4//SEC Filing
ISALY SAMUEL D 4
Accession 0000947871-17-001023
CIK 0001583648other
Filed
Dec 19, 7:00 PM ET
Accepted
Dec 20, 5:12 PM ET
Size
121.4 KB
Accession
0000947871-17-001023
Insider Transaction Report
Form 4
OrbiMed Capital GP III LLC
Director10% Owner
Transactions
- Exercise/Conversion
Common Stock
2017-12-18$1.94/sh+83$161→ 65,853 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.62/sh+10,180$16,492→ 7,252,241 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.62/sh+97$157→ 65,950 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.05/sh+77$158→ 66,216 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.73/sh+9,642$16,681→ 7,289,791 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.64/sh+97$159→ 66,405 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−27,241→ 0 total(indirect: See Footnotes)Exercise: $2.00Exp: 2018-02-15→ Common Stock (27,241 underlying) - Exercise/Conversion
Common Stock
2017-12-18$1.94/sh+8,717$16,911→ 7,242,061 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.64/sh+10,182$16,698→ 7,299,973 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+14,858$29,865→ 7,314,831 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.32/sh+10,447$24,237→ 7,335,494 total(indirect: See Footnotes) - Sale
Common Stock
2017-12-18$5.70/sh−1,392$7,934→ 65,398 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−8,097→ 0 total(indirect: See Footnotes)Exercise: $2.05Exp: 2018-02-15→ Common Stock (8,097 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−9,642→ 0 total(indirect: See Footnotes)Exercise: $1.73Exp: 2018-02-15→ Common Stock (9,642 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,447→ 0 total(indirect: See Footnotes)Exercise: $2.32Exp: 2018-02-15→ Common Stock (10,447 underlying) - Exercise/Conversion
Common Stock
2017-12-18$5.64/sh+4,971$28,036→ 7,340,465 total(indirect: See Footnotes) - Sale
Common Stock
2017-12-18$5.70/sh−146,243$833,585→ 7,194,222 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,180→ 0 total(indirect: See Footnotes)Exercise: $1.62Exp: 2018-02-15→ Common Stock (10,180 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−19,811→ 0 total(indirect: See Footnotes)Exercise: $1.59Exp: 2018-02-15→ Common Stock (19,811 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,182→ 0 total(indirect: See Footnotes)Exercise: $1.64Exp: 2018-02-15→ Common Stock (10,182 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $1.64Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−14,858→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (14,858 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−4,971→ 0 total(indirect: See Footnotes)Exercise: $5.64Exp: 2018-02-15→ Common Stock (4,971 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−47→ 0 total(indirect: See Footnotes)Exercise: $5.64Exp: 2018-02-15→ Common Stock (47 underlying) - Exercise/Conversion
Common Stock
2017-12-18$2.05/sh+8,097$16,599→ 7,280,149 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−5,227→ 0 total(indirect: See Footnotes)Exercise: $3.00Exp: 2018-02-15→ Common Stock (5,227 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−6,654→ 0 total(indirect: See Footnotes)Exercise: $2.62Exp: 2018-02-15→ Common Stock (6,654 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−8,717→ 0 total(indirect: See Footnotes)Exercise: $1.94Exp: 2018-02-15→ Common Stock (8,717 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $1.62Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Common Stock
2017-12-18$2.00/sh+259$518→ 65,657 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+97$195→ 66,644 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−259→ 0 total(indirect: See Footnotes)Exercise: $2.00Exp: 2018-02-15→ Common Stock (259 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−189→ 0 total(indirect: See Footnotes)Exercise: $1.59Exp: 2018-02-15→ Common Stock (189 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−77→ 0 total(indirect: See Footnotes)Exercise: $2.05Exp: 2018-02-15→ Common Stock (77 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−92→ 0 total(indirect: See Footnotes)Exercise: $1.73Exp: 2018-02-15→ Common Stock (92 underlying) - Exercise/Conversion
Common Stock
2017-12-18$3.00/sh+50$150→ 65,707 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+10,216$20,534→ 7,325,047 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,216→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (10,216 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−99→ 0 total(indirect: See Footnotes)Exercise: $2.32Exp: 2018-02-15→ Common Stock (99 underlying) - Exercise/Conversion
Common Stock
