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Nasdaq · USD

XGN

EXAGEN INC.

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935
SEC CIK
0001274737
Parsed reports
161

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

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

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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 15, 2023 Filed Jun 20, 2023 20:30 UTC
Nova Tina SusanDirector · Executive Chairperson
GrantStock Option(right to buy) · Derivative 13,500 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0001274737-23-000069 · wf-form4_168729301301351.xml · derivative · entry 1

Nova Tina Susan · CIK 0001302605 · Director · Executive Chairperson

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,500

Underlying: Common Stock · 13,500 shares

Expires 2033-06-14

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the earlier of June 9, 2024 or the date of the Issuer's 2024 Annual Meeting of Stockholders, subject to the Reporting Person's continued service to the Issuer through such vesting date.

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June 15, 2023 Filed Jun 20, 2023 21:04 UTC PurchaseCommon Stock 167 $3.11 $519.45
Disclosure

SEC source: 0000899243-23-015986 · doc4.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · 10% owner

TULLIS GROWTH FUND II, L.P. · CIK 0001746842 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,515,839

F1 · kind: The transaction reported herein was effected by Tullis Growth Fund II, L.P. ("Tullis Growth II").

F2 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth II. Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II.

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June 09, 2023 Filed Jun 13, 2023 16:35 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001274737-23-000060 · wf-form4_168668852605535.xml · derivative · entry 1

Johnson Wendy S. · CIK 0001652822 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 09, 2023 Filed Jun 13, 2023 20:36 UTC
Stokes FrankDirector
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001274737-23-000064 · wf-form4_168668859227831.xml · derivative · entry 1

Stokes Frank · CIK 0001782815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 09, 2023 Filed Jun 13, 2023 20:36 UTC
Birk BrianDirector
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001274737-23-000063 · wf-form4_168668857704156.xml · derivative · entry 1

Birk Brian · CIK 0001616007 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 09, 2023 Filed Jun 13, 2023 20:36 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001274737-23-000062 · wf-form4_168668855957603.xml · derivative · entry 1

PALLARES EBETUEL · CIK 0001614597 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2023-06-08

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 09, 2023 Filed Jun 13, 2023 20:35 UTC
Hooker AnaDirector
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $3.13 $0.00
Disclosure

SEC source: 0001274737-23-000061 · wf-form4_168668854264707.xml · derivative · entry 1

Hooker Ana · CIK 0001774825 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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March 02, 2023 Filed Mar 3, 2023 16:37 UTC
Hazeltine MarkChief Business Officer
SaleCommon Stock 3,667 $0.00 $0.00
Disclosure

SEC source: 0001274737-23-000013 · wf-form4_167787940835174.xml · nonDerivative · entry 1

Hazeltine Mark · CIK 0001852986 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,205

F1 · shares: The shares were sold by the reporting person to generate proceeds used to satisfy the tax withholding obligation that arose upon the vesting of certain restricted stock units granted to the reporting person on February 23, 2021.

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March 02, 2023 Filed Mar 3, 2023 21:38 UTC
Adawi KamalCFO and Corporate Secretary
SaleCommon Stock 3,667 $2.30 $8,431.53
Disclosure

SEC source: 0001274737-23-000014 · wf-form4_167787945297244.xml · nonDerivative · entry 1

Adawi Kamal · CIK 0001788393 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,271

F1 · shares: The shares were sold by the reporting person to generate proceeds used to satisfy the tax withholding obligation that arose upon the vesting of certain restricted stock units granted to the reporting person on February 23, 2021.

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February 27, 2023 Filed Mar 1, 2023 16:06 UTC
Hazeltine MarkChief Business Officer
GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001274737-23-000011 · wf-form4_167770470514707.xml · nonDerivative · entry 1

Hazeltine Mark · CIK 0001852986 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,872

F1 · shares: Represents 100,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of March 1, 2023, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in accordance with the Company's Amended and Restated Executive Change in Control Severance Plan, as the same may be amended from time to time.

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February 27, 2023 Filed Mar 1, 2023 21:06 UTC
Adawi KamalCFO and Corporate Secretary
GrantCommon Stock 100,000 $0.00 $0.00
Disclosure

SEC source: 0001274737-23-000012 · wf-form4_167770478495929.xml · nonDerivative · entry 1

Adawi Kamal · CIK 0001788393 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,938

F1 · shares: Represents 100,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of March 1, 2023, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in accordance with the Company's Amended and Restated Executive Change in Control Severance Plan, as the same may be amended from time to time.

