| 내부자 지분 | 27,868,334 shares |
내부자 센티멘트 점수
내부자 센티멘트 점수를 통해서 내부자들이 법인 지분을 매입하는 기업들에 대해서 알아볼 수 있습니다.
이는 내부자의 누적도가 가장 높은 기업을 식별하는 정교하고 복합적인 지수를 분석하는 계량 모델의 결과 값입니다. 스코어링 모델은 이전 90일 동안 매수한 "내부자의 순 숫자", "매수한 주식의 총합", "내부자가 소유한 주식의 총합"의 조합을 사용합니다. 점수는 0에서 100 사이이며, 점수가 높을수록 피어(Peer: 동종업계 경쟁기업)에 대한 누적도가 높다는 것을 나타내며, 평균은 50입니다.
업데이트 주기: 일별
내부자의 누적도가 가장 높은 기업 목록을 확인할 수 있는 내부자들의 최다 선택(Insiders Top Picks)을 참고하십시오.
내부 경영진 센티멘트 점수
내부 경영진 센티멘트 점수를 통해서 내부 경영진들이 법인 지분을 매입하는 기업들에 대해서 알아볼 수 있습니다.
내부 거래의 정의에 따라 내부 경영진(기업 임원)도 내부자이지만, 다른 내부자(10% 주주 및 이사회 구성원)들과는 달리 내부 경영진은 매일 회사에서 근무하며, 거래 시에 자신의 자금을 사용합니다. (많은 경우에 10% 주주 및 이사회 구성원은 다른 사람의 자금을 관리하는 자금 관리자입니다.) 따라서 내부 경영진(기업 임원: Officer)의 내부 거래는 훨씬 더 중요하며 올바른 분석이 필요합니다.
내부자 센티멘트 점수와 마찬가지로 임원 감정 점수는 가장 높은 수준의 임원 축적을 가진 기업을 식별하는 정교하고 복합적인 지수 퀀트(Multi-factor quantitative) 모델의 결과입니다.
업데이트 주기: 일별
내부자의 누적도가 가장 높은 기업 목록을 확인할 수 있는 내부자들의 최다 선택(Insiders Top Picks)을 참고하십시오.
주요 내부자 지표
이 수치는 해당 기업이 다양한 내부자 지표에 따라 어떻게 순위를 매겨지는 지를 설명합니다. 백분위 순위는 이 기업이 미국 시장의 다른 기업들과 어떻게 비교되는지 보여줍니다. 순위가 높을수록 더 나은 상황에 있다는 것을 의미합니다.
예를 들어, 일반적으로 내부자의 매입은 긍정적인 지표라고 간주되어지기 때문에, 내부자의 매입(내부자의 매각, 역시도)가 적은 기업보다 내부자의 매입이 많은 기업은 순위가 높을 것입니다.
내부자의 순 매입(순위)
N/A
내부자의 순 매입(Net Number of Insiders Buying)는 내부자 매수의 총 수에서 지난 90일 동안의 내부자 매도의 총 수를 뺀 값입니다. 여기에 백분위 순위가 표시됩니다(범위: 0~100%).
내부자가 매입한 플로트 비율 (순위)
N/A
"내부자가 매입한 플로트 비율(Percent of Float Bought by Insiders)"은 내부자가 매입한 주식의 총 수에서 내부자가 매도한 주식의 총 수를 뺀 값을 전체 플로트로 나눈 값에 100을 곱한 값입니다. * ((내부자가 매입한 주식의 총 수 - 내부자가 매도한 주식의 총 수) ÷ 전체 플로트) x 100
내부자 트레이딩 차트
Apollo Endosurgery Inc 내부자의 매매 거래는 아래 차트에 나와 있습니다. 내부자들은 기업의 임원(내부 경영진), 이사 또는 주요 투자자입니다. 일반적으로 내부자가 중요한 비공개 정보를 기반으로 자신이 속한 기업을 거래하는 것은 불법으로 간주됩니다. 이것은 내부자가 자신의 기업 내에서 행하는 모든 거래가 불법이라는 것을 뜻은 아닙니다. 그러나 그들은 자신들의 모든 거래를 양식 4를 통해 SEC에 보고해야만 합니다.
내부자의 명단 및 이익 지표
아래 표는 공개된 내부자의 목록이며, SEC에 공개된 제출 문서에서 자동으로 생성됩니다. "이름", "가장 최근의 직급", "이사, 임원 또는 10% 주주"에 대한 지정 외에도 최근에 공개된 보유 주식에 대한 정보를 보여줍니다. 또한 가능한 경우 내부자의 과거 거래 실적도 확인 가능합니다. 과거 거래 실적은 내부자가 실제 "공개 시장"(Open market) 매입 거래를 수행한 실적을 가중 평균한 값입니다. 이 계산 방법에 대한 자세한 내용은 유튜브 웨비나 를 참조하시면 됩니다.
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| 내부자 | 평균 이익률 (%) | 소유 지분 |
주식 분할 |
|---|
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내부자의 매입 내역 추적: 단기 이익 분석
이 섹션에서는 APEN / Apollo Endosurgery Inc에서 계획되지 않은 "공개 시장"(Open market)의 내부자가 매입한 모든 상품의 수익성을 분석합니다. 이 분석을 통해서 내부자가 비정상적인 수익을 지속적으로 창출하는지 파악하는 데 도움이 되며, 이러한 분석은 수행해볼 가치가 있습니다. 이 분석은 개별 거래 후 1년 동안 수행한 것이며, 결과는 이론 값입니다. .
