13,650 XNAS Volume
XNAS 19 Mar, 2025 5:30 PM (EDT)
| Client Name | Client Category | Action | Reported to Exchange | Quantity | Post Transaction Holding | Traded % | Avg. Price | Value | Security Type |
|---|---|---|---|---|---|---|---|---|---|
| Marshall Woodworth | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 1.46 per share. | 01 Mar 2025 | 3,417 | 30,079 (0%) | 0% | 1.5 | 4,989 | Common Stock |
| Hyung Heon Kim | Director, CEO & President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 1.46 per share. | 01 Mar 2025 | 2,795 | 61,004 (0%) | 0% | 1.5 | 4,081 | Common Stock |
| Hyung Heon Kim | Director, CEO & President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 2.55 per share. | 30 Nov 2024 | 2,867 | 63,799 (0%) | 0% | 2.6 | 7,311 | Common Stock |
| Hyung Heon Kim | Director, CEO & President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 3.60 per share. | 11 Aug 2024 | 11,467 | 66,666 (0%) | 0% | 3.6 | 41,281 | Common Stock |
| Andrew I. Koven | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 07 Jun 2024 | 5,051 | 17,552 (0%) | 0% | 0 | Common Stock | |
| D. Gordon Strickland | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 07 Jun 2024 | 5,051 | 17,552 (0%) | 0% | 0 | Common Stock | |
| Mark A. Glickman | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 07 Jun 2024 | 5,051 | 9,740 (0%) | 0% | 0 | Common Stock | |
| Jason L. Groves | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 07 Jun 2024 | 5,051 | 17,552 (0%) | 0% | 0 | Common Stock | |
| James Patrick Tursi | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 07 Jun 2024 | 5,051 | 9,072 (0%) | 0% | 0 | Common Stock | |
| Michael Salsbury | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 07 Jun 2024 | 5,051 | 17,552 (0%) | 0% | 0 | Common Stock | |
| Marshall Woodworth | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Mar 2024 | 33,496 | 33,496 (0%) | 0% | 0 | Common Stock | |
| Tursi Patrick James | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Dec 2023 | 25,000 | 25,000 (0%) | 0% | 0 | Common Stock | |
| James Patrick Tursi | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Dec 2023 | 7,157 | 32,157 (0%) | 0% | 0 | Common Stock | |
| Hyung Heon Kim | Director, CEO & President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Aug 2023 | 625,064 | 625,064 (4%) | 4% | 0 | Common Stock | |
| Andrew I. Koven | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 12,500 | 100,000 (0%) | 0% | 0 | Common Stock | |
| Andrew I. Koven | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 87,500 | 87,500 (0%) | 0% | 0 | Common Stock | |
| D. Gordon Strickland | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 87,500 | 87,500 (0%) | 0% | 0 | Common Stock | |
| D. Gordon Strickland | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 12,500 | 100,000 (0%) | 0% | 0 | Common Stock | |
| Mark A. Glickman | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 25,000 | 25,000 (0%) | 0% | 0 | Common Stock | |
| Mark A. Glickman | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 12,500 | 37,500 (0%) | 0% | 0 | Common Stock | |
| Jason L. Groves | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 12,500 | 100,000 (0%) | 0% | 0 | Common Stock | |
| Jason L. Groves | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 87,500 | 87,500 (0%) | 0% | 0 | Common Stock | |
| Michael Salsbury | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 12,500 | 100,000 (0%) | 0% | 0 | Common Stock | |
| Michael Salsbury | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 87,500 | 87,500 (0%) | 0% | 0 | Common Stock | |
| Na Yeon Kim | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 12,500 | 101,459 (0%) | 0% | 0 | Common Stock | |
| Na Yeon Kim | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jul 2023 | 87,500 | 88,959 (0%) | 0% | 0 | Common Stock | |
| Na Yeon Kim | Director, Ten Percent Owner | Other type of transaction at price $ 0.00 per share. | 26 Jul 2022 | 4,671 | 4,671 (0%) | 0% | 0 | Common Stock | |
| Andrew I. Koven | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 09 Jun 2022 | 20,000 | 20,000 | - | - | Nonstatutory Stock Option (right to buy) | |