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February 08, 2023 Filed Feb 10, 2023 16:08 UTC
Hazeltine MarkChief Business Officer
SaleCommon Stock 5,821 $2.69 $15,672.46
Disclosure

SEC source: 0001274737-23-000008 · wf-form4_167606330014830.xml · nonDerivative · entry 1

Hazeltine Mark · CIK 0001852986 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,872

F1 · shares: The shares were sold by the reporting person to generate proceeds used to satisfy the tax withholding obligation that arose upon the vesting of certain restricted stock units granted to the reporting person on February 4, 2022.

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February 08, 2023 Filed Feb 10, 2023 21:05 UTC
Adawi KamalCFO and Corporate Secretary
SaleCommon Stock 5,821 $2.69 $15,670.71
Disclosure

SEC source: 0001274737-23-000007 · wf-form4_167606311295012.xml · nonDerivative · entry 1

Adawi Kamal · CIK 0001788393 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,938

F1 · shares: The shares were sold by the reporting person to generate proceeds used to satisfy the tax withholding obligation that arose upon the vesting of certain restricted stock units granted to the reporting person on February 4, 2022.

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December 08, 2022 Filed Dec 9, 2022 14:00 UTC
ABALLI JOHNDirector · President and CEO
PurchaseCommon Stock 90,000 $2.68 $241,200.00
Disclosure

SEC source: 0001274737-22-000083 · wf-form4_167059440451764.xml · nonDerivative · entry 1

ABALLI JOHN · CIK 0001843113 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.34 to $2.75, inclusive. The reporting person undertakes to provide Exagen Inc., any security holder of Exagen Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this form 4.

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October 16, 2022 Filed Oct 19, 2022 00:38 UTC
ABALLI JOHNDirector · President and CEO
GrantRestricted Stock Units 350,000 $0.00 $0.00
Disclosure

SEC source: 0001843113-22-000010 · wf-form4_166613985172902.xml · nonDerivative · entry 1

ABALLI JOHN · CIK 0001843113 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

F1 · shares: The securities awarded are in the form of restricted stock units under the issuer's 2019 Incentive Award Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock unit will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of October 16, 2022, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control.

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June 16, 2022 Filed Jun 21, 2022 08:34 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $5.25 $0.00
Disclosure

SEC source: 0001274737-22-000046 · wf-form4_165581482752855.xml · derivative · entry 1

Johnson Wendy S. · CIK 0001652822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 12:33 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $5.25 $0.00
Disclosure

SEC source: 0001274737-22-000044 · wf-form4_165581479360117.xml · derivative · entry 1

Nova Tina Susan · CIK 0001302605 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 16, 2022 Filed Jun 21, 2022 12:33 UTC
TULLIS JAMES L LDirector · 10% owner
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $5.25 $0.00
Disclosure

SEC source: 0001274737-22-000043 · wf-form4_165581477536403.xml · derivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 12:33 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $5.25 $0.00
Disclosure

SEC source: 0001274737-22-000045 · wf-form4_165581481042927.xml · derivative · entry 1

PALLARES EBETUEL · CIK 0001614597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 12:32 UTC
Hooker AnaDirector
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $5.25 $0.00
Disclosure

SEC source: 0001274737-22-000042 · wf-form4_165581475880300.xml · derivative · entry 1

Hooker Ana · CIK 0001774825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 12:32 UTC
Birk BrianDirector
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $5.25 $0.00
Disclosure

SEC source: 0001274737-22-000041 · wf-form4_165581473943886.xml · derivative · entry 1

Birk Brian · CIK 0001616007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

Read SEC document
June 16, 2022 Filed Jun 21, 2022 12:32 UTC
Stokes FrankDirector
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $5.25 $0.00
Disclosure

SEC source: 0001274737-22-000040 · wf-form4_165581472086924.xml · derivative · entry 1

Stokes Frank · CIK 0001782815 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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March 01, 2022 Filed Mar 2, 2022 16:40 UTC
Hazeltine MarkChief Operating Officer
Tax withholdingCommon Stock 3,241 $7.12 $23,075.92
Disclosure

SEC source: 0001274737-22-000018 · wf-form4_164625718287172.xml · nonDerivative · entry 1

Hazeltine Mark · CIK 0001852986 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,693

F1 · shares: The shares were withheld from the Reporting Person to satisfy the tax withholding obligations that arose upon the vesting of certain restricted stock units granted on February 23, 2021.