아래 표는 사전 거래 계획(Automated trading plan)에 포함되지 않은 가장 최근의 "공개 시장"(Open market)에서의 매입을 보여줍니다.
조정된 가격은 분할 조정 가격입니다. 조정된 지분은 분할 조정 지분입니다.
내부자 매매의 실적: 단기 손실 분석
이 섹선에서는 APEN / Apollo Endosurgery Inc에서 이루어진 "공개 시장(Open market)"에서의 모든 계획되지 않은 내부자 매매의 단기 손실 회피(Short-term loss avoidance)를 분석합니다. 일관된 손실 회피 패턴을 통해서 향후 매매 거래가 가격 하락을 초래할 수도 있음을 예상할 수 있습니다. 이 분석은 각 각 매매 거래 후 1년 동안의 자료이며, 결과는 이론 값입니다. .
아래 표는 사전 거래 계획(Automated trading plan)에 포함되지 않은 가장 최근의 공개 시장에서의 매매를 보여줍니다.
조정된 가격은 분할 조정 가격입니다. 조정된 지분은 분할 조정 지분입니다.
거래 내역
전체 거래 내역을 보려면 링크 아이콘을 클릭하세요. 10b5-1 자동 거래 계획의 일부로 보고된 거래는 10b-5 열에 X 표시가 나타납니다.
| 보고일 | 거래일 | 양식 | 내부자 | 티커 | 증권 소유권 | 코드 | 직접 | 행사 가격 |
단위 가격 |
단위 변동 |
가치 변동 (단위: 1,000) |
잔여 옵션 |
잔여 주식 |
|
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | -400,675 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | -63,671 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | -45,594 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | -3,687,781 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Common Stock | I | -1,310,701 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | -675,181 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | -400,675 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | -63,671 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | -45,594 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | -3,687,781 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Common Stock | I | -1,310,701 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | -675,181 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McClellan William D. Jr. by Trust | APEN | Common Stock | I | -2,000 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | -39,249 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McKhann Chas | APEN | Common Stock | D | -689,880 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Molesphini John J | APEN | Common Stock | D | -92,626 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | BARR JOHN R | APEN | Common Stock | D | -44,082 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | -35,604 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Bankes Jeannette | APEN | Common Stock | D | -17,641 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Black Jeffrey G. | APEN | Common Stock | D | -335,330 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Gutteridge Mike | APEN | Common Stock | D | -86,647 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Gostout Christopher J. | APEN | Common Stock | D | -90,267 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Pacitti David | APEN | Common Stock | D | -18,112 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Shimer Julie Ann | APEN | Common Stock | D | -36,021 | 0 | ||||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 3.2500 | 1,465,770 | 4,764 | 3,687,781 | ||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 3.2500 | 586,308 | 1,906 | 1,310,701 | ||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 3.2500 | 146,577 | 476 | 675,181 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 3.2500 | 1,465,770 | 4,764 | 3,687,781 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 3.2500 | 586,308 | 1,906 | 1,310,701 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 3.2500 | 146,577 | 476 | 675,181 | ||||
| 2022-11-04 | 2022-11-04 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.4600 | -15,060 | -97 | 332,650 | ||||
| 2022-08-05 | 2022-08-05 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.4600 | -6,190 | -40 | 347,710 | ||||
| 2022-08-05 | 2022-08-05 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | 17,028 | 17,028 | ||||||
| 2022-08-05 | 2022-08-05 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | 18,576 | 18,576 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Anderson Rick D | APEN | Common Stock | D | 14,224 | 113,484 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 14,224 | 39,249 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 14,224 | 36,021 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Bankes Jeannette | APEN | Common Stock | D | 14,224 | 17,641 | ||||||
| 2022-06-16 | 2022-05-06 | 4 | Bankes Jeannette | APEN | Common Stock | D | 3,417 | 3,417 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 88,900 | 353,900 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | BARR JOHN R | APEN | Common Stock | D | 14,224 | 44,082 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | McKhann Chas | APEN | Common Stock | D | 112,607 | 689,880 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Pacitti David | APEN | Common Stock | D | 14,224 | 18,112 | ||||||
| 2022-05-09 | 2022-05-05 | 4 | McKhann Chas | APEN | Common Stock | D | 5.4200 | -66,553 | -361 | 577,273 | ||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 21,403 | ||||||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 22,838 | ||||||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 19,796 | ||||||||
| 2022-03-10 | 2022-02-25 | 4/A | Gutteridge Mike | APEN | Stock Option (Right to Buy) | D | 5.63 | 11,611 | 11,611 | |||||
| 2022-03-10 | 2022-02-25 | 4/A | Gutteridge Mike | APEN | Common Stock | D | 22,610 | 63,809 | ||||||
| 2022-03-01 | 2022-03-01 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.2000 | 10,000 | 62 | 265,000 | ||||
| 2022-03-01 | 2022-02-28 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 5.6600 | 15,000 | 85 | 255,000 | ||||
| 2022-03-01 | 2022-02-25 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 5.4800 | 15,000 | 82 | 240,000 | ||||
| 2022-03-01 | 3 | Gutteridge Mike | APEN | Common Stock | D | 41,199 | ||||||||
| 2022-03-01 | 3 | Gutteridge Mike | APEN | Common Stock | D | 22,838 | ||||||||
| 2022-03-01 | 2022-02-25 | 4 | Gutteridge Mike | APEN | Stock Option (Right to Buy) | D | 5.63 | 11,611 | 11,611 | |||||
| 2022-03-01 | 2022-02-25 | 4 | Gutteridge Mike | APEN | Common Stock | D | 22,610 | 63,809 | ||||||
| 2022-02-28 | 2022-02-25 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 5.63 | 26,539 | 26,539 | |||||
| 2022-02-28 | 2022-02-25 | 4 | Molesphini John J | APEN | Common Stock | D | 17,227 | 92,626 | ||||||
| 2022-02-28 | 2022-02-25 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 5.63 | 6,635 | 6,635 | |||||
