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 |
|---|---|---|---|---|---|---|
| September 14, 2017 Filed Sep 15, 2017 13:30 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 | 138,857 | $3.30 | $458,603.01 |
DisclosureSEC source: 0000899243-17-022122 · doc4.xml · nonDerivative · entry 3 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: 1,791,631 F4 · price: The purchase price represents a weighted average of the purchase price for multiple transactions on the same trading day. The range of purchase prices was $3.25 to $3.35. The Reporting Persons will provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. 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 |
| September 13, 2017 Filed Sep 15, 2017 13:30 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 | 200 | $3.25 | $650.00 |
DisclosureSEC source: 0000899243-17-022122 · doc4.xml · nonDerivative · entry 2 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: 1,652,774 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 |
| September 13, 2017 Filed Sep 15, 2017 13:30 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 | 186,831 | $3.25 | $607,574.41 |
DisclosureSEC source: 0000899243-17-022122 · 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: 1,652,574 F3 · price: The purchase price represents a weighted average of the purchase price for multiple transactions on the same trading day. The range of purchase prices was $3.15 to $3.30. The Reporting Persons will provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price. 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 24, 2017 Filed Aug 25, 2017 16:32 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 5,000 | $2.58 | $12,882.00 |
DisclosureSEC source: 0001437749-17-015335 · rdgdoc.xml · nonDerivative · entry 1 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Read SEC document |
| August 24, 2017 Filed Aug 25, 2017 20:31 UTC |
Johnson Gordon KChief Business Officer
|
PurchaseCommon Stock | 1,000 | $2.63 | $2,626.40 |
DisclosureSEC source: 0001437749-17-015334 · rdgdoc.xml · nonDerivative · entry 3 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| August 24, 2017 Filed Aug 25, 2017 20:31 UTC |
Johnson Gordon KChief Business Officer
|
PurchaseCommon Stock | 2,000 | $2.61 | $5,227.40 |
DisclosureSEC source: 0001437749-17-015334 · rdgdoc.xml · nonDerivative · entry 2 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| August 24, 2017 Filed Aug 25, 2017 20:31 UTC |
Johnson Gordon KChief Business Officer
|
PurchaseCommon Stock | 1,000 | $2.55 | $2,550.00 |
DisclosureSEC source: 0001437749-17-015334 · rdgdoc.xml · nonDerivative · entry 1 Johnson Gordon K · CIK 0001638367 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| June 20, 2017 Filed Jun 21, 2017 13:06 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
PurchaseCommon Stock | 8,000 | $3.45 | $27,592.00 |
DisclosureSEC source: 0001437749-17-011578 · rdgdoc.xml · nonDerivative · entry 1 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Mickle Investments LLC Disclosed balance after: 17,050 F1 · ownership.direct: The Reporting Person and his spouse are the managing members of Mickle Investments, LLC. Read SEC document |
| June 19, 2017 Filed Jun 21, 2017 08:57 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
PurchaseCommon Stock | 275 | $3.30 | $907.50 |
DisclosureSEC source: 0001437749-17-011574 · rdgdoc.xml · nonDerivative · entry 1 Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,275 Read SEC document |
| May 25, 2017 Filed May 26, 2017 16:05 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 526 | $4.14 | $2,180.22 |
DisclosureSEC source: 0001437749-17-010179 · rdgdoc.xml · nonDerivative · entry 2 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| May 25, 2017 Filed May 26, 2017 16:05 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 1,974 | $4.10 | $8,093.40 |
DisclosureSEC source: 0001437749-17-010179 · rdgdoc.xml · nonDerivative · entry 1 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,474 Read SEC document |
| May 23, 2017 Filed May 24, 2017 23:52 UTC |
Tierney David SDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001437749-17-010023 · rdgdoc.xml · derivative · entry 1 Tierney David S · CIK 0001292636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-05-22 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 23, 2017. 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 23, 2017 Filed May 24, 2017 21:32 UTC |
Thompson Danny LDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001437749-17-010012 · rdgdoc.xml · derivative · entry 1 Thompson Danny L · CIK 0001638363 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-05-22 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 23, 2017. 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 23, 2017 Filed May 24, 2017 21:30 UTC |
Saluri JosephDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001437749-17-010010 · rdgdoc.xml · derivative · entry 1 Saluri Joseph · CIK 0001512131 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-05-22 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 23, 2017. 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 23, 2017 Filed May 24, 2017 21:30 UTC |
Plooster Matthew RDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001437749-17-010009 · rdgdoc.xml · derivative · entry 1 Plooster Matthew R · CIK 0001638364 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-05-22 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 23, 2017. 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 23, 2017 Filed May 24, 2017 21:26 UTC |
Pascoe Richard WDirector
|
GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0001437749-17-010005 · rdgdoc.xml · derivative · entry 1 Pascoe Richard W · CIK 0001343266 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-05-22 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 23, 2017. 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, 2017 Filed Jun 21, 2017 13:06 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 18,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-011578 · 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: 141,356 Read SEC document |
| May 22, 2017 Filed Jun 21, 2017 13:06 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 32,269 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-011578 · 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: 53,638 Read SEC document |
| May 22, 2017 Filed Jun 21, 2017 13:06 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 18,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-011578 · 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: 1,647,806 Read SEC document |
| May 22, 2017 Filed Jun 21, 2017 13:06 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 32,269 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-011578 · 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: 1,629,612 Read SEC document |
| March 31, 2017 Filed Mar 31, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 1,000 | $4.70 | $4,700.00 |
DisclosureSEC source: 0001437749-17-005785 · rdgdoc.xml · nonDerivative · entry 2 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Read SEC document |
| March 29, 2017 Filed Mar 31, 2017 16:24 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
PurchaseCommon Stock | 1,500 | $4.33 | $6,502.05 |
DisclosureSEC source: 0001437749-17-005785 · rdgdoc.xml · nonDerivative · entry 1 Cohen Daniel L · CIK 0001672300 · EVP, Govt. & Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,500 Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 16:28 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
PurchaseCommon Stock | 100 | $4.24 | $424.36 |
DisclosureSEC source: 0001437749-17-005323 · rdgdoc.xml · nonDerivative · entry 2 Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| March 24, 2017 Filed Mar 27, 2017 16:28 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
PurchaseCommon Stock | 900 | $4.24 | $3,819.33 |
DisclosureSEC source: 0001437749-17-005323 · rdgdoc.xml · nonDerivative · entry 1 Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900 Read SEC document |
| March 22, 2017 Filed Mar 24, 2017 20:34 UTC |
Mickle Christal M MVP, Operations & Product Dvlp. · 10% owner
|
PurchaseCommon Stock | 2,000 | $4.10 | $8,199.00 |
DisclosureSEC source: 0001437749-17-005236 · rdgdoc.xml · nonDerivative · entry 1 Mickle Christal M M · CIK 0001638366 · VP, Operations & Product Dvlp. · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Mickle Investments LLC Disclosed balance after: 9,050 F1 · ownership.direct: The Reporting Person and her spouse are the managing members of Mickle Investments LLC. Read SEC document |
| March 22, 2017 Filed Mar 24, 2017 20:29 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
PurchaseCommon Stock | 2,000 | $4.10 | $8,199.00 |
DisclosureSEC source: 0001437749-17-005232 · rdgdoc.xml · nonDerivative · entry 1 Mickle Travis C · CIK 0001638365 · Director · President & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Mickle Investments LLC Disclosed balance after: 9,050 F1 · ownership.direct: The Reporting Person and his spouse are the managing members of Mickle Investments, LLC. Read SEC document |
| March 20, 2017 Filed Mar 21, 2017 20:13 UTC |
Tierney David SDirector
|
PurchaseCommon Stock | 1,000 | $4.20 | $4,199.90 |
DisclosureSEC source: 0001437749-17-005006 · rdgdoc.xml · nonDerivative · entry 1 Tierney David S · CIK 0001292636 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 17:06 UTC |
Cohen Daniel LEVP, Govt. & Public Relations
|
GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001437749-17-001395 · 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 2027-01-26 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 27, 2018 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 27, 2017 Filed Jan 31, 2017 16:58 UTC |
Clifton R. LaDuaneCFO, Secretary & Treasurer
|
GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001437749-17-001389 · 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 2027-01-26 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 27, 2018 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 27, 2017 Filed Jan 31, 2017 22:04 UTC |
Guenther SvenEVP, Research & Development
|
GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001437749-17-001393 · 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 2027-01-26 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 27, 2018 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 27, 2017 Filed Jan 31, 2017 22:02 UTC |
Johnson Gordon KChief Business Officer
|
GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001437749-17-001391 · 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 2027-01-26 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 27, 2018 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 27, 2017 Filed Jan 31, 2017 21:56 UTC |
Mickle Christal M MVP, Operations & Product Dvlp. · 10% owner
|
GrantStock Option (right to buy) · Derivative | 225,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001437749-17-001387 · rdgdoc.xml · derivative · entry 2 Mickle Christal M M · CIK 0001638366 · VP, Operations & Product Dvlp. · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2027-01-26 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 27, 2018 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 27, 2017 Filed Jan 31, 2017 21:56 UTC |
Mickle Christal M MVP, Operations & Product Dvlp. · 10% owner