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March 01, 2022 Filed Mar 2, 2022 21:41 UTC
Zack DebraChief Medical Officer
Tax withholdingCommon Stock 3,241 $7.12 $23,075.92
Disclosure

SEC source: 0001274737-22-000019 · wf-form4_164625724694463.xml · nonDerivative · entry 1

Zack Debra · CIK 0001807743 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,259

F1 · shares: The shares were withheld from the Reporting Person to satisfy the tax withholding obligations that arose upon the vesting of certain restricted stock units granted on February 23, 2021.

Read SEC document
March 01, 2022 Filed Mar 2, 2022 21:37 UTC
Rocca Fortunato R.Director · President and CEO
Tax withholdingCommon Stock 4,322 $7.12 $30,772.64
Disclosure

SEC source: 0001274737-22-000016 · wf-form4_164625703760601.xml · nonDerivative · entry 1

Rocca Fortunato R. · CIK 0001492734 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,678

F1 · shares: The shares were withheld from the Reporting Person to satisfy the tax withholding obligations that arose upon the vesting of certain restricted stock units granted on February 23, 2021.

Read SEC document
March 01, 2022 Filed Mar 2, 2022 21:39 UTC
Adawi KamalCFO and Corporate Secretary
Tax withholdingCommon Stock 3,241 $7.12 $23,075.92
Disclosure

SEC source: 0001274737-22-000017 · wf-form4_164625710800777.xml · nonDerivative · entry 1

Adawi Kamal · CIK 0001788393 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,759

F1 · shares: The shares were withheld from the Reporting Person to satisfy the tax withholding obligations that arose upon the vesting of certain restricted stock units granted on February 23, 2021.

Read SEC document
February 04, 2022 Filed Feb 8, 2022 16:21 UTC
Hazeltine MarkChief Operating Officer
GrantCommon Stock 63,500 $0.00 $0.00
Disclosure

SEC source: 0001274737-22-000010 · wf-form4_164435529026997.xml · nonDerivative · entry 1

Hazeltine Mark · CIK 0001852986 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,934

F1 · shares: Represents 63,500 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock unit will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of February 4, 2022, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control.

F2 · balance_after: Represents 63,500 shares of restricted stock units granted on February 4, 2022, 37,500 shares of restricted stock units granted on February 23, 2021 and 1,934 shares of common stock.

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February 04, 2022 Filed Feb 8, 2022 21:23 UTC
Zack DebraChief Medical Officer
GrantCommon Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001274737-22-000011 · wf-form4_164435534136243.xml · nonDerivative · entry 1

Zack Debra · CIK 0001807743 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

F1 · shares: Represents 50,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock unit will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of February 4, 2022, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control.

F2 · balance_after: Represents 50,000 shares of restricted stock units granted on February 4, 2022 and 37,500 shares of restricted stock units granted on February 23, 2021.

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February 04, 2022 Filed Feb 8, 2022 21:19 UTC
Rocca Fortunato R.Director · President and CEO
GrantCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001274737-22-000008 · wf-form4_164435515279183.xml · nonDerivative · entry 1

Rocca Fortunato R. · CIK 0001492734 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

F1 · shares: Represents 75,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock unit will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of February 4, 2022, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control.

F2 · balance_after: Represents 75,000 shares of restricted stock units granted on February 4, 2022 and 50,000 shares of restricted stock units granted on February 23, 2021.

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February 04, 2022 Filed Feb 8, 2022 21:20 UTC
Adawi KamalCFO and Corporate Secretary
GrantCommon Stock 63,500 $0.00 $0.00
Disclosure

SEC source: 0001274737-22-000009 · wf-form4_164435521542460.xml · nonDerivative · entry 1

Adawi Kamal · CIK 0001788393 · CFO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,000

F1 · shares: Represents 63,500 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock unit will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of February 4, 2022, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control.

F2 · balance_after: Represents 63,500 shares of restricted stock units granted on February 4, 2022 and 37,500 shares of restricted stock units granted on February 23, 2021.