| 2022-02-28 | 2022-02-25 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 12,920 | 90,267 | ||||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 7.7500 | 387,097 | 3,000 | 2,151,209 | ||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 7.7500 | 258,064 | 2,000 | 696,071 | ||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 7.7500 | 38,710 | 300 | 521,522 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 7.7500 | 387,097 | 3,000 | 2,151,209 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 7.7500 | 258,064 | 2,000 | 696,071 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 7.7500 | 38,710 | 300 | 521,522 | ||||
| 2021-08-20 | 2021-08-20 | 4/A | McKhann Chas | APEN | Common Stock | D | 7.7400 | -21,148 | -164 | 643,826 | ||||
| 2021-08-20 | 2021-08-19 | 4/A | McKhann Chas | APEN | Common Stock | D | 7.8900 | -21,148 | -167 | 664,974 | ||||
| 2021-08-20 | 2021-08-18 | 4/A | McKhann Chas | APEN | Common Stock | D | 8.2100 | -21,156 | -174 | 686,122 | ||||
| 2021-08-20 | 2021-08-20 | 4 | McKhann Chas | APEN | Common Stock | D | 7.7400 | -21,148 | -164 | 643,826 | ||||
| 2021-08-20 | 2021-08-19 | 4 | McKhann Chas | APEN | Common Stock | D | 7.8900 | -21,148 | -167 | 664,974 | ||||
| 2021-08-20 | 2021-08-18 | 4 | McKhann Chas | APEN | Common Stock | D | 8.2100 | -21,156 | -174 | 686,122 | ||||
| 2021-08-11 | 2021-08-11 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 8.7500 | 25,000 | 219 | 25,000 | ||||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Stock Option (Right to Buy) | D | 8.69 | 8.6900 | 150,000 | 1,304 | 150,000 | |||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 80,000 | 225,000 | ||||||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 120,000 | 145,000 | ||||||
| 2021-07-08 | 2021-06-30 | 4 | GAGNON NEIL By Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 1,001 | 85,015 | ||||||
| 2021-07-08 | 2021-06-30 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 3,337 | 413,962 | ||||||
| 2021-07-07 | 2021-07-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 91 | 95,998 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 66,382 | |||
| 2021-06-21 | 2021-06-17 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 3,888 | 25,025 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 64,710 | |||
| 2021-06-21 | 2021-06-17 | 4 | Pacitti David | APEN | Common Stock | D | 3,888 | 3,888 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 51,124 | |||
| 2021-06-21 | 2021-06-17 | 4 | BARR JOHN R | APEN | Common Stock | D | 3,888 | 29,858 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Anderson Rick D | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 5,271 | |||
| 2021-06-21 | 2021-06-17 | 4 | Anderson Rick D | APEN | Common Stock | D | 3,888 | 53,565 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 57,965 | |||
| 2021-06-21 | 2021-06-17 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 3,888 | 21,797 | ||||||
| 2021-06-15 | 2021-06-11 | 4 | GAGNON NEIL As Managing Member of General Partner of Gagnon Investment Associates | APEN | Pre-funded warrants | I | 0.00 | -128,585 | 0 | |||||
| 2021-06-15 | 2021-06-11 | 4 | GAGNON NEIL By Managing Member as General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 0.0010 | 128,585 | 0 | 1,329,354 | ||||
| 2021-06-15 | 2021-05-21 | 4 | GAGNON NEIL By Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 1,609 | 84,014 | ||||||
| 2021-06-15 | 2021-05-21 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 8,045 | 410,625 | ||||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9600 | -790 | -5 | 0 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9300 | -600 | -4 | 790 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9200 | -3,400 | -24 | 1,390 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9100 | -5,524 | -38 | 4,790 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9000 | -3,144 | -22 | 10,314 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8900 | -464 | -3 | 13,458 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8800 | -1,100 | -8 | 13,922 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8500 | -20 | -0 | 15,022 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8100 | -500 | -3 | 15,042 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8000 | -600 | -4 | 15,542 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7300 | -600 | -4 | 16,142 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7200 | -300 | -2 | 16,742 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7100 | -100 | -1 | 17,042 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7000 | -800 | -5 | 17,142 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.6700 | -200 | -1 | 17,942 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.6400 | -600 | -4 | 18,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9600 | -790 | -5 | 0 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9300 | -600 | -4 | 790 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9200 | -3,400 | -24 | 1,390 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9100 | -5,524 | -38 | 4,790 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9000 | -3,144 | -22 | 10,314 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8900 | -464 | -3 | 13,458 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8800 | -1,100 | -8 | 13,922 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8500 | -20 | -0 | 15,022 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8100 | -500 | -3 | 15,042 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8000 | -600 | -4 | 15,542 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7300 | -600 | -4 | 16,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7200 | -300 | -2 | 16,742 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7100 | -100 | -1 | 17,042 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7000 | -800 | -5 | 17,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.6700 | -200 | -1 | 17,942 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.6400 | -600 | -4 | 18,142 | ||||
| 2021-04-13 | 2021-04-05 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 5.4834 | 303 | 2 | 402,580 | ||||
| 2021-03-12 | 2021-03-10 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 180,140 | |||
| 2021-03-12 | 2021-03-10 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 14,028 | 95,907 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9200 | 2,600 | 15 | 25,970 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9100 | 600 | 4 | 23,370 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9000 | 3,000 | 18 | 22,770 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8900 | 1,500 | 9 | 19,770 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8700 | 100 | 1 | 18,270 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8500 | 2,100 | 12 | 18,170 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8400 | 100 | 1 | 16,070 | ||||