| D. Gordon Strickland | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 09 Jun 2022 | 20,000 | 20,000 | - | - | Nonstatutory Stock Option (right to buy) | |
| Jason L. Groves | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 09 Jun 2022 | 20,000 | 20,000 | - | - | Nonstatutory Stock Option (right to buy) | |
| Michael Salsbury | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 09 Jun 2022 | 20,000 | 20,000 | - | - | Nonstatutory Stock Option (right to buy) | |
| Na Yeon Kim | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 09 Jun 2022 | 20,000 | 20,000 | - | - | Nonstatutory Stock Option (right to buy) | |
| Jeong Gu Kang | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 09 Jun 2022 | 20,000 | 20,000 | - | - | Nonstatutory Stock Option (right to buy) | |
| Hyung Heon Kim | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 09 Jun 2022 | 20,000 | 20,000 | - | - | Nonstatutory Stock Option (right to buy) | |
| D. Gordon Strickland | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 27 Jan 2022 | 40,000 | 40,000 | - | - | Non-qualified Stock Option (right to buy) | |
| Andrew I. Koven | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 02 Sep 2021 | 60,000 | 60,000 | - | - | Nonstatutory Stock Option (right to buy) | |
| Douglas J. Swirsky | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Sep 2020 | 60,000 | 60,000 | - | - | Non-qualified stock option (right to buy) | |
| Jason L. Groves | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jan 2020 | 60,000 | 60,000 | - | - | Non-qualified stock option (right to buy) | |
| Steven R. Gullans | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jan 2020 | 60,000 | 60,000 | - | - | Non-qualified stock option (right to buy) | |
| Michael Salsbury | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jan 2020 | 60,000 | 60,000 | - | - | Non-qualified stock option (right to buy) | |
| Na Yeon Kim | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jan 2020 | 60,000 | 60,000 | - | - | Non-qualified stock option (right to buy) | |
| Jeong Gyun Oh | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jan 2020 | 60,000 | 60,000 | - | - | Non-qualified stock option (right to buy) | |
| Mark Versavel | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Dec 2019 | 45,724 | 45,724 | - | - | Stock Option (right to buy) | |
| Mark Versavel | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Dec 2019 | 297,206 | 297,206 | - | - | Stock Option (right to buy) | |
| Na Yeon Kim | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Dec 2019 | 4,335,800 | 4,335,800 (27%) | 27% | - | Common Stock | |
| Na Yeon Kim | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Dec 2019 | 1,864,799 | 1,864,799 (11%) | 11% | - | Common Stock | |
| Na Yeon Kim | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Dec 2019 | 1,121,190 | 1,121,190 (7%) | 7% | - | Common Stock | |
| Jeong Gyun Oh | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Dec 2019 | 1,817,842 | 1,817,842 (11%) | 11% | - | Common Stock | |
| Jeong Gyun Oh | Director, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Dec 2019 | 240,051 | 240,051 (1%) | 1% | - | Common Stock | |
| Charles L. Bisgaier | Director, Chief Scientific Off. & Chair, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jul 2019 | 100,000 | 1,348,914 (8%) | 0% | 0 | Common Stock | |
| Pedro Lichtinger | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jul 2019 | 15,000 | 74,833 (0%) | 0% | 0 | Common Stock | |
| Steven R. Gullans | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jul 2019 | 300,000 | 300,000 (1%) | 2% | 0 | Common Stock | |
| Andrew H. Sassine | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jul 2019 | 15,000 | 151,264 (0%) | 0% | 0 | Common Stock | |
| Seth Reno | Chief Commercial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jul 2019 | 100,000 | 118,286 (0%) | 0% | 0 | Common Stock | |
| Kenneth Kousky | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jul 2019 | 15,000 | 26,935 (0%) | 0% | 0 | Common Stock | |