2017-12-18$3.00/sh+5,227$15,681→ 7,226,690 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.59/sh+19,811$31,499→ 7,272,052 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.59/sh+189$301→ 66,139 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.73/sh+92$159→ 66,308 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+142$285→ 66,547 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$5.64/sh+47$265→ 66,790 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−83→ 0 total(indirect: See Footnotes)Exercise: $1.94Exp: 2018-02-15→ Common Stock (83 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−142→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (142 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Common Stock
2017-12-18$2.00/sh+27,241$54,482→ 7,221,463 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.62/sh+6,654$17,433→ 7,233,344 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.62/sh+63$165→ 65,770 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.32/sh+99$230→ 66,743 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−50→ 0 total(indirect: See Footnotes)Exercise: $3.00Exp: 2018-02-15→ Common Stock (50 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−63→ 0 total(indirect: See Footnotes)Exercise: $2.62Exp: 2018-02-15→ Common Stock (63 underlying)
ISALY SAMUEL D
Director10% Owner
Transactions
- Exercise/Conversion
Common Stock
2017-12-18$1.94/sh+8,717$16,911→ 7,242,061 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.62/sh+10,180$16,492→ 7,252,241 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.05/sh+8,097$16,599→ 7,280,149 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.73/sh+92$159→ 66,308 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.64/sh+97$159→ 66,405 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+97$195→ 66,644 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.32/sh+99$230→ 66,743 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−189→ 0 total(indirect: See Footnotes)Exercise: $1.59Exp: 2018-02-15→ Common Stock (189 underlying) - Exercise/Conversion
Common Stock
2017-12-18$2.00/sh+259$518→ 65,657 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.94/sh+83$161→ 65,853 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.62/sh+97$157→ 65,950 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$5.64/sh+4,971$28,036→ 7,340,465 total(indirect: See Footnotes) - Sale
Common Stock
2017-12-18$5.70/sh−146,243$833,585→ 7,194,222 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−27,241→ 0 total(indirect: See Footnotes)Exercise: $2.00Exp: 2018-02-15→ Common Stock (27,241 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−6,654→ 0 total(indirect: See Footnotes)Exercise: $2.62Exp: 2018-02-15→ Common Stock (6,654 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,180→ 0 total(indirect: See Footnotes)Exercise: $1.62Exp: 2018-02-15→ Common Stock (10,180 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−92→ 0 total(indirect: See Footnotes)Exercise: $1.73Exp: 2018-02-15→ Common Stock (92 underlying) - Exercise/Conversion
Common Stock
2017-12-18$1.59/sh+19,811$31,499→ 7,272,052 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.64/sh+10,182$16,698→ 7,299,973 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.32/sh+10,447$24,237→ 7,335,494 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−5,227→ 0 total(indirect: See Footnotes)Exercise: $3.00Exp: 2018-02-15→ Common Stock (5,227 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−83→ 0 total(indirect: See Footnotes)Exercise: $1.94Exp: 2018-02-15→ Common Stock (83 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,216→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (10,216 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Common Stock
2017-12-18$1.59/sh+189$301→ 66,139 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.05/sh+77$158→ 66,216 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+10,216$20,534→ 7,325,047 total(indirect: See Footnotes) - Sale
Common Stock
2017-12-18$5.70/sh−1,392$7,934→ 65,398 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−8,717→ 0 total(indirect: See Footnotes)Exercise: $1.94Exp: 2018-02-15→ Common Stock (8,717 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $1.62Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−77→ 0 total(indirect: See Footnotes)Exercise: $2.05Exp: 2018-02-15→ Common Stock (77 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $1.64Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Common Stock
