XNAS 03 Nov, 2025 4:30 PM (EST)
| Client Name | Client Category | Action | Reported to Exchange | Quantity | Post Transaction Holding | Traded % | Avg. Price | Value | Security Type |
|---|---|---|---|---|---|---|---|---|---|
| David S. Kabakoff | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2025 | 28,050 | 28,050 | - | - | Stock Option (Right to Buy) | |
| Stephen W. Webster | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2025 | 18,700 | 18,700 | - | - | Stock Option (Right to Buy) | |
| John G. Houston | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2025 | 18,700 | 18,700 | - | - | Stock Option (Right to Buy) | |
| Ellen G. Feigal | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2025 | 18,700 | 18,700 | - | - | Stock Option (Right to Buy) | |
| Anne Borgman | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2025 | 18,700 | 18,700 | - | - | Stock Option (Right to Buy) | |
| Michael S. Richman | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2025 | 305,500 | 305,500 | - | - | Employee Stock Option (Right to Buy) | |
| Steven P. Cobourn | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2025 | 117,375 | 117,375 | - | - | Employee Stock Option (Right to Buy) | |
| Sol Langermann | Chief Scientific Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2025 | 117,375 | 117,375 | - | - | Employee Stock Option (Right to Buy) | |
| Timothy Mayer | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2025 | 117,375 | 117,375 | - | - | Employee Stock Option (Right to Buy) | |
| Sourav Kundu | Sr VP, Dev. & Mfg. | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2025 | 66,125 | 66,125 | - | - | Employee Stock Option (Right to Buy) | |
| Kevin G. Shaw | Sr VP, General Counsel | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2025 | 66,125 | 66,125 | - | - | Employee Stock Option (Right to Buy) | |
| David S. Kabakoff | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2024 | 28,050 | 28,050 | - | - | Stock Option (Right to Buy) | |
| Stephen W. Webster | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2024 | 18,700 | 18,700 | - | - | Stock Option (Right to Buy) | |
| John G. Houston | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2024 | 18,700 | 18,700 | - | - | Stock Option (Right to Buy) | |
| Ellen G. Feigal | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2024 | 18,700 | 18,700 | - | - | Stock Option (Right to Buy) | |
| Anne Borgman | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jun 2024 | 18,700 | 18,700 | - | - | Stock Option (Right to Buy) | |
| Michael S. Richman | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Mar 2024 | 244,400 | 244,400 | - | - | Employee Stock Option (Right to Buy) | |
| Steven P. Cobourn | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Mar 2024 | 93,900 | 93,900 | - | - | Employee Stock Option (Right to Buy) | |
| Sol Langermann | Chief Scientific Officer | 29 Mar 2024 | 93,900 | 93,900 | - | - | Employee Stock Option (Right to Buy) | ||
| Timothy Mayer | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Mar 2024 | 93,900 | 93,900 | - | - | Employee Stock Option (Right to Buy) | |
| Han Myint | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Mar 2024 | 93,900 | 93,900 | - | - | Employee Stock Option (Right to Buy) | |
| Sourav Kundu | Sr VP, Dev. & Mfg. | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Mar 2024 | 52,900 | 52,900 | - | - | Employee Stock Option (Right to Buy) | |
| Kevin G. Shaw | Sr VP, General Counsel | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 29 Mar 2024 | 93,900 | 93,900 | - | - | Employee Stock Option (Right to Buy) | |
| Han Myint | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2024 | 117,375 | 117,375 | - | - | Employee Stock Option (Right to Buy) | |
| Shaw Kevin G. | Sr VP, General Counsel | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2024 | 66,125 | 66,125 | - | - | Employee Stock Option (Right to Buy) | |
| Steven Cobourn P. | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2024 | 117,375 | 117,375 | - | - | Employee Stock Option (Right to Buy) | |
| Mayer Timothy | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2024 | 117,375 | 117,375 | - | - | Employee Stock Option (Right to Buy) | |
| Langermann Sol | Chief Scientific Officer | 31 Jan 2024 | 117,375 | 117,375 | - | - | Employee Stock Option (Right to Buy) | ||
| Kundu Sourav | Sr VP, Dev. & Mfg. | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2024 | 66,125 | 66,125 | - | - | Employee Stock Option (Right to Buy) | |
| Michael S. Richman | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2024 | 305,500 | 305,500 | - | - | Employee Stock Option (Right to Buy) | |
| Michael S. Richman | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2023 | 309,000 | 309,000 | - | - | Employee Stock Option (Right to Buy) | |
| Steven P. Cobourn | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2023 | 135,000 | 135,000 | - | - | Employee Stock Option (Right to Buy) | |
| Sol Langermann | Chief Scientific Officer | 28 Feb 2023 | 135,000 | 135,000 | - | - | Employee Stock Option (Right to Buy) | ||
| Timothy Mayer | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2023 | 135,000 | 135,000 | - | - | Employee Stock Option (Right to Buy) | |