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001437749-17-001387 · rdgdoc.xml · derivative · entry 1 Mickle Christal M M · CIK 0001638366 · VP, Operations & Product Dvlp. · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-01-26 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 27, 2018 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 27, 2017 Filed Jan 31, 2017 21:53 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001437749-17-001385 · 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 2027-01-26 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 27, 2018 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 27, 2017 Filed Jan 31, 2017 21:53 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GrantStock Option (right to buy) · Derivative | 225,000 | $0.00 Strike: $3.55 | $0.00 |
DisclosureSEC source: 0001437749-17-001385 · 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 2027-01-26 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 27, 2018 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 27, 2017 Filed Mar 24, 2017 20:34 UTC |
Mickle Christal M MVP, Operations & Product Dvlp. · 10% owner
|
GiftCommon Stock | 71,262 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005236 · rdgdoc.xml · nonDerivative · entry 5 Mickle Christal M M · CIK 0001638366 · VP, Operations & Product Dvlp. · 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: 159,550 Read SEC document |
| January 27, 2017 Filed Mar 24, 2017 20:34 UTC |
Mickle Christal M MVP, Operations & Product Dvlp. · 10% owner
|
GiftCommon Stock | 144,905 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005236 · rdgdoc.xml · nonDerivative · entry 4 Mickle Christal M M · CIK 0001638366 · VP, Operations & Product Dvlp. · 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: 85,907 Read SEC document |
| January 27, 2017 Filed Mar 24, 2017 20:34 UTC |
Mickle Christal M MVP, Operations & Product Dvlp. · 10% owner
|
GiftCommon Stock | 71,262 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005236 · rdgdoc.xml · nonDerivative · entry 3 Mickle Christal M M · CIK 0001638366 · VP, Operations & Product Dvlp. · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 1,597,343 Read SEC document |
| January 27, 2017 Filed Mar 24, 2017 20:34 UTC |
Mickle Christal M MVP, Operations & Product Dvlp. · 10% owner
|
GiftCommon Stock | 144,905 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005236 · rdgdoc.xml · nonDerivative · entry 2 Mickle Christal M M · CIK 0001638366 · VP, Operations & Product Dvlp. · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 1,526,081 Read SEC document |
| January 27, 2017 Filed Mar 24, 2017 20:29 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 71,262 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005232 · 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: 159,550 Read SEC document |
| January 27, 2017 Filed Mar 24, 2017 20:29 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 144,905 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005232 · 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: 85,907 Read SEC document |
| January 27, 2017 Filed Mar 24, 2017 20:29 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 71,262 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005232 · 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: 1,597,343 Read SEC document |
| January 27, 2017 Filed Mar 24, 2017 20:29 UTC |
Mickle Travis CDirector · President & CEO · 10% owner
|
GiftCommon Stock | 144,905 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-005232 · 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: 1,526,081 Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 09:00 UTC |
Cohen Daniel LEVP, Govt and Public Relations
|
PurchaseCommon Stock | 4,253 | $3.50 | $14,885.50 |
DisclosureSEC source: 0001562180-16-003645 · primarydocument.xml · nonDerivative · entry 2 Cohen Daniel L · CIK 0001672300 · EVP, Govt and Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 09:00 UTC |
Cohen Daniel LEVP, Govt and Public Relations
|
PurchaseCommon Stock | 747 | $3.48 | $2,595.83 |
DisclosureSEC source: 0001562180-16-003645 · primarydocument.xml · nonDerivative · entry 1 Cohen Daniel L · CIK 0001672300 · EVP, Govt and Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,747 Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 16:22 UTC |
Cohen Daniel LEVP, Govt and Public Relations
|
PurchaseCommon Stock | 3,690 | $5.01 | $18,490.59 |
DisclosureSEC source: 0001437749-16-038425 · rdgdoc.xml · nonDerivative · entry 5 Cohen Daniel L · CIK 0001672300 · EVP, Govt and Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 16:22 UTC |
Cohen Daniel LEVP, Govt and Public Relations
|
PurchaseCommon Stock | 1,000 | $4.60 | $4,599.90 |
DisclosureSEC source: 0001437749-16-038425 · rdgdoc.xml · nonDerivative · entry 4 Cohen Daniel L · CIK 0001672300 · EVP, Govt and Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,310 Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 16:22 UTC |
Cohen Daniel LEVP, Govt and Public Relations
|
PurchaseCommon Stock | 2,000 | $4.59 | $9,187.80 |
DisclosureSEC source: 0001437749-16-038425 · rdgdoc.xml · nonDerivative · entry 3 Cohen Daniel L · CIK 0001672300 · EVP, Govt and Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,310 Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 16:22 UTC |
Cohen Daniel LEVP, Govt and Public Relations
|
PurchaseCommon Stock | 2,000 | $4.59 | $9,179.80 |
DisclosureSEC source: 0001437749-16-038425 · rdgdoc.xml · nonDerivative · entry 2 Cohen Daniel L · CIK 0001672300 · EVP, Govt and Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,310 Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 16:22 UTC |
Cohen Daniel LEVP, Govt and Public Relations
|
PurchaseCommon Stock | 1,310 | $4.59 | $6,012.77 |
DisclosureSEC source: 0001437749-16-038425 · rdgdoc.xml · nonDerivative · entry 1 Cohen Daniel L · CIK 0001672300 · EVP, Govt and Public Relations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,310 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.