2017-12-18$2.00/sh+27,241$54,482→ 7,221,463 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.62/sh+6,654$17,433→ 7,233,344 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$5.64/sh+47$265→ 66,790 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−259→ 0 total(indirect: See Footnotes)Exercise: $2.00Exp: 2018-02-15→ Common Stock (259 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−50→ 0 total(indirect: See Footnotes)Exercise: $3.00Exp: 2018-02-15→ Common Stock (50 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−63→ 0 total(indirect: See Footnotes)Exercise: $2.62Exp: 2018-02-15→ Common Stock (63 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−19,811→ 0 total(indirect: See Footnotes)Exercise: $1.59Exp: 2018-02-15→ Common Stock (19,811 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−8,097→ 0 total(indirect: See Footnotes)Exercise: $2.05Exp: 2018-02-15→ Common Stock (8,097 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−14,858→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (14,858 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−4,971→ 0 total(indirect: See Footnotes)Exercise: $5.64Exp: 2018-02-15→ Common Stock (4,971 underlying) - Exercise/Conversion
Common Stock
2017-12-18$3.00/sh+5,227$15,681→ 7,226,690 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$3.00/sh+50$150→ 65,707 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.62/sh+63$165→ 65,770 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.73/sh+9,642$16,681→ 7,289,791 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+14,858$29,865→ 7,314,831 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−142→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (142 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−99→ 0 total(indirect: See Footnotes)Exercise: $2.32Exp: 2018-02-15→ Common Stock (99 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−47→ 0 total(indirect: See Footnotes)Exercise: $5.64Exp: 2018-02-15→ Common Stock (47 underlying) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+142$285→ 66,547 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−9,642→ 0 total(indirect: See Footnotes)Exercise: $1.73Exp: 2018-02-15→ Common Stock (9,642 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,182→ 0 total(indirect: See Footnotes)Exercise: $1.64Exp: 2018-02-15→ Common Stock (10,182 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,447→ 0 total(indirect: See Footnotes)Exercise: $2.32Exp: 2018-02-15→ Common Stock (10,447 underlying)
ORBIMED ADVISORS LLC
Director10% Owner
Transactions
- Exercise/Conversion
Common Stock
2017-12-18$1.94/sh+83$161→ 65,853 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.05/sh+8,097$16,599→ 7,280,149 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.73/sh+9,642$16,681→ 7,289,791 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.64/sh+10,182$16,698→ 7,299,973 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.64/sh+97$159→ 66,405 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+14,858$29,865→ 7,314,831 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.62/sh+6,654$17,433→ 7,233,344 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.62/sh+63$165→ 65,770 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.59/sh+19,811$31,499→ 7,272,052 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.59/sh+189$301→ 66,139 total(indirect: See Footnotes) - Sale
Common Stock
2017-12-18$5.70/sh−146,243$833,585→ 7,194,222 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−27,241→ 0 total(indirect: See Footnotes)Exercise: $2.00Exp: 2018-02-15→ Common Stock (27,241 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−83→ 0 total(indirect: See Footnotes)Exercise: $1.94Exp: 2018-02-15→ Common Stock (83 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−8,097→ 0 total(indirect: See Footnotes)Exercise: $2.05Exp: 2018-02-15→ Common Stock (8,097 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−77→ 0 total(indirect: See Footnotes)Exercise: $2.05Exp: 2018-02-15→ Common Stock (77 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,182→ 0 total(indirect: See Footnotes)Exercise: $1.64Exp: 2018-02-15→ Common Stock (10,182 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $1.64Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−142→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (142 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,447→ 0 total(indirect: See Footnotes)Exercise: $2.32Exp: 2018-02-15→ Common Stock (10,447 underlying) - Exercise/Conversion
Common Stock
2017-12-18$1.94/sh+8,717$16,911→ 7,242,061 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−97→ 0 total(indirect: See Footnotes)Exercise: $1.62Exp: 2018-02-15→ Common Stock (97 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−189→ 0 total(indirect: See Footnotes)Exercise: $1.59Exp: 2018-02-15→ Common Stock (189 underlying) - Exercise/Conversion
Common Stock
