Pascoe Richard W

SEC source: 0001104659-24-002386 · tm242318-4_4seq1.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,666

Underlying: Common Stock · 1,666 shares

Expires 2034-01-04

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 4, 2024, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001437749-23-006274 · rdgdoc.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,973

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.16 to $4.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001437749-23-001059 · rdgdoc.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,973

SEC source: 0001437749-23-000914 · rdgdoc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common Stock · 700,000 shares

Expires 2033-01-08

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 6, 2024 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.

SEC source: 0001136261-23-000008 · ownership.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 5, 2023, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001437749-22-012933 · rdgdoc.xml · nonDerivative · entry 7

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,285

SEC source: 0001437749-22-012933 · rdgdoc.xml · nonDerivative · entry 6

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,952

SEC source: 0001437749-22-012933 · rdgdoc.xml · nonDerivative · entry 5

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,252

SEC source: 0001437749-22-012933 · rdgdoc.xml · nonDerivative · entry 4

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,485

SEC source: 0001437749-22-012933 · rdgdoc.xml · nonDerivative · entry 3

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,085

SEC source: 0001437749-22-012933 · rdgdoc.xml · nonDerivative · entry 2

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,685

SEC source: 0001437749-22-012933 · rdgdoc.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,585

SEC source: 0001437749-22-002398 · rdgdoc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,286

Underlying: Common Stock · 127,286 shares

Expires 2032-01-31

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on February 1, 2023 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.

SEC source: 0001136261-22-000021 · ownership.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-01-05

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 5, 2022, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001437749-21-027582 · rdgdoc.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,285

SEC source: 0001437749-21-026229 · rdgdoc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-11-09

F1 · kind: Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan").

F2 · derivative.exercise_date: 50% of the shares will vest in four equal annual installments beginning on November 10, 2022, subject to Reporting Person's continued service as of each such vesting date; the remaining 50% of the shares will vest upon the closing of the earlier of (x) a "Change in Control" (as defined in the Plan) of the Company or (y) a transformative business development transaction, as determined in the discretion of the Board of Directors (together, the "Transactions"); provided that the definitive agreement for either of the Transactions is executed on or prior to November 10, 2022 and the Reporting Person is, immediately prior to the time of the closing of either of the Transactions, still serving as Executive Chairman or as another executive officer. All unvested outstanding time-based options granted to the Reporting Person, shall accelerate so as to be fully vested and immediately exercisable immediately prior to any Change in Control of the Company.

SEC source: 0001437749-21-015179 · 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 2031-06-16

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Capital Market on the date of grant, June 17, 2021.

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 sixth 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.

SEC source: 0001209191-21-023623 · doc4.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · President, CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

SEC source: 0001209191-21-003760 · doc4.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · President, CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,000

Underlying: Common Stock · 346,000 shares

Expires 2031-01-13

F1 · derivative.exercise_date: 1/4 of the shares subject to the option vest one year after the date of grant, on 1/13/2022, and the remaining 1/36 of the shares vest on a monthly basis thereafter.

SEC source: 0001136261-21-000002 · primary_doc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2031-01-06

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 6, 2021, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001209191-20-061926 · doc4.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · President, CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.2385 to $1.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

SEC source: 0001437749-20-018279 · rdgdoc.xml · nonDerivative · entry 3

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,573

SEC source: 0001437749-20-018279 · rdgdoc.xml · nonDerivative · entry 2

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,773

SEC source: 0001437749-20-018279 · rdgdoc.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,773

SEC source: 0001437749-20-013588 · 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 2030-06-18

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the OTCQB Venture Market on the date of grant, June 19, 2020.

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 fourth 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.

SEC source: 0001136261-20-000012 · primary_doc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-01-06

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on February 6, 2020, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0001437749-19-013390 · rdgdoc.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,573

F1 · shares: Grant to the Reporting Person of a fully vested restricted stock award ("RSA") under the Issuer's 2014 Equity Incentive Plan. The RSA was granted to the Reporting Person in lieu of the quarterly cash compensation payable to the Reporting Person pursuant to the Issuer's Third Amended and Restated Non-Employee Director Compensation Policy.

SEC source: 0001437749-19-009884 · rdgdoc.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,645

F1 · shares: Grant to the Reporting Person of a fully vested restricted stock award ("RSA") under the Issuer's 2014 Equity Incentive Plan. The RSA was granted to the Reporting Person in lieu of the quarterly cash compensation payable to the Reporting Person pursuant to the Issuer's Third Amended and Restated Non-Employee Director Compensation Policy.

