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person · Reporting owner

Kendall Keith J

Disclosed activity across 2 companies

Tapewire entity
112209
SEC CIK
0001406834

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Aquestive Therapeutics, Inc.AQST · Entity 5276Director · CEO and PresidentMarch 10, 2022March 14, 2022
FEMASYS INCFEMY · Entity 7510DirectorJune 14, 2023June 16, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Aquestive Therapeutics, Inc.

Report date March 10, 2022 · Filed March 14, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.55 · Expires 2032-03-10Direct375,000 Reported balance After 2022-03-10 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-03-10 · Grant · Acquired 375,000 · Balance 375,000

F1: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

Filing footnotes · ownership attribution and instrument terms

F1: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

FEMASYS INC

Report date June 14, 2023 · Filed June 16, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.64 · Expires 2033-06-14Direct17,000 Reported balance After 2023-06-14 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-14 · Grant · Acquired 17,000 · Balance 17,000

F1: The shares underlying the stock option will vest in annual one-third (1/3) increments over a three (3) year period beginning on June 14, 2024, assuming continued service.

Filing footnotes · ownership attribution and instrument terms

F1: The shares underlying the stock option will vest in annual one-third (1/3) increments over a three (3) year period beginning on June 14, 2024, assuming continued service.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 14, 2023 Filed Jun 16, 2023 16:41 UTC FEMASYS INC FEMY · Entity 7510 GrantStock Option (Right to Buy) · Derivative 17,000 $0.00 Strike: $0.64 $0.00
Disclosure

SEC source: 0001140361-23-030281 · form4.xml · derivative · entry 1

Kendall Keith J · CIK 0001406834 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2033-06-14

F1 · derivative.exercise_date: The shares underlying the stock option will vest in annual one-third (1/3) increments over a three (3) year period beginning on June 14, 2024, assuming continued service.

Read SEC document
March 10, 2022 Filed Mar 14, 2022 11:24 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GrantNon-Qualified Stock Option (right to buy) · Derivative 375,000 $0.00 Strike: $2.55 $0.00
Disclosure

SEC source: 0001214659-22-003894 · marketforms-55758.xml · derivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

Underlying: Common Stock · 375,000 shares

Expires 2032-03-10

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

Read SEC document
August 26, 2021 Filed Aug 27, 2021 13:39 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GiftCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001214659-21-009051 · marketforms-53684.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for Anna Kendall

Disclosed balance after: 1,000

F1 · kind: On August 26, 2021, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Anna Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F1 · shares: On August 26, 2021, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Anna Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

Read SEC document
August 26, 2021 Filed Aug 27, 2021 13:39 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GiftCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001214659-21-009051 · marketforms-53684.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 636,149

F1 · kind: On August 26, 2021, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Anna Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F1 · shares: On August 26, 2021, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Anna Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

Read SEC document
March 11, 2021 Filed Mar 15, 2021 17:10 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GrantNon-Qualified Stock Option (right to buy) · Derivative 250,000 $0.00 Strike: $5.30 $0.00
Disclosure

SEC source: 0001214659-21-003150 · marketforms-51878.xml · derivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

Read SEC document
December 30, 2020 Filed Jan 4, 2021 16:05 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GiftCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001214659-21-000034 · marketforms-50806.xml · nonDerivative · entry 4

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for William Kendall Conner

Disclosed balance after: 1,000

F3 · kind: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild William Kendall Conner, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F3 · shares: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild William Kendall Conner, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

Read SEC document
December 30, 2020 Filed Jan 4, 2021 16:05 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GiftCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001214659-21-000034 · marketforms-50806.xml · nonDerivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 637,149

F3 · kind: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild William Kendall Conner, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F3 · shares: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild William Kendall Conner, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

Read SEC document
December 30, 2020 Filed Jan 4, 2021 16:05 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GiftCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001214659-21-000034 · marketforms-50806.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for Colin Kendall

Disclosed balance after: 1,000

F1 · kind: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Colin Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F1 · shares: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Colin Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

Read SEC document
December 30, 2020 Filed Jan 4, 2021 16:05 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GiftCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001214659-21-000034 · marketforms-50806.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 638,149

F1 · kind: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Colin Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F1 · shares: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Colin Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 16:00 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 333 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-20-006104 · marketforms-49164.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 333 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 16:00 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 148 $4.86 $719.28
Disclosure