| Han Myint | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2023 | 135,000 | 135,000 | - | - | Employee Stock Option (Right to Buy) | |
| Sourav Kundu | Sr VP, Dev. & Mfg. | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2023 | 75,000 | 75,000 | - | - | Employee Stock Option (Right to Buy) | |
| Kevin G. Shaw | Sr VP, Legal Affairs | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2023 | 75,000 | 75,000 | - | - | Employee Stock Option (Right to Buy) | |
| Michael S. Richman | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2022 | 262,400 | 262,400 | - | - | Employee Stock Option (Right to Buy) | |
| Steven P. Cobourn | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2022 | 96,700 | 96,700 | - | - | Employee Stock Option (Right to Buy) | |
| Sol Langermann | Chief Scientific Officer | 31 Jan 2022 | 117,400 | 117,400 | - | - | Employee Stock Option (Right to Buy) | ||
| Timothy Mayer | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2022 | 131,200 | 131,200 | - | - | Employee Stock Option (Right to Buy) | |
| Linda N. Liu | SVP, Research | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2022 | 65,600 | 65,600 | - | - | Employee Stock Option (Right to Buy) | |
| Han Myint | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2022 | 103,600 | 103,600 | - | - | Employee Stock Option (Right to Buy) | |
| Sourav Kundu | Sr VP, Dev. & Mfg. | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 31 Jan 2022 | 58,700 | 58,700 | - | - | Employee Stock Option (Right to Buy) | |
| Ellen G. Feigal | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Oct 2021 | 10,384 | 10,384 | - | - | Stock Option (Right to Buy) | |
| Ellen G. Feigal | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Oct 2021 | 28,500 | 28,500 | - | - | Stock Option (Right to Buy) | |
| Anne Borgman | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Oct 2021 | 10,384 | 10,384 | - | - | Stock Option (Right to Buy) | |
| Anne Borgman | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Oct 2021 | 28,500 | 28,500 | - | - | Stock Option (Right to Buy) | |
| Sourav Kundu | Sr VP, Dev. & Mfg. | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 15 Jul 2021 | 150,000 | 150,000 | - | - | Employee Stock Option (Right to Buy) | |
| David S. Kabakoff | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jun 2021 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Stephen W. Webster | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jun 2021 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Chau Q. Khuong | Director | 24 Jun 2021 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | ||
| Garry A. Nicholson | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jun 2021 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Stella Xu | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jun 2021 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| John G. Houston | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Jun 2021 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Michael S. Richman | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 15 Mar 2021 | 300,000 | 300,000 | - | - | Employee Stock Option (Right to Buy) | |
| Steven P. Cobourn | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 15 Mar 2021 | 100,000 | 100,000 | - | - | Employee Stock Option (Right to Buy) | |
| Sol Langermann | Chief Scientific Officer | 15 Mar 2021 | 100,000 | 100,000 | - | - | Employee Stock Option (Right to Buy) | ||
| Timothy Mayer | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 15 Mar 2021 | 100,000 | 100,000 | - | - | Employee Stock Option (Right to Buy) | |
| Linda N. Liu | SVP, Research | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 15 Mar 2021 | 100,000 | 100,000 | - | - | Employee Stock Option (Right to Buy) | |
| Han Myint | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jan 2021 | 200,000 | 200,000 | - | - | Employee Stock Option (Right to Buy) | |
| Kevin N Heller | Chief Medical Officer | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 14 Jul 2020 | 27,229 | 38,119 | - | - | Employee Stock Option (Right to Buy) | |
| Kevin N Heller | Chief Medical Officer | Exercise or conversion of derivative security received from the company (such as an option) at price $ 1.77 per share. | 14 Jul 2020 | 27,229 | 49,011 (0%) | 0% | 1.8 | 48,195 | Common Stock |
| David S. Kabakoff | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Jun 2020 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Stephen W. Webster | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Jun 2020 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Briggs Morrison | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Jun 2020 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Chau Q. Khuong | Director | 11 Jun 2020 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | ||
| Garry A. Nicholson | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Jun 2020 | 28,500 | 28,500 | - | - | Stock Option (Right to Buy) | |
| Garry A. Nicholson | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Jun 2020 | 16,083 | 16,083 | - | - | Stock Option (Right to Buy) | |