| Steven R. Gullans | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 22 May 2018 | 50,000 | 50,000 | - | - | Employee Stock Option (right to buy) | |
| Steven R. Gullans | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 22 May 2018 | 50,000 | 50,000 | - | - | Employee Stock Option (right to buy) | |
| Steven R. Gullans | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 May 2018 | 150,000 | 150,000 | - | - | Employee Stock Option (right to buy) | |
| Steven R. Gullans | Director, Interim President & CEO | Purchase of securities on an exchange or from another person at price $ 7.00 per share. | 08 Feb 2018 | 71,429 | 930,252 (8%) | 0% | 7 | 500,003 | Common Stock |
| Seth Reno | Chief Commercial Officer | Purchase of securities on an exchange or from another person at price $ 7.00 per share. | 08 Feb 2018 | 14,286 | 18,286 (0%) | 0% | 7 | 100,002 | Common Stock |
| Pedro Lichtinger | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Jan 2018 | 10,800 | 10,800 | - | - | Stock Option(right to buy) | |
| Steven R. Gullans | Director, Interim President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Jan 2018 | 60,000 | 60,000 | - | - | Employee Stock Option (right to buy) | |
| Andrew H. Sassine | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Jan 2018 | 10,800 | 10,800 | - | - | Stock Option (right to buy) | |
| P. Kent Hawryluk | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Jan 2018 | 10,800 | 10,800 | - | - | Stock Option (right to buy) | |
| Kenneth Kousky | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Jan 2018 | 10,800 | 10,800 | - | - | Stock Option (right to buy) | |
| Charles L. Bisgaier | Director, Chief Scien Officer & Chair, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Jan 2018 | 48,000 | 48,000 | - | - | Stock Option (right to buy) | |
| Jeffrey S. Mathiesen | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Jan 2018 | 48,000 | 48,000 | - | - | Employee Stock Option (right to buy) | |
| Seth Reno | Chief Commercial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Jan 2018 | 48,000 | 48,000 | - | - | Employee Stock Option (right to buy) | |
| Lee Scott Golden | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Jan 2018 | 148,000 | 148,000 | - | - | Employee Stock Option (right to buy) | |
| Jeffrey S. Mathiesen | Chief Financial Officer | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 14 Aug 2017 | 3,207 | 0 | - | - | Employee Stock Option (right to buy) | |
| Jeffrey S. Mathiesen | Chief Financial Officer | Exercise or conversion of derivative security received from the company (such as an option) at price $ 3.59 per share. | 14 Aug 2017 | 3,207 | 14,134 (0%) | 0% | 3.6 | 11,513 | Common Stock |
| Jeffrey S. Mathiesen | Chief Financial Officer | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 10 Aug 2017 | 3,000 | 45,093 | - | - | Employee Stock Option (right to buy) | |
| Jeffrey S. Mathiesen | Chief Financial Officer | Exercise or conversion of derivative security received from the company (such as an option) at price $ 3.59 per share. | 10 Aug 2017 | 3,000 | 10,927 (0%) | 0% | 3.6 | 10,770 | Common Stock |
| Charles L. Bisgaier | Director, Chief Scientific Off. & Chair, Ten Percent Owner | Exercise or conversion of derivative security received from the company (such as an option) at price $ 1.34 per share. | 31 Jul 2017 | 4,474 | 1,248,914 (11%) | 0% | 1.3 | 6,013 | Common Stock |
| Charles L. Bisgaier | Director, Chief Scientific Off. & Chair, Ten Percent Owner | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 31 Jul 2017 | 4,474 | 0 | - | - | Employee Stock Option (right to buy) | |
| Steven R. Gullans | Director, Interim President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 May 2017 | 60,000 | 60,000 | - | - | Employee Stock Option (right to buy) | |
| Lee Scott Golden | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Mar 2017 | 20,000 | 20,000 | - | - | Employee Stock Option (right to buy) | |
| Pedro Lichtinger | None | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Mar 2017 | 7,920 | 7,920 | - | - | Warrant to Purchase Common Stock | |
