Last 12 months
Inside the activity.
0 purchase rows · 13 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 4 |
| Feb 2026 | 0 | 4 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 1 |
| Jun 2026 | 0 | 1 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 2 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 1 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 24, 2019 Filed Apr 26, 2019 21:05 UTC |
Tierney David SDirector
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $1.62 | $0.00 |
DisclosureSEC source: 0001437749-19-008069 · rdgdoc.xml · derivative · entry 1 Tierney David S · CIK 0001292636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-04-23 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Global Market on the date of grant, April 24, 2019. F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's third amended and restated non-employee director compensation policy. F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date. Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 21:02 UTC |
Pascoe Richard WDirector
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $1.62 | $0.00 |
DisclosureSEC source: 0001437749-19-008066 · rdgdoc.xml · derivative · entry 1 Pascoe Richard W · CIK 0001343266 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-04-23 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Global Market on the date of grant, April 24, 2019. F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's third amended and restated non-employee director compensation policy. F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date. Read SEC document |
| February 18, 2019 Filed Feb 20, 2019 21:26 UTC |
Johnson Gordon KChief Business Officer
|
GrantStock Option (right to buy) · Derivative | 60,000 | $0.00 Strike: $2.29 | $0.00 |
DisclosureSEC source: 0001437749-19-002953 · rdgdoc.xml · derivative · entry 1 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-02-17 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on February 18, 2020 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 17:36 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
GrantStock Option (right to buy) · Derivative | 160,000 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001437749-19-002169 · rdgdoc.xml · derivative · entry 1 Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 Underlying: Common Stock · 160,000 shares Expires 2029-02-05 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on February 6, 2020 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| February 06, 2019 Filed Feb 9, 2019 00:29 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GrantStock Option (right to buy) · Derivative | 60,000 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001437749-19-002182 · rdgdoc.xml · derivative · entry 2 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-02-05 F2 · derivative.exercise_date: Grant to the Reporting Person's spouse of a stock option under the Plan. 25% of the shares will vest on February 6, 2020 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person's spouse is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| February 06, 2019 Filed Feb 9, 2019 00:29 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GrantStock Option (right to buy) · Derivative | 420,000 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001437749-19-002182 · rdgdoc.xml · derivative · entry 1 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,000 Underlying: Common Stock · 420,000 shares Expires 2029-02-05 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on February 6, 2020 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| February 06, 2019 Filed Feb 9, 2019 00:28 UTC |
Johnson Gordon KChief Business Officer
|
GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001437749-19-002181 · rdgdoc.xml · derivative · entry 1 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-02-05 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on February 6, 2020 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| February 06, 2019 Filed Feb 9, 2019 00:28 UTC |
Guenther SvenEVP, Research & Development
|
GrantStock Option (right to buy) · Derivative | 160,000 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001437749-19-002180 · rdgdoc.xml · derivative · entry 1 Guenther Sven · CIK 0001638368 · EVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 Underlying: Common Stock · 160,000 shares Expires 2029-02-05 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on February 6, 2020 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 22:36 UTC |
Sangiovanni Timothy J.VP, Corporate Controller
|
GrantStock Option (right to buy) · Derivative | 60,000 | $0.00 Strike: $2.66 | $0.00 |
DisclosureSEC source: 0001437749-19-002170 · rdgdoc.xml · derivative · entry 1 Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-02-05 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on February 6, 2020 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| October 12, 2018 Filed Oct 12, 2018 20:35 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
PurchaseCommon Stock | 5,000 | $2.55 | $12,764.00 |
DisclosureSEC source: 0001437749-18-018248 · rdgdoc.xml · nonDerivative · entry 3 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,703,117 Read SEC document |
| October 12, 2018 Filed Oct 12, 2018 20:12 UTC |
Johnson Gordon KChief Business Officer
|
PurchaseCommon Stock | 1,000 | $2.61 | $2,610.00 |
DisclosureSEC source: 0001437749-18-018242 · rdgdoc.xml · nonDerivative · entry 3 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| October 12, 2018 Filed Oct 15, 2018 20:28 UTC |
Sangiovanni Timothy J.VP, Corporate Controller
|
PurchaseCommon Stock | 1,500 | $2.50 | $3,750.00 |
DisclosureSEC source: 0001437749-18-018301 · rdgdoc.xml · nonDerivative · entry 2 Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| October 11, 2018 Filed Oct 11, 2018 18:52 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