2017-12-18$2.00/sh+27,241$54,482→ 7,221,463 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.00/sh+259$518→ 65,657 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$3.00/sh+50$150→ 65,707 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$3.00/sh+5,227$15,681→ 7,226,690 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.62/sh+10,180$16,492→ 7,252,241 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.62/sh+97$157→ 65,950 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.05/sh+77$158→ 66,216 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$1.73/sh+92$159→ 66,308 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+97$195→ 66,644 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.32/sh+99$230→ 66,743 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$5.64/sh+47$265→ 66,790 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−259→ 0 total(indirect: See Footnotes)Exercise: $2.00Exp: 2018-02-15→ Common Stock (259 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−50→ 0 total(indirect: See Footnotes)Exercise: $3.00Exp: 2018-02-15→ Common Stock (50 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−63→ 0 total(indirect: See Footnotes)Exercise: $2.62Exp: 2018-02-15→ Common Stock (63 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−8,717→ 0 total(indirect: See Footnotes)Exercise: $1.94Exp: 2018-02-15→ Common Stock (8,717 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,180→ 0 total(indirect: See Footnotes)Exercise: $1.62Exp: 2018-02-15→ Common Stock (10,180 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−92→ 0 total(indirect: See Footnotes)Exercise: $1.73Exp: 2018-02-15→ Common Stock (92 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−99→ 0 total(indirect: See Footnotes)Exercise: $2.32Exp: 2018-02-15→ Common Stock (99 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−4,971→ 0 total(indirect: See Footnotes)Exercise: $5.64Exp: 2018-02-15→ Common Stock (4,971 underlying) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+142$285→ 66,547 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.01/sh+10,216$20,534→ 7,325,047 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$2.32/sh+10,447$24,237→ 7,335,494 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2017-12-18$5.64/sh+4,971$28,036→ 7,340,465 total(indirect: See Footnotes) - Sale
Common Stock
2017-12-18$5.70/sh−1,392$7,934→ 65,398 total(indirect: See Footnotes) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−5,227→ 0 total(indirect: See Footnotes)Exercise: $3.00Exp: 2018-02-15→ Common Stock (5,227 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−6,654→ 0 total(indirect: See Footnotes)Exercise: $2.62Exp: 2018-02-15→ Common Stock (6,654 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−19,811→ 0 total(indirect: See Footnotes)Exercise: $1.59Exp: 2018-02-15→ Common Stock (19,811 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−9,642→ 0 total(indirect: See Footnotes)Exercise: $1.73Exp: 2018-02-15→ Common Stock (9,642 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−14,858→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (14,858 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−10,216→ 0 total(indirect: See Footnotes)Exercise: $2.01Exp: 2018-02-15→ Common Stock (10,216 underlying) - Exercise/Conversion
Stock Option (right to buy)
2017-12-18−47→ 0 total(indirect: See Footnotes)Exercise: $5.64Exp: 2018-02-15→ Common Stock (47 underlying)
Footnotes (16)
- [F1]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on December 17, 2014 for services as a director of the Issuer. The award included stock options relating to a total of 30,000 shares of the Issuer's Common Stock and was scheduled to vest quarterly over three years beginning March 31, 2015, with 100% of the total shares vested and exercisable on March 31, 2018, subject to the director's provision of service to the issuer on each vesting date. Mr. Khuong is no longer a director of the Issuer.
- [F10]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on January 25, 2017 for services as a director of the Issuer. The award included stock options relating to a total of 20,000 shares of the Issuer's Common Stock and was scheduled to vest in four equal installments on each of March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017 with 100% of the total shares vested and exercisable on December 31, 2017, subject to the director's provision of service to the issuer on each vesting date. Mr. Khuong is no longer a director of the Issuer.
- [F11]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on January 25, 2017 for services as a director of the Issuer. The award included stock options relating to a total of 10,313 shares of the Issuer's Common Stock and was vested and exercisable on January 25, 2017. Mr. Khuong is no longer a director of the Issuer.