SEC source: 0001214659-20-006104 · marketforms-49164.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 639,149

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 16:00 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 333 $0.00 $0.00
Disclosure

SEC source: 0001214659-20-006104 · marketforms-49164.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 639,297

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
June 04, 2020 Filed Jun 5, 2020 16:05 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 SaleCommon Stock 50,000 $5.11 $255,310.00
Disclosure

SEC source: 0001214659-20-005427 · marketforms-48972.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 638,964

F1 · kind: The sale reported on this Form 4 was effective pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person on May 18, 2020 in order to satisfy the tax obligations of the reporting person resulting from the (i) conversion of the reporting person's then existing performance-based equity interests in the Company to shares of common stock of the Company in connection with the Company's Initial Public Offering in 2018, and (ii) vesting of shares of restricted stock issued to the reporting person by the Company pursuant to the reporting person's employment agreement with the Company.

Read SEC document
May 31, 2020 Filed Jun 2, 2020 17:13 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 14,572 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-20-005338 · marketforms-48933.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
May 31, 2020 Filed Jun 2, 2020 17:13 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 6,492 $4.87 $31,616.04
Disclosure

SEC source: 0001214659-20-005338 · marketforms-48933.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 688,964

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
May 31, 2020 Filed Jun 2, 2020 17:13 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 14,572 $0.00 $0.00
Disclosure

SEC source: 0001214659-20-005338 · marketforms-48933.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 695,456

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 16:16 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 329 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-20-003146 · marketforms-48494.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333

Underlying: Common Stock · 329 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 16:16 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 99 $2.19 $216.81
Disclosure

SEC source: 0001214659-20-003146 · marketforms-48494.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,884

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
March 31, 2020 Filed Apr 2, 2020 16:16 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 329 $0.00 $0.00
Disclosure

SEC source: 0001214659-20-003146 · marketforms-48494.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,983

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
March 16, 2020 Filed Mar 18, 2020 16:46 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 GrantNon-Qualified Stock Option (right to buy) · Derivative 225,000 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0001214659-20-002749 · marketforms-48348.xml · derivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 225,000 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The units subject to the Award shall vest 25% 1st year, 25% 2nd year and 50% 3rd year on the commencement anniversaries.

Read SEC document
February 29, 2020 Filed Mar 3, 2020 19:37 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 14,572 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-20-002183 · marketforms-48059.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,572

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
February 29, 2020 Filed Mar 3, 2020 19:37 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 4,729 $3.73 $17,639.17
Disclosure

SEC source: 0001214659-20-002183 · marketforms-48059.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,654

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
February 29, 2020 Filed Mar 3, 2020 19:37 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 14,572 $0.00 $0.00
Disclosure

SEC source: 0001214659-20-002183 · marketforms-48059.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 685,383

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
December 31, 2019 Filed Jan 2, 2020 14:04 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 329 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-20-000018 · marketforms-47053.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662

Underlying: Common Stock · 329 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
December 31, 2019 Filed Jan 2, 2020 14:04 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 329 $5.82 $1,914.78
Disclosure

SEC source: 0001214659-20-000018 · marketforms-47053.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,656

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
December 31, 2019 Filed Jan 2, 2020 14:04 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 329 $0.00 $0.00
Disclosure

SEC source: 0001214659-20-000018 · marketforms-47053.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,985

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
December 31, 2019 Filed Feb 26, 2020 16:20 UTC Amendment Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 149 $5.82 $867.18
Disclosure

SEC source: 0001214659-20-001882 · marketforms-47921.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,811

F1 · shares: This amendment is being filed solely to amend the number of withheld shares due to a mistake in the number of shares withheld upon vesting of RSUs as reported in the original Form 4 filed on January 2, 2020.

Read SEC document
November 30, 2019 Filed Dec 2, 2019 16:56 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 14,572 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007536 · marketforms-46719.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,144

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
November 30, 2019 Filed Dec 2, 2019 16:56 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 14,572 $7.79 $113,515.88
Disclosure

SEC source: 0001214659-19-007536 · marketforms-46719.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,656

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
November 30, 2019 Filed Dec 2, 2019 16:56 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 14,572 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-007536 · marketforms-46719.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 677,228

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
November 30, 2019 Filed Feb 26, 2020 16:05 UTC Amendment Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 6,597 $7.79 $51,390.63
Disclosure

SEC source: 0001214659-20-001860 · marketforms-47922.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,631

F1 · shares: This amendment is being filed solely to amend the number of withheld shares due to a mistake in the number of shares withheld upon vesting of RSUs as reported in the original Form 4 filed on December 2, 2019.