| 2021-03-12 | 2021-03-10 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 11,876 | 71 | 241,428 | |||
| 2021-03-12 | 2021-03-10 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 10,020 | 77,347 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | McKhann Chas | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 848,733 | 5,050 | 848,733 | |||
| 2021-03-12 | 2021-03-10 | 4 | McKhann Chas | APEN | Common Stock | D | 707,278 | 707,278 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 159,049 | |||
| 2021-03-12 | 2021-03-10 | 4 | Molesphini John J | APEN | Common Stock | D | 14,028 | 75,399 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 185,809 | |||
| 2021-03-12 | 2021-03-10 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 14,028 | 102,869 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S | APEN | Common Stock | D | 2,017 | 134,394 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | -6,055 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | 6,055 | 6,055 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | -605,712 | 605,712 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S | APEN | Common Stock | D | 4,444 | 132,377 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | -13,473 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | 13,473 | 13,473 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S By PTV IV, L.P. | APEN | Common Stock | I | -1,347,565 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By Longchamp Interests LLC | APEN | Common Stock | I | 857,964 | 1,221,464 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV GP III Management, LLC | APEN | Common Stock | I | 857,964 | 1,221,464 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S | APEN | Common Stock | D | -857,964 | 127,933 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | -857,964 | 127,933 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S | APEN | Common Stock | D | 857,964 | 985,897 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV GP III Management, LLC | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | -6,055 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | 6,055 | 6,055 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | -605,712 | 605,712 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | -13,473 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | 13,473 | 13,473 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P By PTV IV, L.P. | APEN | Common Stock | I | -1,347,565 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV Sciences II, L.P. | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV GP III Management, LLC | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV GP III Management, LLC | APEN | Common Stock | I | 857,964 | 857,964 | ||||||
| 2021-02-24 | 2021-02-23 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.6160 | 4,166 | 19 | 26,446 | ||||
| 2021-02-24 | 2021-02-23 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.6160 | 8,055 | 37 | 402,277 | ||||
| 2021-02-24 | 2021-02-22 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.8029 | 10,103 | 49 | 394,222 | ||||
| 2021-02-22 | 2021-02-18 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.7484 | 1,649 | 8 | 384,119 | ||||
| 2021-02-22 | 2021-02-18 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.7484 | 378 | 2 | 22,280 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 5.1414 | 15,488 | 80 | 116,360 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.7122 | 30,954 | 146 | 382,470 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.8365 | 7,101 | 34 | 21,902 | ||||
| 2021-02-05 | 2021-02-04 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.7122 | 9,729 | 46 | 100,872 | ||||
| 2021-02-05 | 2021-02-03 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.4587 | 28,243 | 126 | 91,143 | ||||
| 2021-02-05 | 2021-02-03 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.4931 | 145 | 1 | 14,801 | ||||
| 2021-02-03 | 2021-02-02 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.4199 | 10,873 | 48 | 62,900 | ||||
| 2021-02-03 | 2021-02-01 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.2030 | 473 | 2 | 351,516 | ||||
| 2021-01-07 | 2021-01-05 | 4 | Newton Todd | APEN | Common Stock | D | 3,479 | 412,306 | ||||||
| 2021-01-07 | 2021-01-06 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 218 | 81,879 | ||||||
| 2020-12-17 | 2020-12-16 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.1632 | 8,314 | 35 | 351,043 | ||||
| 2020-12-17 | 2020-12-16 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.1632 | 2,488 | 10 | 14,656 | ||||
| 2020-12-17 | 2020-10-28 | 4 | GAGNON NEIL By Managing Member as General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 1.6500 | 9,663 | 16 | 1,200,769 | ||||
| 2020-12-17 | 2020-10-28 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 1.6500 | 693 | 1 | 52,027 | ||||
| 2020-10-13 | 3 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 342,729 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Managing Member of General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 1,191,106 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Managing Member of General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 51,334 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 82,405 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 12,168 | ||||||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 1.2500 | 1,200,000 | 1,500 | 1,707,208 | ||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 1.2500 | 400,000 | 500 | 415,244 | ||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 1.2500 | 180,000 | 225 | 477,120 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 1.2500 | 1,200,000 | 1,500 | 1,707,208 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 1.2500 | 400,000 | 500 | 415,244 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 1.2500 | 180,000 | 225 | 477,120 | ||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | -245,444 | 0 | ||||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | 245,444 | 245,444 | ||||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By PTV Sciences II, L.P. | APEN | Common Stock | I | -1,341,222 | 857,964 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S | APEN | Common Stock | D | 74,218 | 127,933 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | -245,444 | 0 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | 245,444 | 245,444 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | -1,341,222 | 857,964 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 28,156 | 59 | 52,694 | |||