| Pedro Lichtinger | None | Purchase of securities on an exchange or from another person at price $ 9.47 per share. | 10 Mar 2017 | 10,559 | 59,833 (0%) | 0% | 9.5 | 99,994 | Common Stock |
| Steven R. Gullans | None | Purchase of securities on an exchange or from another person at price $ 9.47 per share. | 10 Mar 2017 | 52,798 | 858,823 (9%) | 0% | 9.5 | 499,997 | Common Stock |
| Steven R. Gullans | None | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Mar 2017 | 39,599 | 39,599 | - | - | Warrant to Purchase Common Stock | |
| Andrew H. Sassine | None | Purchase of securities on an exchange or from another person at price $ 9.47 per share. | 10 Mar 2017 | 21,119 | 136,264 (1%) | 0% | 9.5 | 199,997 | Common Stock |
| Andrew H. Sassine | None | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Mar 2017 | 15,840 | 15,840 | - | - | Warrant to Purchase Common Stock | |
| P. Kent Hawryluk | None | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Mar 2017 | 18,750 | 18,750 | - | - | Warrant to Purchase Common Stock | |
| P. Kent Hawryluk | None | Purchase of securities on an exchange or from another person at price $ 9.47 per share. | 10 Mar 2017 | 25,000 | 81,889 (0%) | 0% | 9.5 | 236,750 | Common Stock |
| Kenneth Kousky | None | Other type of transaction at price $ 0.00 per share. | 01 Feb 2017 | 110,428 | 6,463 (0%) | 1% | 0 | Common Stock | |
| Kenneth Kousky | None | Other type of transaction at price $ 0.00 per share. | 01 Feb 2017 | 101,406 | 4,472 (0%) | 1% | 0 | Common Stock | |
| Mina Sooch | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 25 Nov 2016 | 120,000 | 600,000 | - | - | Employee Stock Option (right to buy) | |
| Lee Scott Golden | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 05 Oct 2016 | 126,000 | 126,000 | - | - | Employee Stock Option (right to buy) | |
| Mina Sooch | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 30 Sep 2016 | 120,000 | 480,000 | - | - | Employee Stock Option (right to buy) | |
| Jeffrey S. Mathiesen | Chief Financial Officer | 10 Aug 2016 | 3,927 | 3,927 | - | - | Common Stock | ||
| Jeffrey S. Mathiesen | Chief Financial Officer | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 4,000 | 7,927 | - | - | Common Stock | |
| Charles L. Bisgaier | Director, Chair & Chief Scientific Off., Ten Percent Owner | 10 Aug 2016 | 59,561 | 0 | - | - | Series A Convertible Preferred Stock | ||
| Charles L. Bisgaier | Director, Chair & Chief Scientific Off., Ten Percent Owner | 10 Aug 2016 | 59,561 | 59,561 | - | - | Common Stock | ||
| Charles L. Bisgaier | Director, Chair & Chief Scientific Off., Ten Percent Owner | Other type of transaction at price $ 0.00 per share. | 10 Aug 2016 | 6,515 | 66,076 | - | - | Common Stock | |
| Charles L. Bisgaier | Director, Chair & Chief Scientific Off., Ten Percent Owner | 10 Aug 2016 | 16,144 | 82,220 | - | - | Common Stock | ||
| Charles L. Bisgaier | Director, Chair & Chief Scientific Off., Ten Percent Owner | 10 Aug 2016 | 19,228 | 19,228 | - | - | Common Stock | ||
| Charles L. Bisgaier | Director, Chair & Chief Scientific Off., Ten Percent Owner | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 51,750 | 1,244,440 | - | - | Common Stock | |
| Pedro Lichtinger | None | 10 Aug 2016 | 39,274 | 39,274 | - | - | Common Stock | ||
| Pedro Lichtinger | None | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 10,000 | 49,274 | - | - | Common Stock | |
| Mina Sooch | Director, President & CEO | 10 Aug 2016 | 11,078 | 0 | - | - | Series A Convertible Preferred Stock | ||
| Mina Sooch | Director, President & CEO | 10 Aug 2016 | 11,078 | 11,078 | - | - | Common Stock | ||
| Mina Sooch | Director, President & CEO | Other type of transaction at price $ 0.00 per share. | 10 Aug 2016 | 1,212 | 12,290 | - | - | Common Stock | |
| Mina Sooch | Director, President & CEO | 10 Aug 2016 | 27,141 | 39,431 | - | - | Common Stock | ||
| Mina Sooch | Director, President & CEO | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 52,500 | 693,732 | - | - | Common Stock | |