PurchaseCommon Stock | 650 | $2.54 | $1,651.91 |
DisclosureSEC source: 0001437749-18-018208 · rdgdoc.xml · nonDerivative · entry 1 Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Read SEC document |
| October 11, 2018 Filed Oct 15, 2018 20:28 UTC |
Sangiovanni Timothy J.VP, Corporate Controller
|
PurchaseCommon Stock | 1,500 | $2.55 | $3,825.00 |
DisclosureSEC source: 0001437749-18-018301 · rdgdoc.xml · nonDerivative · entry 1 Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Read SEC document |
| October 10, 2018 Filed Oct 12, 2018 20:12 UTC |
Johnson Gordon KChief Business Officer
|
PurchaseCommon Stock | 1,000 | $2.65 | $2,646.60 |
DisclosureSEC source: 0001437749-18-018242 · rdgdoc.xml · nonDerivative · entry 2 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Read SEC document |
| October 10, 2018 Filed Oct 12, 2018 20:12 UTC |
Johnson Gordon KChief Business Officer
|
PurchaseCommon Stock | 2,000 | $2.60 | $5,200.00 |
DisclosureSEC source: 0001437749-18-018242 · rdgdoc.xml · nonDerivative · entry 1 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Read SEC document |
| October 05, 2018 Filed Oct 9, 2018 16:01 UTC |
DSC Advisors, L.P.10% owner
DSC Managers, L.L.C.10% owner
DSC Advisors, L.L.C.10% owner
BLUHM ANDREW G10% owner
|
PurchaseCommon Stock, par value $0.0001 | 2,000,000 | $3.00 | $6,000,000.00 |
DisclosureSEC source: 0000899243-18-026415 · doc4.xml · nonDerivative · entry 1 Delaware Street Capital Master Fund, L.P. · CIK 0001648576 · 10% owner DSC Advisors, L.P. · CIK 0001299434 · 10% owner DSC Managers, L.L.C. · CIK 0001648612 · 10% owner DSC Advisors, L.L.C. · CIK 0001648574 · 10% owner BLUHM ANDREW G · CIK 0001083033 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,095,914 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that DSC Advisors, L.P. ("DSCA), the investment manager of Delaware Street Master Fund, L.P. (the "Fund"), DSC Managers, L.L.C. ("DSCM"), the general partner of the Fund, DSC Advisors, L.L.C. ("DSCA LLC"), the general partner of DSCA, or Andrew G. Bluhm, the principal of DSCA LLC, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, par value $0.0001 (the "Common Stock"), of KemPharm, Inc. (the "Issuer") purchased by the Fund. Pursuant to Rule 16a-1, each of DSCA, DSCM, DSCA LLC and Mr. Bluhm disclaim such beneficial ownership. F2 · ownership.direct: The Fund holds the shares of Common Stock directly. DSCA serves as the investment manager to the Fund. DSCA LLC serves as the general partner of DSCA. DSCM receives a portion of the profits in the form of a capital allocation from, and owns a partnership interest in, the Fund. Andrew G. Bluhm reports the Common Stock held directly by the Fund because, as the principal of DSCA LLC at the time of purchase, he controlled the disposition and voting of the securities. Read SEC document |
| August 30, 2018 Filed Oct 12, 2018 20:35 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 18,139 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-018248 · rdgdoc.xml · nonDerivative · entry 5 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Travis C Mickle & Christal M.M. Mickle TRS UA 4-30-09 Mickle Family Trust, co-trustee with spouse Disclosed balance after: 123,217 Read SEC document |
| August 30, 2018 Filed Oct 12, 2018 20:35 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 32,172 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-018248 · rdgdoc.xml · nonDerivative · entry 4 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Travis C Mickle & Christal M.M. Mickle TRS UA 4-30-09 TCM Family Trust, co-trustee with spouse Disclosed balance after: 21,466 Read SEC document |
| August 30, 2018 Filed Oct 12, 2018 20:35 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 18,139 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-018248 · rdgdoc.xml · nonDerivative · entry 2 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,698,117 Read SEC document |
| August 30, 2018 Filed Oct 12, 2018 20:35 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 32,172 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-018248 · rdgdoc.xml · nonDerivative · entry 1 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,679,978 Read SEC document |
| July 30, 2018 Filed Aug 1, 2018 16:05 UTC |
DSC Advisors, L.P.10% owner
DSC Managers, L.L.C.10% owner
DSC Advisors, L.L.C.10% owner
BLUHM ANDREW G10% owner
|
PurchaseCommon Stock, par value $0.0001 | 304,283 | $4.00 | $1,217,132.00 |
DisclosureSEC source: 0000899243-18-020957 · doc4.xml · nonDerivative · entry 1 Delaware Street Capital Master Fund, L.P. · CIK 0001648576 · 10% owner DSC Advisors, L.P. · CIK 0001299434 · 10% owner DSC Managers, L.L.C. · CIK 0001648612 · 10% owner DSC Advisors, L.L.C. · CIK 0001648574 · 10% owner BLUHM ANDREW G · CIK 0001083033 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,095,914 F1 · balance_after: The filing of this Form 4 shall not be construed as an admission that DSC Advisors, L.P. ("DSCA), the investment manager of Delaware Street Master Fund, L.P. (the "Fund"), DSC Managers, L.L.C. ("DSCM"), the general partner of the Fund, DSC Advisors, L.L.C. ("DSCA LLC"), the general partner of DSCA, or Andrew G. Bluhm, the principal of DSCA LLC, is or was for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owner of any of the Common Stock, par value $0.0001 (the "Common Stock"), of KemPharm, Inc. (the "Issuer") purchased by the Fund. Pursuant to Rule 16a-1, each of DSCA, DSCM, DSCA LLC and Mr. Bluhm disclaim such beneficial ownership. F2 · ownership.direct: The Fund holds the shares of Common Stock directly. DSCA serves as the investment manager to the Fund. DSCA LLC serves as the general partner of DSCA. DSCM receives a portion of the profits in the form of a capital allocation from, and owns a partnership interest in, the Fund. Andrew G. Bluhm reports the Common Stock held directly by the Fund because, as the principal of DSCA LLC at the time of purchase, he controlled the disposition and voting of the securities. Read SEC document |