| 2020-05-11 | 2020-05-07 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 10,153 | 17,909 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 27,749 | 58 | 59,439 | |||
| 2020-05-11 | 2020-05-07 | 4 | Pacitti David | APEN | Common Stock | D | 10,006 | 18,742 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 29,317 | 61 | 45,853 | |||
| 2020-05-11 | 2020-05-07 | 4 | BARR JOHN R | APEN | Common Stock | D | 10,571 | 15,970 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 28,446 | 59 | 61,111 | |||
| 2020-05-11 | 2020-05-07 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 10,257 | 21,137 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 62,718 | 130 | 163,513 | |||
| 2020-05-11 | 2020-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 42,000 | 81,661 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 115,094 | 239 | 511,604 | |||
| 2020-05-11 | 2020-05-07 | 4 | Newton Todd | APEN | Common Stock | D | 77,075 | 408,827 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 61,949 | 129 | 142,422 | |||
| 2020-05-11 | 2020-05-07 | 4 | Molesphini John J | APEN | Common Stock | D | 41,485 | 61,371 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 2.08 | 59,728 | 169,182 | |||||
| 2020-05-11 | 2020-05-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 39,997 | 88,841 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 51,610 | 107 | 229,552 | |||
| 2020-05-11 | 2020-05-07 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 34,561 | 67,327 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-03 | 4 | Newton Todd | APEN | Common Stock | D | 3,296 | 331,752 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 206 | 39,661 | ||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-20 | 2019-08-16 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 32,665 | |||
| 2019-08-20 | 2019-08-16 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 5,399 | 10,880 | ||||||
| 2019-08-20 | 2019-08-16 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 0 | 0 | 31,690 | |||
| 2019-08-20 | 2019-08-16 | 4 | Pacitti David | APEN | Common Stock | D | 3.2700 | 5,399 | 18 | 8,736 | ||||
| 2019-08-20 | 2019-08-16 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 16,536 | |||
| 2019-08-20 | 2019-08-16 | 4 | BARR JOHN R | APEN | Common Stock | D | 5,399 | 5,399 | ||||||
| 2019-08-20 | 2019-08-16 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 24,538 | |||
| 2019-08-20 | 2019-08-16 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 5,399 | 7,756 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 4,625,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 1,850,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 462,500.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | Newton Todd | APEN | 6.0% Convertible Debentures due 2024 | D | 3.25 | 400,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | Cavanaugh Stefanie L. | APEN | 6.0% Convertible Debentures due 2024 | D | 3.25 | 25,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | 6.0% Convertible Debenture due 2024 | D | 3.25 | 2,775,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | Warrant | D | 1 | 1 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | -1,000,000 | 1,580,518 | ||||||
| 2019-05-14 | 2019-05-14 | 4 | Newton Todd | APEN | Common Sock | D | 3.5418 | 3,600 | 13 | 321,268 | ||||
| 2019-05-14 | 2019-05-10 | 4 | Newton Todd | APEN | Common Sock | D | 3.5340 | 25,000 | 88 | 317,668 | ||||
| 2019-05-10 | 2019-05-07 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 48,673 | 170 | 396,510 | |||
| 2019-05-10 | 2019-05-07 | 4 | Newton Todd | APEN | Common Sock | D | 31,250 | 292,668 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 25,442 | 89 | 177,942 | |||
| 2019-05-10 | 2019-05-07 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 16,335 | 32,766 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 100,795 | |||
| 2019-05-10 | 2019-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Sock | D | 19,886 | 39,455 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 109,454 | |||
| 2019-05-10 | 2019-05-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 19,886 | 48,844 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 80,473 | |||
| 2019-05-10 | 2019-05-07 | 4 | Molesphini John J | APEN | Common Sock | D | 19,886 | 19,886 | ||||||
| 2019-02-14 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5,161,036 | ||||||||
| 2019-02-14 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5,161,036 | ||||||||
| 2018-12-31 | 2018-12-27 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.0000 | -250,000 | -750 | 2,185,426 | ||||
| 2018-12-28 | 2018-12-26 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.0000 | -500,000 | -1,500 | 2,435,426 | ||||
| 2018-11-21 | 2018-11-21 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.6050 | 3,230 | 12 | 2,935,426 | ||||
| 2018-11-21 | 2018-11-19 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.4000 | 54,200 | 184 | 2,932,196 | ||||
| 2018-11-06 | 2018-11-02 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.0000 | 300,000 | 1,500 | 2,877,996 | ||||
| 2018-08-15 | 2018-08-13 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 7.75 | 7.7500 | 8,002 | 62 | 8,002 | |||
| 2018-08-15 | 2018-08-13 | 4 | Shimer Julie Ann | APEN | Common Sock | D | 2,357 | 2,357 | ||||||
| 2018-08-15 | 2018-08-13 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 7.75 | 7.7500 | 49,500 | 384 | 49,500 | |||
| 2018-06-22 | 2018-06-20 | 4 | Newton Todd | APEN | Common Sock | D | 5.5000 | 72,727 | 400 | 268,606 | ||||
| 2018-06-22 | 2018-06-20 | 4 | Cavanaugh Stefanie L. | APEN | Common Sock | D | 5.5000 | 4,545 | 25 | 19,569 | ||||
| 2018-06-22 | 2018-06-20 | 4 | Crawford Matthew S Longchamp Interests LLC | APEN | Common Sock | I | 5.5000 | 363,500 | 1,999 | 417,215 | ||||
| 2018-03-13 | 2018-03-09 | 4 | Crawford Matthew S | APEN | Common Stock | D | 6.2000 | 4,038 | 25 | 53,715 | ||||
| 2018-03-02 | 2018-02-28 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 14,050 | 92 | 14,050 | |||
| 2018-03-02 | 2018-02-28 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 2,537 | 7,348 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 32,438 | 213 | 32,438 | |||