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September 30, 2019 Filed Oct 2, 2019 16:33 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 329 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-006187 · marketforms-45873.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 991

Underlying: Common Stock · 329 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 16:33 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 150 $3.18 $477.00
Disclosure

SEC source: 0001214659-19-006187 · marketforms-45873.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,656

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
September 30, 2019 Filed Oct 2, 2019 16:33 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 329 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-006187 · marketforms-45873.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,806

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
August 31, 2019 Filed Sep 3, 2019 18:09 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 14,572 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-005619 · marketforms-45657.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,716

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
August 31, 2019 Filed Sep 3, 2019 18:09 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 6,676 $3.80 $25,368.80
Disclosure

SEC source: 0001214659-19-005619 · marketforms-45657.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,477

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
August 31, 2019 Filed Sep 3, 2019 18:09 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 14,572 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-005619 · marketforms-45657.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 669,153

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
August 14, 2019 Filed Aug 20, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 PurchaseCommon Stock 1,000 $3.65 $3,650.00
Disclosure

SEC source: 0001214659-19-005387 · marketforms-45524.xml · nonDerivative · entry 6

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 654,581

Read SEC document
August 14, 2019 Filed Aug 20, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 PurchaseCommon Stock 1,000 $3.70 $3,697.00
Disclosure

SEC source: 0001214659-19-005387 · marketforms-45524.xml · nonDerivative · entry 5

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 653,581

Read SEC document
August 13, 2019 Filed Aug 20, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 PurchaseCommon Stock 1,000 $4.05 $4,045.00
Disclosure

SEC source: 0001214659-19-005387 · marketforms-45524.xml · nonDerivative · entry 4

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 652,581

Read SEC document
August 09, 2019 Filed Aug 20, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 PurchaseCommon Stock 2,000 $4.00 $7,990.00
Disclosure

SEC source: 0001214659-19-005387 · marketforms-45524.xml · nonDerivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 651,581

Read SEC document
August 09, 2019 Filed Aug 20, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 PurchaseCommon Stock 1,000 $3.93 $3,925.00
Disclosure

SEC source: 0001214659-19-005387 · marketforms-45524.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 649,581

Read SEC document
August 09, 2019 Filed Aug 20, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 PurchaseCommon Stock 2,000 $3.84 $7,680.00
Disclosure

SEC source: 0001214659-19-005387 · marketforms-45524.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 648,581

Read SEC document
June 30, 2019 Filed Jul 2, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 329 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-004459 · marketforms-45277.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,320

Underlying: Common Stock · 329 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
June 30, 2019 Filed Jul 2, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 154 $4.20 $646.80
Disclosure

SEC source: 0001214659-19-004459 · marketforms-45277.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 646,581

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
June 30, 2019 Filed Jul 2, 2019 16:30 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 329 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-004459 · marketforms-45277.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 646,735

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
May 31, 2019 Filed Jun 3, 2019 16:15 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 14,572 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-003979 · marketforms-45122.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,288

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

Read SEC document
May 31, 2019 Filed Jun 3, 2019 16:15 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Tax withholdingCommon Stock 6,780 $3.72 $25,221.60
Disclosure

SEC source: 0001214659-19-003979 · marketforms-45122.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 646,406

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

Read SEC document
May 31, 2019 Filed Jun 3, 2019 16:15 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionCommon Stock 14,572 $0.00 $0.00
Disclosure

SEC source: 0001214659-19-003979 · marketforms-45122.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 653,186

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

Read SEC document
March 31, 2019 Filed Apr 1, 2019 16:40 UTC Aquestive Therapeutics, Inc. AQST · Entity 5276 Exercise / conversionRestricted Stock Units · Derivative 329 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001214659-19-002418 · marketforms-44722.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,649

Underlying: Common Stock · 329 shares

Expires not disclosed

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 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

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.