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September 03, 2021 Filed Sep 7, 2021 08:25 UTC PurchaseCommon Stock 1,000 $14.02 $14,020.00
Disclosure

SEC source: 0001274737-21-000101 · wf-form4_163101751499196.xml · nonDerivative · entry 1

Johnson Wendy S. · CIK 0001652822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Read SEC document
August 05, 2021 Filed Aug 6, 2021 20:15 UTC SaleCommon Stock 6,800 $10.72 $72,862.68
Disclosure

SEC source: 0000899243-21-031918 · doc4.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,515,672

F1 · kind: These sales were effected by Tullis Growth Fund, L.P. ("Tullis Growth") pursuant to a Rule 10b5-1 trading plan adopted on March 24, 2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.47 to $11.40, 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.

F3 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II.

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August 04, 2021 Filed Aug 4, 2021 22:29 UTC SaleCommon Stock 2,100 $11.39 $23,917.11
Disclosure

SEC source: 0000899243-21-031644 · doc4.xml · nonDerivative · entry 3

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,522,472

F1 · kind: These sales were effected by Tullis Growth Fund, L.P. ("Tullis Growth") pursuant to a Rule 10b5-1 trading plan adopted on March 24, 2021.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.26 to $11.61, 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.

F5 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II.

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August 03, 2021 Filed Aug 4, 2021 22:29 UTC SaleCommon Stock 4,300 $11.77 $50,617.88
Disclosure

SEC source: 0000899243-21-031644 · doc4.xml · nonDerivative · entry 2

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,524,572

F1 · kind: These sales were effected by Tullis Growth Fund, L.P. ("Tullis Growth") pursuant to a Rule 10b5-1 trading plan adopted on March 24, 2021.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.65 to $12.07, 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.

F5 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II.

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August 02, 2021 Filed Aug 4, 2021 22:29 UTC SaleCommon Stock 1,800 $11.92 $21,454.38
Disclosure

SEC source: 0000899243-21-031644 · doc4.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,528,872

F1 · kind: These sales were effected by Tullis Growth Fund, L.P. ("Tullis Growth") pursuant to a Rule 10b5-1 trading plan adopted on March 24, 2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.68 to $12.11, 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.

F5 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II.

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July 29, 2021 Filed Jul 30, 2021 12:27 UTC
Hooker AnaDirector
GrantStock Option(right to buy) · Derivative 15,000 $0.00 Strike: $12.28 $0.00
Disclosure

SEC source: 0001274737-21-000087 · wf-form4_162764802438621.xml · derivative · entry 1

Hooker Ana · CIK 0001774825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-07-28

F1 · derivative.exercise_date: The option is exercisable as it vests. The total number of shares of common stock subject to the option vests in 36 equal monthly installments over the three-year period beginning on August 29, 2021, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

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June 29, 2021 Filed Jun 29, 2021 21:10 UTC SaleCommon Stock 5,379 $14.67 $78,910.47
Disclosure

SEC source: 0000899243-21-026584 · doc4.xml · nonDerivative · entry 3

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,530,672

F1 · kind: These sales were effected by Tullis Growth Fund, L.P. ("Tullis Growth") pursuant to a Rule 10b5-1 trading plan adopted on March 24, 2021.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.48 to $15.04, 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.

F5 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II.

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June 28, 2021 Filed Jun 29, 2021 21:10 UTC SaleCommon Stock 10,858 $14.98 $162,696.27
Disclosure

SEC source: 0000899243-21-026584 · doc4.xml · nonDerivative · entry 2

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,536,051

F1 · kind: These sales were effected by Tullis Growth Fund, L.P. ("Tullis Growth") pursuant to a Rule 10b5-1 trading plan adopted on March 24, 2021.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.55 to $15.34, 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.

F5 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II.

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June 25, 2021 Filed Jun 29, 2021 21:10 UTC SaleCommon Stock 8,763 $16.03 $140,503.31
Disclosure

SEC source: 0000899243-21-026584 · doc4.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,546,909

F1 · kind: These sales were effected by Tullis Growth Fund, L.P. ("Tullis Growth") pursuant to a Rule 10b5-1 trading plan adopted on March 24, 2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.74 to $16.33, 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.

F5 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II.