| 2018-03-02 | 2018-02-28 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 5,858 | 15,024 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | MEELIA RICHARD J | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 21,488 | 141 | 21,488 | |||
| 2018-03-02 | 2018-02-28 | 4 | MEELIA RICHARD J | APEN | Common Stock | D | 6,269 | 11,367 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 86,250 | 568 | 86,250 | |||
| 2018-03-02 | 2018-02-28 | 4 | Newton Todd | APEN | Common Stock | D | 28,750 | 195,879 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | McClellan William D. Jr. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 9,848 | 65 | 9,848 | |||
| 2018-03-02 | 2018-02-28 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 2,873 | 5,481 | ||||||
| 2018-01-03 | 2018-01-03 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.7826 | 6,339 | 37 | 2,577,996 | ||||
| 2018-01-03 | 2018-01-02 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.7269 | 11,343 | 65 | 2,571,657 | ||||
| 2018-01-03 | 2017-12-29 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.5621 | 5,163 | 29 | 2,560,314 | ||||
| 2017-12-28 | 2017-12-26 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.0000 | 5,287 | 26 | 2,555,151 | ||||
| 2017-12-22 | 2017-12-22 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.9968 | 41,399 | 207 | 2,549,864 | ||||
| 2017-12-22 | 2017-12-21 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.9423 | 98,324 | 486 | 2,508,465 | ||||
| 2017-12-22 | 2017-12-20 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.4969 | 45,434 | 204 | 2,410,141 | ||||
| 2017-12-13 | 2017-12-12 | 4 | Pacitti David | APEN | Stock Option (Right to Buy) | D | 3.98 | 15,154 | 15,154 | |||||
| 2017-12-13 | 2017-12-12 | 4 | Pacitti David | APEN | Common Sock | D | 3,337 | 3,337 | ||||||
| 2017-12-11 | 2017-12-07 | 4 | Schwartzhoff Bret | APEN | Incentive Stock Option (right to buy) | D | 4.37 | 39,981 | 78,481 | |||||
| 2017-12-11 | 2017-12-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 13,327 | 28,958 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S | APEN | Common Stock | D | 4,223 | 49,677 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D | APEN | Common Stock | D | 4,223 | 49,677 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-09 | 2017-11-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 4.2400 | 9,500 | 40 | 15,631 | ||||
| 2017-09-25 | 2017-09-12 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-25 | 2017-09-12 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-25 | 2017-09-12 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-19 | 2017-09-15 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 0 | |||||
| 2017-09-19 | 2017-09-15 | 4 | McWilliams Dennis L. | APEN | Common Stock | D | 1.7600 | 28,757 | 51 | 62,404 | ||||
| 2017-08-18 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4,729,414 | ||||||||
| 2017-08-18 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4,729,414 | ||||||||
| 2017-07-26 | 2017-07-25 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 5.5000 | 1,090,909 | 6,000 | 5,243,372 | ||||
| 2017-07-26 | 2017-07-26 | 4 | Novo A/S | APEN | Common Stock | D | 6.8411 | -8,426 | -58 | 1,301,842 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Novo A/S | APEN | Common Stock | D | 6.9615 | -24,504 | -171 | 1,310,268 | ||||
| 2017-07-26 | 2017-07-24 | 4 | Novo A/S | APEN | Common Stock | D | 6.8336 | -17,200 | -118 | 1,334,772 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Crawford Matthew S By PTV Evergreen Fund, LP. | APEN | Common Stock | I | 5.5000 | 1,090,909 | 6,000 | 1,090,909 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Crawford Matthew S | APEN | Common Stock | D | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Anderson Rick D By PTV Evergreen Fund, LP | APEN | Common Stock | I | 5.5000 | 1,090,909 | 6,000 | 1,090,909 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Anderson Rick D | APEN | Common Stock | D | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | MEELIA RICHARD J By The Richard J. Meelia 1997 Revocable Trust | APEN | Common Stock | I | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | 5.5000 | 273,770 | 1,506 | 469,100 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | 5.5000 | 78,965 | 434 | 400,675 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | 5.5000 | 12,548 | 69 | 63,671 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | 5.5000 | 80,276 | 442 | 293,309 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | 5.5000 | 8,986 | 49 | 45,594 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 5.5000 | 4,545 | 25 | 9,166 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Newton Todd | APEN | Common Stock | D | 5.5000 | 136,363 | 750 | 167,129 | ||||
| 2017-05-30 | 2017-05-17 | 4/A | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.3500 | 1,700 | 11 | 2,000 | ||||
| 2017-05-30 | 2017-05-16 | 4/A | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1900 | 300 | 2 | 300 | ||||
| 2017-05-30 | 2017-05-25 | 4 | Schwartzhoff Bret | APEN | Incentive Stock Option (right to buy) | D | 6.50 | 6.5000 | 15,495 | 101 | 15,495 | |||
| 2017-05-30 | 2017-05-25 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 6,131 | 6,131 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | Tribie Charles | APEN | Common Stock | D | 894 | 894 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 6.50 | 6.5000 | 9,468 | 62 | 9,468 | |||
| 2017-05-30 | 2017-05-25 | 4 | MEELIA RICHARD J | APEN | Common Stock | D | 5,098 | 5,098 | ||||||
| 2017-05-30 | 2016-12-29 | 4 | MEELIA RICHARD J by Corporation | APEN | Common Stock | I | 1.3600 | 17,501 | 24 | 17,501 | ||||
| 2017-05-30 | 2014-07-08 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 3.36 | 3.3600 | 5,751 | 19 | 5,751 | |||
| 2017-05-30 | 2012-07-30 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 2.09 | 2.0900 | 9,202 | 19 | 9,202 | |||
| 2017-05-30 | 2017-05-25 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 1,757 | 4,621 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 6.50 | 6.5000 | 4,844 | 31 | 4,844 | |||
| 2017-05-30 | 2017-05-25 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 2,608 | 2,608 | ||||||
| 2017-05-18 | 2017-05-17 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.4200 | 1,200 | 8 | 2,000 | ||||
| 2017-05-18 | 2017-05-17 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1800 | 500 | 3 | 800 | ||||