| May 31, 2018 Filed Jun 1, 2018 16:14 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
PurchaseCommon Stock | 525 | $6.10 | $3,202.50 |
DisclosureSEC source: 0001437749-18-011084 · rdgdoc.xml · nonDerivative · entry 1 Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100 Read SEC document |
| May 22, 2018 Filed May 24, 2018 20:06 UTC |
Saluri JosephDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $6.10 | $0.00 |
DisclosureSEC source: 0001437749-18-010655 · rdgdoc.xml · derivative · entry 1 Saluri Joseph · CIK 0001512131 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-21 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Global Market on the date of grant, May 22, 2018. F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's non-employee director compensation policy. F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date. Read SEC document |
| May 22, 2018 Filed May 24, 2018 20:06 UTC |
Tierney David SDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $6.10 | $0.00 |
DisclosureSEC source: 0001437749-18-010654 · rdgdoc.xml · derivative · entry 1 Tierney David S · CIK 0001292636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-21 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Global Market on the date of grant, May 22, 2018. F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's non-employee director compensation policy. F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date. Read SEC document |
| May 22, 2018 Filed May 24, 2018 20:05 UTC |
Thompson Danny LDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $6.10 | $0.00 |
DisclosureSEC source: 0001437749-18-010653 · rdgdoc.xml · derivative · entry 1 Thompson Danny L · CIK 0001638363 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-21 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Global Market on the date of grant, May 22, 2018. F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's non-employee director compensation policy. F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date. Read SEC document |
| May 22, 2018 Filed May 24, 2018 20:04 UTC |
Plooster Matthew RDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $6.10 | $0.00 |
DisclosureSEC source: 0001437749-18-010651 · rdgdoc.xml · derivative · entry 1 Plooster Matthew R · CIK 0001638364 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-21 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Global Market on the date of grant, May 22, 2018. F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's non-employee director compensation policy. F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date. Read SEC document |
| May 22, 2018 Filed May 24, 2018 20:04 UTC |
Pascoe Richard WDirector
|
GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $6.10 | $0.00 |
DisclosureSEC source: 0001437749-18-010650 · rdgdoc.xml · derivative · entry 1 Pascoe Richard W · CIK 0001343266 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-05-21 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Global Market on the date of grant, May 22, 2018. F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's non-employee director compensation policy. F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date. Read SEC document |
| May 15, 2018 Filed May 17, 2018 21:18 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 200 | $6.45 | $1,290.00 |
DisclosureSEC source: 0001437749-18-010288 · rdgdoc.xml · nonDerivative · entry 4 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Indirect · By Daughter. Disclosed balance after: 1,450 F3 · ownership.direct: The shares are held in a trust for the benefit of the Reporting Person's daughter. The Reporting Person's spouse is trustee of the trust. The Reporting Person may be deemed to have indirect beneficial interest in such shares. Read SEC document |
| May 15, 2018 Filed May 17, 2018 21:18 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 200 | $6.45 | $1,290.00 |
DisclosureSEC source: 0001437749-18-010288 · rdgdoc.xml · nonDerivative · entry 3 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Indirect · By Daughter. Disclosed balance after: 1,450 F2 · ownership.direct: The shares are held in a trust for the benefit of the Reporting Person's daughter. The Reporting Person's spouse is trustee of the trust. The Reporting Person may be deemed to have indirect beneficial interest in such shares. Read SEC document |
| May 15, 2018 Filed May 17, 2018 21:18 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 2,000 | $6.45 | $12,891.00 |
DisclosureSEC source: 0001437749-18-010288 · rdgdoc.xml · nonDerivative · entry 2 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 F1 · ownership.direct: Held jointly with spouse. Read SEC document |
| May 15, 2018 Filed May 17, 2018 21:18 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 5,500 | $6.45 | $35,450.25 |
DisclosureSEC source: 0001437749-18-010288 · rdgdoc.xml · nonDerivative · entry 1 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,500 Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 21:22 UTC |
Thompson Danny LDirector
|
Exercise / conversionStock Option (right to buy) · Derivative | 3,333 | $0.00 Strike: $4.65 | $0.00 |
DisclosureSEC source: 0001437749-18-005591 · rdgdoc.xml · derivative · entry 5 Thompson Danny L · CIK 0001638363 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,333 shares Expires 2018-03-30 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. F3 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's Incentive Stock Plan. The shares subject to the option are fully vested. Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 21:22 UTC |