SEC 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.

SEC source: 0001136261-19-000107 · primary_doc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2029-03-20

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on April 20, 2019, and 1/12th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0000899243-20-014480 · doc4.xml · derivative · entry 2

Pascoe Richard W · CIK 0001343266 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,071

Underlying: Common Stock · 194,071 shares

Expires 2029-01-24

F3 · derivative.exercise_date: 10% of the shares subject to the option vested on the closing of the merger and the remaining 30% of the shares subject to the option vest upon the date, if any, that the market capitalization of the combined company exceeds each of $200,000,000, $275,000,000, and $300,000,000. Shares subject to the option and the exercise price have been adjusted based upon the Conversion and Reverse Split.

SEC source: 0000899243-20-014480 · doc4.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,107

Underlying: Common Stock · 291,107 shares

Expires 2029-01-24

F1 · timeliness: Shares of common stock of the corporation formerly known as Histogen Inc. ("Histogen") were converted into shares of common stock of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of January 28, 2020, by and among the Issuer, Chinook Merger Sub, Inc. and Histogen (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of Histogen common stock was exchanged for 1.4342 shares of the Issuer's common stock (the "Conversion"). Immediately following the merger, the Issuer changed its name to Histogen Inc. All share numbers reflect the one-for-ten reverse stock split (the "Reverse Split") effected by the Issuer immediately prior to the completion of the merger.

F2 · derivative.exercise_date: 25% of the shares subject to the option vested on 01/24/2020 and 1/48 of the share subject to the option shall vest monthly thereafter. Shares subject to the option and the exercise price have been adjusted based upon the Conversion and Reverse Split.

SEC source: 0000899243-19-001841 · doc4.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · CEO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,396

F1 · shares: Represents shares forfeited by Reporting Person to cover certain tax liabilities incident to the vesting of the security.

SEC source: 0000899243-18-029911 · doc4.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · CEO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,206

F1 · shares: Represents shares forfeited by Reporting Person to cover certain tax liabilities incident to the vesting of the security.

SEC 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.

SEC source: 0001017491-18-000004 · wf-form4_151502669108006.xml · derivative · entry 2

Pascoe Richard W · CIK 0001343266 · Director · CEO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,000

Underlying: Common Stock · 245,000 shares

Expires 2028-01-03

F2 · derivative.exercise_date: This option shall vest with respect to one-fourth of the underlying shares upon the first anniversary of the grant date, and then with respect to the remaining shares monthly thereafter over the next three years so the option will be fully vested as of 1/3/2022, subject to the Reporting Person's continued employment or service to the Issuer through such date.

SEC source: 0001017491-18-000004 · wf-form4_151502669108006.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · CEO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,496

F1 · shares: Represents shares forfeited by Reporting Person to cover certain tax liabilities incident to the vesting of the security.

SEC source: 0001017491-17-000100 · wf-form4_150481492837171.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · CEO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,175

SEC source: 0001017491-17-000086 · wf-form4_149669341395034.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · CEO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,965

F1 · kind: Award of 100,000 Restricted Stock Units ("RSUs") under the Issuer's Amended and Restated 2012 Stock Long Term Incentive Plan with half of the underlying shares vesting in the first open trading window following the Issuer's submission of Vitaros in the United States to the Food and Drug Administration ("FDA") and the other half of the underlying shares vesting in the first open trading window following the Issuer's receipt of marketing approval of Vitaros in the United States by the FDA, subject to the Reporting Person's continued employment or service to the Issuer through such date and subject to accelerated vesting upon a change in control of the Issuer.

F2 · price: Not Applicable.

SEC 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.

SEC source: 0001017491-17-000035 · wf-form4_149038633961769.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · CEO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,965

SEC source: 0001017491-17-000013 · wf-form4_148374898653555.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · CEO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,677

F1 · kind: Award of 100,000 Restricted Stock Units ("RSUs") under the Issuer's 2012 Stock Long Term Incentive Plan with half of the underlying shares vesting in the first open trading window following the Issuer's receipt of marketing approval of Vitaros in the United States by the Food and Drug Administration and the other half of the underlying shares fully vesting on November 30, 2018, subject to the Reporting Person's continued employment or service to the Issuer through such date and subject to accelerated vesting upon a change in control of the Issuer.

F2 · price: Not applicable.