| 2017-05-18 | 2017-05-16 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1900 | 300 | 2 | 300 | ||||
| 2017-05-18 | 2017-05-18 | 4 | Newton Todd | APEN | Common Stock | D | 6.3500 | 822 | 5 | 30,766 | ||||
| 2017-05-18 | 2017-05-17 | 4 | Newton Todd | APEN | Common Stock | D | 6.1900 | 400 | 2 | 29,944 | ||||
| 2017-05-18 | 2017-05-16 | 4 | Newton Todd | APEN | Common Stock | D | 6.1200 | 899 | 6 | 29,544 | ||||
| 2017-05-11 | 2017-05-11 | 4 | Novo A/S | APEN | Common Stock | D | 5.6241 | -103,500 | -582 | 1,351,972 | ||||
| 2017-05-11 | 2017-05-10 | 4 | Novo A/S | APEN | Common Stock | D | 5.7390 | -1,500 | -9 | 1,455,472 | ||||
| 2017-02-17 | 2017-02-16 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 11.76 | 135,000 | 135,000 | |||||
| 2017-01-26 | 3 | Gostout Christopher J. | APEN | Common Stock | D | 9,622 | ||||||||
| 2017-01-26 | 3 | Gostout Christopher J. | APEN | Common Stock | D | 9,622 | ||||||||
| 2017-01-04 | 3 | Novo A/S | APEN | Common Stock | D | 2,913,944 | ||||||||
| 2017-01-04 | 3 | Novo A/S | APEN | Common Stock | D | 2,913,944 | ||||||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J | APEN | Stock Options | D | 3.36 | 5,751 | 5,751 | |||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J | APEN | Stock Options | D | 2.09 | 9,202 | 9,202 | |||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J By Meelia Ventures, LLC | APEN | Common Stock | I | 17,501 | 17,501 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Robertson Bruce C By H.I.G. Ventures - Endosurgery, LLC | APEN | Common Stock | I | 1,451,185 | 1,451,185 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV IV, L.P. | APEN | Common Stock | I | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | 195,330 | 195,330 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | 321,710 | 321,710 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | 51,123 | 51,123 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | 213,033 | 213,033 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | 36,608 | 36,608 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV Sciences II, L.P. | APEN | Common Stock | I | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV IV, L.P. | APEN | Common Stock | I | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2019-12-29 | 4 | Remeditex Ventures LLC | APEN | Common Stock | D | 1,309,392 | 1,309,392 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Creecy John W By Remeditex Ventures, LLC | APEN | Common Stock | I | 1,309,392 | 1,309,392 | ||||||
| 2016-12-30 | 2019-12-29 | 4 | H.I.G. Ventures - Endosurgery, LLC | APEN | Common Stock | D | 1,451,185 | 1,451,185 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McClellan William D. Jr. | APEN | Stock Options | D | 3.36 | 1,437 | 1,437 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Stock Options | D | 3.36 | 112,109 | 112,109 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Stock Options | D | 3.36 | 261,587 | 261,587 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Common Stock | D | 28,645 | 28,645 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Stock Options | D | 3.36 | 37,384 | 37,384 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 2,864 | 2,864 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 3.36 | 56,018 | 56,018 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 28,757 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 28,757 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 3.36 | 27,404 | 27,404 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 3.36 | 54,808 | 54,808 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 2.09 | 109,851 | 109,851 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Common Stock | D | 33,647 | 33,647 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Schwartzhoff Bret | APEN | Stock Options | D | 1.76 | 11,502 | 11,502 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Schwartzhoff Bret | APEN | Stock Options | D | 3.36 | 23,005 | 23,005 | |||||
| 2016-03-16 | 2016-03-09 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 3,485 | 19,916 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -4,646 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Petree Daniel H | LPTN | Common Stock | D | 4,646 | 11,155 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Swortwood Donald | LPTN | Common Stock | D | 3,485 | 9,200 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | -9,500 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 0.1900 | -3,325 | -1 | 32,116 | ||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 9,500 | 35,441 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Ferrell Jeffrey | LPTN | Common Stock | D | 3,485 | 12,486 | ||||||
| 2016-02-18 | 2016-02-16 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | MATHEWS CHARLES | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2015-09-10 | 2015-09-09 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -794 | 0 | ||||||
| 2015-09-10 | 2015-09-09 | 4 | Petree Daniel H | LPTN | Common Stock | D | 794 | 6,509 | ||||||
| 2015-06-18 | 2015-06-16 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-06-18 | 2015-06-16 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-06-18 | 2015-06-16 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-04-23 | 2015-04-22 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 5,715 | 16,431 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Petree Daniel H | LPTN | Common Stock | D | 5,715 | 5,715 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Swortwood Donald | LPTN | Common Stock | D | 5,715 | 5,715 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Ferrell Jeffrey | LPTN | Common Stock | D | 5,715 | 9,001 | ||||||
| 2015-02-12 | 2015-02-10 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | 16,667 | 0 | ||||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | -7,143 | 0 | ||||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 2.8700 | -2,500 | -7 | 25,941 | ||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 7,143 | 28,441 | ||||||
| 2015-02-11 | 2015-02-09 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2015-02-11 | 2015-02-09 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2015-02-11 | 2015-02-09 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.7700 | 2,955 | 8 | 13,286 | ||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.7800 | 500 | 1 | 10,331 | ||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.8000 | 6,545 | 18 | 9,831 | ||||