Read SEC document
June 17, 2021 Filed Jun 21, 2021 08:38 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $16.41 $0.00
Disclosure

SEC source: 0001274737-21-000074 · wf-form4_162427910066558.xml · derivative · entry 1

Johnson Wendy S. · CIK 0001652822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 17, 2021 Filed Jun 21, 2021 12:38 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $16.41 $0.00
Disclosure

SEC source: 0001274737-21-000075 · wf-form4_162427911766120.xml · derivative · entry 1

Nova Tina Susan · CIK 0001302605 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 17, 2021 Filed Jun 21, 2021 12:39 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $16.41 $0.00
Disclosure

SEC source: 0001274737-21-000076 · wf-form4_162427913125759.xml · derivative · entry 1

Robertson Bruce C · CIK 0001289625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 17, 2021 Filed Jun 21, 2021 12:39 UTC
Stokes FrankDirector
GrantStock Option(right to buy) · Derivative 15,000 $0.00 Strike: $16.41 $0.00
Disclosure

SEC source: 0001274737-21-000077 · wf-form4_162427914687839.xml · derivative · entry 1

Stokes Frank · CIK 0001782815 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: The option is exercisable as it vests. The total number of shares of common stock subject to the option vests in 36 equal monthly installments over the three-year period beginning on July 17, 2021, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

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June 17, 2021 Filed Jun 21, 2021 12:39 UTC GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $16.41 $0.00
Disclosure

SEC source: 0001274737-21-000078 · wf-form4_162427916173757.xml · derivative · entry 1

PALLARES EBETUEL · CIK 0001614597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 17, 2021 Filed Jun 21, 2021 12:38 UTC
Birk BrianDirector
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $16.41 $0.00
Disclosure

SEC source: 0001274737-21-000073 · wf-form4_162427908567217.xml · derivative · entry 1

Birk Brian · CIK 0001616007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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June 17, 2021 Filed Jun 21, 2021 12:38 UTC
TULLIS JAMES L LDirector · 10% owner
GrantStock Option(right to buy) · Derivative 9,000 $0.00 Strike: $16.41 $0.00
Disclosure

SEC source: 0001274737-21-000072 · wf-form4_162427907010300.xml · derivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: The entire number of shares subject to this option becomes fully vested and exercisable on the first to occur of (a) the first anniversary of the grant date or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

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May 17, 2021 Filed May 17, 2021 20:06 UTC
Hazeltine MarkChief Operating Officer
Exercise / conversionStock Option(right to buy) · Derivative 1,934 $0.26 Strike: $0.26 $502.84
Disclosure

SEC source: 0001274737-21-000047 · wf-form4_162129636235638.xml · derivative · entry 2

Hazeltine Mark · CIK 0001852986 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,061

Underlying: Common Stock · 2,995 shares

Expires 2028-10-05

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 option is exercisable as it vests. 25% of the shares subject to the option vested on October 5, 2019, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

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May 17, 2021 Filed May 17, 2021 20:06 UTC
Hazeltine MarkChief Operating Officer
Exercise / conversionCommon Stock 1,934 $0.26 $502.84
Disclosure

SEC source: 0001274737-21-000047 · wf-form4_162129636235638.xml · nonDerivative · entry 1

Hazeltine Mark · CIK 0001852986 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,434

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.

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February 23, 2021 Filed Feb 25, 2021 22:05 UTC
Zack DebraChief Medical Officer
GrantStock Option(right to buy) · Derivative 12,500 $0.00 Strike: $18.20 $0.00
Disclosure

SEC source: 0001274737-21-000009 · wf-form4_161429069393025.xml · derivative · entry 2

Zack Debra · CIK 0001807743 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2031-02-22

F3 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on February 23, 2022, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. In addition, the stock option may become fully vested upon a qualifying termination of employment in connection with a change in control.

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February 23, 2021 Filed Feb 25, 2021 22:05 UTC
Zack DebraChief Medical Officer
GrantCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001274737-21-000009 · wf-form4_161429069393025.xml · nonDerivative · entry 1

Zack Debra · CIK 0001807743 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

F1 · security: Represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units will vest with respect to 25% of the restricted stock units on each of the first, second, third and fourth anniversaries of March 1, 2020, subject to the Reporting Person's continued service through the applicable vesting date. In addition, the award may become fully vested upon a qualifying termination of employment in connection with a change in control.

F2 · balance_after: Represents 37,500 shares of 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.