sep 5, 2023 20:15 UTC
Arbet-Engels ChristopheChief Medical Officer
GrantStock Option (right to buy) · Derivative 1,250,000 $1.28 Strike: $1.28 $1,600,000.00
Disclosure

SEC source: 0001628280-23-031389 · wk-form4_1693944923.xml · derivative · entry 1

Arbet-Engels Christophe · CIK 0001802615 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250,000

Underlying: Common Stock · 1,250,000 shares

Expires 2033-08-30

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on August 31, 2024, with the remainder vesting in equal installments of 2.0833% of the shares subject to the option each successive month thereafter for a period of 36 months, subject to the Reporting Person continuing to provide services through each such date.

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August 18, 2023 Filed Aug 22, 2023 20:09 UTC PurchaseCommon Stock 25,000 $1.20 $29,875.00
Disclosure

SEC source: 0001628280-23-030224 · wk-form4_1692734960.xml · nonDerivative · entry 1

WYZGA MICHAEL S · CIK 0001201256 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,667

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in two transactions at $1.195 and $1.20. 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 set forth in this footnote.

F2 · balance_after: Of the shares of common stock reported, 48,333 shares represent restricted stock units.

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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.