- [F12]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on April 25, 2017 for services as a director of the Issuer. The award included stock options relating to a total of 10,546 shares of the Issuer's Common Stock and was vested and exercisable on April 25, 2017. Mr. Khuong is no longer a director of the Issuer.
- [F13]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on July 25, 2017 for services as a director of the Issuer. The award included stock options relating to a total of 5,018 shares of the Issuer's Common Stock and was vested and exercisable on July 25, 2017. Mr. Khuong is no longer a director of the Issuer.
- [F14]These Shares are held of record by OrbiMed Private Investments III, LP ("OPI III"). OrbiMed Capital GP III LLC ("GP III") is the general partner of OPI III, and OrbiMed Advisors LLC ("Advisors") is the managing member of GP III. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of and owner of a controlling interest in Advisors. By virtue of such relationships, GP III, Advisors and Isaly may be deemed to have voting and investment power over the securities held by OPI III and as a result may be deemed to have beneficial ownership over such securities.
- [F15]These Shares are held of record by OrbiMed Associates III, LP ("Associates III"). Advisors is the general partner of Associates III. Isaly is the managing member of and owner of a controlling interest in Advisors. By virtue of such relationships, Advisors and Isaly may be deemed to have voting and investment power over the securities held by Associates III and as a result may be deemed to have beneficial ownership over such securities.
- [F16]This report on Form 4 is jointly filed by GP III, Advisors, and Isaly. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose.
- [F2]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on April 30, 2015 for services as a director of the Issuer. The award included stock options relating to a total of 5,277 shares of the Issuer's Common Stock and was vested and exercisable on April 30, 2015. Mr. Khuong is no longer a director of the Issuer.
- [F3]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on July 15, 2015 for services as a director of the Issuer. The award included stock options relating to a total of 6,717 shares of the Issuer's Common Stock and was vested and exercisable on July 15, 2015. Mr. Khuong is no longer a director of the Issuer.
- [F4]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on October 15, 2015 for services as a director of the Issuer. The award included stock options relating to a total of 8,800 shares of the Issuer's Common Stock and was vested and exercisable on October 15, 2015. Mr. Khuong is no longer a director of the Issuer.
- [F5]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on January 15, 2016 for services as a director of the Issuer. The award included stock options relating to a total of 10,277 shares of the Issuer's Common Stock and was vested and exercisable on January 15, 2016. Mr. Khuong is no longer a director of the Issuer.
- [F6]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on February 16, 2016 for services as a director of the Issuer. The award included stock options relating to a total of 20,000 shares of the Issuer's Common Stock and was scheduled to vest in four equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016 with 100% of the total shares vested and exercisable on December 31, 2016, subject to the director's provision of service to the issuer on each vesting date. Mr. Khuong is no longer a director of the Issuer.
- [F7]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on April 27, 2016 for services as a director of the Issuer. The award included stock options relating to a total of 8,174 shares of the Issuer's Common Stock and was vested and exercisable on April 27, 2016. Mr. Khuong is no longer a director of the Issuer.
- [F8]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on July 25, 2016 for services as a director of the Issuer. The award included stock options relating to a total of 9,734 shares of the Issuer's Common Stock and was vested and exercisable on July 25, 2016. Mr. Khuong is no longer a director of the Issuer.
- [F9]The stock options were included in an award to Chau Khuong, an employee of the Reporting Persons, made on October 25, 2016 for services as a director of the Issuer. The award included stock options relating to a total of 10,279 shares of the Issuer's Common Stock and was vested and exercisable on October 25, 2016. Mr. Khuong is no longer a director of the Issuer.
Documents
Issuer
PIERIS PHARMACEUTICALS, INC.
CIK 0001583648
Entity typeother
Related Parties
1- filerCIK 0001055949
Filing Metadata
- Form type
- 4
- Filed
- Dec 19, 7:00 PM ET
- Accepted
- Dec 20, 5:12 PM ET
- Size
- 121.4 KB