| Steven R. Gullans | None | 10 Aug 2016 | 306,025 | 306,025 | - | - | Common Stock | ||
| Steven R. Gullans | None | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 500,000 | 806,025 | - | - | Common Stock | |
| Andrew H. Sassine | None | 10 Aug 2016 | 75,080 | 0 | - | - | Series A Convertible Preferred Stock | ||
| Andrew H. Sassine | None | 10 Aug 2016 | 75,080 | 75,080 | - | - | Common Stock | ||
| Andrew H. Sassine | None | Other type of transaction at price $ 0.00 per share. | 10 Aug 2016 | 8,212 | 83,292 | - | - | Common Stock | |
| Andrew H. Sassine | None | 10 Aug 2016 | 31,853 | 115,145 | - | - | Common Stock | ||
| Seth Reno | Chief Commercial Officer | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 4,000 | 4,000 | - | - | Common Stock | |
| David Lowenschuss | Chief Legal Off. & Secretary | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 11,120 | 806,247 | - | - | Common Stock | |
| Carmen Daniela Oniciu | Vice President | 10 Aug 2016 | 2,237 | 0 | - | - | Series A Convertible Preferred Stock | ||
| Carmen Daniela Oniciu | Vice President | 10 Aug 2016 | 2,237 | 152,156 | - | - | Common Stock | ||
| Carmen Daniela Oniciu | Vice President | Other type of transaction at price $ 0.00 per share. | 10 Aug 2016 | 245 | 152,401 | - | - | Common Stock | |
| P. Kent Hawryluk | None | 10 Aug 2016 | 7,457 | 0 | - | - | Series A Convertible Preferred Stock | ||
| P. Kent Hawryluk | None | 10 Aug 2016 | 7,457 | 7,457 | - | - | Common Stock | ||
| P. Kent Hawryluk | None | Other type of transaction at price $ 0.00 per share. | 10 Aug 2016 | 816 | 8,273 | - | - | Common Stock | |
| P. Kent Hawryluk | None | 10 Aug 2016 | 23,616 | 31,889 | - | - | Common Stock | ||
| P. Kent Hawryluk | None | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 25,000 | 56,889 | - | - | Common Stock | |
| Kenneth Kousky | None | 10 Aug 2016 | 95,439 | 0 | - | - | Series A Convertible Preferred Stock | ||
| Kenneth Kousky | None | 10 Aug 2016 | 95,439 | 95,439 | - | - | Common Stock | ||
| Kenneth Kousky | None | Other type of transaction at price $ 0.00 per share. | 10 Aug 2016 | 10,439 | 105,878 | - | - | Common Stock | |
| Kenneth Kousky | None | 10 Aug 2016 | 116,891 | 116,891 | - | - | Common Stock | ||
| Kenneth Kousky | None | Purchase of securities on an exchange or from another person at price $ 0.00 per share. | 10 Aug 2016 | 1,000 | 1,000 | - | - | Common Stock | |
| Jeffrey S. Mathiesen | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 210,000 | 210,000 | - | - | Employee Stock Option (right to buy) | |
| Charles L. Bisgaier | Director, Chief Scien. Officer & Chair, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 150,000 | 150,000 | - | - | Employee Stock Option (right to buy) | |
| Pedro Lichtinger | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 60,000 | 60,000 | - | - | Stock Option (right to buy) | |
| Mina Sooch | Director, President & CEO, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 360,000 | 360,000 | - | - | Employee Stock Option (right to buy) | |
| Steven R. Gullans | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 60,000 | 60,000 | - | - | Stock Option (right to buy) | |
| Andrew H. Sassine | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 60,000 | 60,000 | - | - | Stock Option (right to buy) | |
| Seth Reno | Chief Commercial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 150,000 | 150,000 | - | - | Employee Stock Option (right to buy) | |
| David Lowenschuss | CLO & Secretary, Ten Percent Owner | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 78,000 | 78,000 | - | - | Employee Stock Option (right to buy) | |
| Carmen Daniela Oniciu | Vice President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 102,000 | 102,000 | - | - | Employee Stock Option (right to buy) | |
| P. Kent Hawryluk | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 60,000 | 60,000 | - | - | Stock Option (right to buy) | |
| Kenneth Kousky | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 04 Aug 2016 | 60,000 | 60,000 | - | - | Stock Option (right to buy) |