| Stella Xu | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Jun 2020 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Judith Li | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 11 Jun 2020 | 14,250 | 14,250 | - | - | Stock Option (Right to Buy) | |
| Michael S. Richman | Director, President & CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 225,000 | 225,000 | - | - | Employee Stock Option (Right to Buy) | |
| Steven P. Cobourn | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 78,200 | 78,200 | - | - | Employee Stock Option (Right to Buy) | |
| Kevin N Heller | Chief Medical Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 100,050 | 100,050 | - | - | Employee Stock Option (Right to Buy) | |
| James B. Bingham | Chief Development Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 78,200 | 78,200 | - | - | Employee Stock Option (Right to Buy) | |
| Sol Langermann | Chief Scientific Officer | 28 Feb 2020 | 78,200 | 78,200 | - | - | Employee Stock Option (Right to Buy) | ||
| Timothy Mayer | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 78,200 | 78,200 | - | - | Employee Stock Option (Right to Buy) | |
| Linda Liu | SVP, Research | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 39,100 | 39,100 | - | - | Employee Stock Option (Right to Buy) | |
| Linda N. Liu | SVP, Research | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 27 Nov 2019 | 20,745 | 10,373 | - | - | Employee Stock Option (Right to Buy) | |
| Linda N. Liu | SVP, Research | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.48 per share. | 27 Nov 2019 | 34,489 | 34,489 (0%) | 0% | 0.5 | 16,555 | Common Stock |
| Linda N. Liu | SVP, Research | Exercise or conversion of derivative security received from the company (such as an option) at price $ 1.21 per share. | 27 Nov 2019 | 20,745 | 55,234 (0%) | 0% | 1.2 | 25,101 | Common Stock |
| Linda N. Liu | SVP, Research | Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. | 27 Nov 2019 | 34,489 | 9,076 | - | - | Employee Stock Option (Right to Buy) | |
| Timothy M. Shannon | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jun 2019 | 22,000 | 22,000 | - | - | Stock Option (Right to Buy) | |
| David S. Kabakoff | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jun 2019 | 22,000 | 22,000 | - | - | Stock Option (Right to Buy) | |
| Stephen W. Webster | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jun 2019 | 22,000 | 22,000 | - | - | Stock Option (Right to Buy) | |
| Briggs W. Morrison | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jun 2019 | 22,000 | 22,000 | - | - | Stock Option (Right to Buy) | |
| Chau Q. Khuong | Director | 13 Jun 2019 | 22,000 | 22,000 | - | - | Stock Option (Right to Buy) | ||
| Stella Xu | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jun 2019 | 22,000 | 22,000 | - | - | Stock Option (Right to Buy) | |
| Judith J. Li | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 13 Jun 2019 | 22,000 | 22,000 | - | - | Stock Option (Right to Buy) | |
| Timothy M. Shannon | Director | 13 May 2019 | 2,296,605 | 0 | - | - | Series B-1 Preferred Stock | ||
| Timothy M. Shannon | Director | 13 May 2019 | 285,867 | 2,204,442 (8%) | 1% | - | Common Stock | ||
| Timothy M. Shannon | Director | 13 May 2019 | 445,866 | 445,866 (1%) | 1% | - | Common Stock | ||
| Timothy M. Shannon | Director | 13 May 2019 | 743,110 | 1,188,976 (4%) | 3% | - | Common Stock | ||
| Timothy M. Shannon | Director | 13 May 2019 | 5,970,000 | 0 | - | - | Series A-2 Preferred Stock | ||
| Timothy M. Shannon | Director | 13 May 2019 | 5,861,455 | 0 | - | - | Series A-3 Preferred Stock | ||
| Timothy M. Shannon | Director | 13 May 2019 | 729,599 | 1,918,575 (6%) | 3% | - | Common Stock | ||
| Timothy M. Shannon | Director | 13 May 2019 | 3,582,000 | 0 | - | - | Series A-1 Preferred Stock | ||
| Timothy M. Shannon | Director | Purchase of securities on an exchange or from another person at price $ 15.00 per share. | 13 May 2019 | 50,000 | 2,254,442 (8%) | 0% | 15 | 750,000 | Common Stock |
| Chau Q. Khuong | Director | 13 May 2019 | 743,110 | 1,188,976 (4%) | 3% | - | Common Stock | ||
| Chau Q. Khuong | Director | 13 May 2019 | 442,438 | 2,361,013 (8%) | 1% | - | Common Stock | ||
| Chau Q. Khuong | Director | 13 May 2019 | 3,554,466 | 0 | - | - | Series B-1 Preferred Stock | ||
| Chau Q. Khuong | Director | 13 May 2019 | 5,861,455 | 0 | - | - | Series A-3 Preferred Stock | ||
| Chau Q. Khuong | Director | 13 May 2019 | 5,970,000 | 0 | - | - | Series A-2 Preferred Stock | ||
| Chau Q. Khuong | Director | 13 May 2019 | 3,582,000 | 0 | - | - | Series A-1 Preferred Stock | ||
| Chau Q. Khuong | Director | 13 May 2019 | 350,000 | 2,711,013 (9%) | 1% | 15 | 5,250,000 | Common Stock | |
| Chau Q. Khuong | Director | 13 May 2019 | 445,866 | 445,866 (1%) | 1% | - | Common Stock | ||
| Chau Q. Khuong | Director | 13 May 2019 | 729,599 | 1,918,575 (6%) | 3% | - | Common Stock | ||
| Stella Xu | Director | 13 May 2019 | 978,570 | 978,570 (3%) | 4% | - | Common Stock | ||
| Stella Xu | Director | 13 May 2019 | 7,861,636 | 0 | - | - | Series B-2 Preferred Stock | ||
| Stella Xu | Director | Purchase of securities on an exchange or from another person at price $ 15.00 per share. | 13 May 2019 | 125,000 | 1,103,570 (4%) | 0% | 15 | 1,875,000 | Common Stock |