Thompson Danny LDirector
|
Tax withholdingCommon Stock | 2,026 | $7.65 | $15,498.90 |
DisclosureSEC source: 0001437749-18-005591 · rdgdoc.xml · nonDerivative · entry 2 Thompson Danny L · CIK 0001638363 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,640 Read SEC document |
| March 23, 2018 Filed Mar 27, 2018 21:22 UTC |
Thompson Danny LDirector
|
Exercise / conversionCommon Stock | 3,333 | $4.65 | $15,498.45 |
DisclosureSEC source: 0001437749-18-005591 · rdgdoc.xml · nonDerivative · entry 1 Thompson Danny L · CIK 0001638363 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,666 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 18:56 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-18-001305 · rdgdoc.xml · derivative · entry 1 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-01-24 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 25, 2019 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 18:56 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-18-001303 · rdgdoc.xml · derivative · entry 1 Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-01-24 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 25, 2019 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 23:57 UTC |
Sangiovanni Timothy J.VP, Corporate Controller
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-18-001307 · rdgdoc.xml · derivative · entry 1 Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2028-01-24 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 25, 2019 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 23:56 UTC |
Guenther SvenEVP, Research & Development
|
GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-18-001306 · rdgdoc.xml · derivative · entry 1 Guenther Sven · CIK 0001638368 · EVP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-01-24 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 25, 2019 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 23:56 UTC |
Johnson Gordon KChief Business Officer
|
GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-18-001304 · rdgdoc.xml · derivative · entry 1 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-01-24 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 25, 2019 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 23:56 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-18-001302 · rdgdoc.xml · derivative · entry 2 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2028-01-24 F2 · derivative.exercise_date: Grant to the Reporting Person's spouse of a stock option under the Plan. 25% of the shares will vest on January 25, 2019 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person's spouse is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 23:56 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GrantStock Option (right to buy) · Derivative | 225,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-18-001302 · rdgdoc.xml · derivative · entry 1 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2028-01-24 F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 25, 2019 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. Read SEC document |
| November 29, 2017 Filed Nov 29, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
GiftCommon Stock | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-019919 · rdgdoc.xml · nonDerivative · entry 7 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Indirect · By Daughter. Disclosed balance after: 1,250 F2 · ownership.direct: The shares are held in an investment account for the benefit of the Reporting Person's daughter. The Reporting Person may be deemed to have indirect beneficial interest in such shares based on his investment control over the daughter's account. Read SEC document |
| November 29, 2017 Filed Nov 29, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
GiftCommon Stock | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-019919 · rdgdoc.xml · nonDerivative · entry 6 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Indirect · By Daughter. Disclosed balance after: 1,250 F1 · ownership.direct: The shares are held in an investment account for the benefit of the Reporting Person's daughter. The Reporting Person may be deemed to have indirect beneficial interest in such shares based on his investment control over the daughter's account. Read SEC document |
| November 29, 2017 Filed Nov 29, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
GiftCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-019919 · rdgdoc.xml · nonDerivative · entry 5 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 2,055 | $3.85 | $7,911.75 |
DisclosureSEC source: 0001437749-17-019919 · rdgdoc.xml · nonDerivative · entry 4 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,500 Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 2,990 | $3.80 | $11,362.00 |
DisclosureSEC source: 0001437749-17-019919 · rdgdoc.xml · nonDerivative · entry 3 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,445 Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 1,310 | $3.75 | $4,912.50 |
DisclosureSEC source: 0001437749-17-019919 · rdgdoc.xml · nonDerivative · entry 2 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,455 Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 1,145 | $3.70 | $4,236.50 |
DisclosureSEC source: 0001437749-17-019919 · rdgdoc.xml · nonDerivative · entry 1 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,145 Read SEC document |
| September 25, 2017 Filed Sep 25, 2017 16:33 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
PurchaseCommon Stock | 300 | $3.78 | $1,132.50 |
DisclosureSEC source: 0001437749-17-016324 · rdgdoc.xml · nonDerivative · entry 1 Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,575 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.