| 2014-11-04 | 2014-11-03 | 4 | Lack Michael | LPTN | Restricted Stock Units | D | 15,000 | 15,000 | ||||||
| 2014-10-02 | 3 | HBM Healthcare Investments (Cayman) Ltd. | LPTN | Common Stock | D | 5,561,672 | ||||||||
| 2014-10-02 | 3 | HBM Healthcare Investments (Cayman) Ltd. | LPTN | Common Stock | D | 5,561,672 | ||||||||
| 2014-08-21 | 2014-08-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 3.1000 | 5,000 | 16 | 21,298 | ||||
| 2014-08-19 | 2014-08-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.0000 | 10,000 | 30 | 116,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2500 | 2,800 | 9 | 106,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.1700 | 2,200 | 7 | 103,635 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2200 | 3,000 | 10 | 101,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2500 | 2,000 | 6 | 98,435 | ||||
| 2014-08-18 | 2014-02-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 4.6600 | -6,000 | -28 | 96,435 | ||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | -2,858 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Class A Common Stock | D | 2,858 | 10,716 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Stock Option (Right to Buy) | D | 4.45 | 135,000 | 135,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | -21,429 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 4.4500 | -7,500 | -33 | 102,435 | ||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 21,429 | 109,935 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H | LPTN | Restricted Stock Unit | D | -3,286 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H By Trust | LPTN | Class A Common Stock | I | 3,286 | 3,286 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald | LPTN | Restricted Stock Unit | D | -2,858 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald By Trust | LPTN | Class A Common Stock | I | 2,858 | 761,170 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 4.45 | 75,000 | 75,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | -5,429 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 4.4500 | -1,900 | -8 | 16,298 | ||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5,429 | 18,198 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Unit | D | -3,286 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Class A Common Stock | D | 3,286 | 3,286 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 4.45 | 45,000 | 45,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 4.45 | 45,000 | 45,000 | |||||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Employee Stock Option (right to buy) | D | 0.35 | 0.3500 | -10,715 | -4 | 0 | |||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Employee Stock Option (right to buy) | D | 0.56 | 0.5600 | -15,715 | -9 | 70,000 | |||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 0.3500 | 10,715 | 4 | 88,506 | ||||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 0.5600 | 15,715 | 9 | 77,791 | ||||
| 2013-10-11 | 2013-05-23 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | -5,000 | 62,076 | ||||||
| 2013-06-27 | 2013-06-19 | 4 | Paggiarino Dario A. | LPTN | Restricted Stock Units | D | 100,000 | 100,000 | ||||||
| 2013-06-27 | 2013-06-19 | 4 | Woodnutt Gary | LPTN | Restricted Stock Units | D | 100,000 | 100,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | KISNER DANIEL L | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Units | D | 30,000 | 30,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | 8,016 | 8,016 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | 25,000 | 25,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2012-12-20 | 2012-12-19 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 4.9800 | 5,000 | 25 | 7,858 | ||||
| 2012-12-19 | 2012-12-18 | 4 | PANCOAST SCOTT R | LPTN | Common Stock | D | 4.9500 | 5,000 | 25 | 67,076 | ||||
| 2012-11-21 | 2012-11-20 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | 0.00 | -2,858 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | MATHEWS CHARLES | LPTN | Class A Common Stock | D | 2,858 | 2,858 | ||||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | 0.00 | -58,929 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 5.9900 | -27,775 | -166 | 62,076 | ||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 58,929 | 89,851 | ||||||
| 2012-11-21 | 2012-11-19 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | 0.00 | -20,429 | 0 | |||||
| 2012-11-21 | 2012-11-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 20,429 | 30,922 | ||||||
| 2012-11-21 | 2012-01-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | -957 | 10,493 | ||||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | 0.00 | -14,286 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5.9900 | -6,875 | -41 | 12,769 | ||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 14,286 | 19,644 | ||||||
| 2012-11-21 | 2012-11-19 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | 0.00 | -5,358 | 0 | |||||
| 2012-11-21 | 2012-11-19 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5,358 | 5,358 | ||||||
| 2012-10-29 | 2012-10-25 | 4 | Swortwood Donald By Trust | LPTN | Warrant | I | 1.12 | -32,355 | 0 | |||||
| 2012-10-29 | 2012-10-25 | 4 | Swortwood Donald By Trust | LPTN | Class A Common Stock | I | 1.1200 | 32,355 | 36 | 683,957 | ||||
| 2012-08-01 | 2012-07-30 | 4 | KISNER DANIEL L | LPTN | Common Stock | D | 70,590 | 70,590 | ||||||
| 2012-03-27 | 2012-03-14 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Units | D | 0.00 | 100,000 | 100,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | 0.00 | 53,333 | 53,333 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | 0.00 | 75,000 | 75,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Sabbadini Roger Allen | LPTN | Restricted Stock Units | D | 0.00 | 50,000 | 50,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-01-31 | 2011-11-29 | 5 | PANCOAST SCOTT R | LPTN | Common Stock | D | -6,450 | 80,150 | ||||||
| 2012-01-31 | 2011-01-20 | 5 | PANCOAST SCOTT R | LPTN | Common Stock | D | -23,600 | 80,150 | ||||||
| 2008-08-15 | 2008-08-13 | 4 | LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST By LB I Group Inc. | LPTN | Warrants (right to buy Common Stock) | I | 1.25 | 921,053 | 921,053 | |||||
| 2008-08-15 | 2008-08-13 | 4 | LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST By LB I Group Inc. | LPTN | Common Stock | I | 0.9500 | 3,684,211 | 3,500 | 12,105,311 | ||||
| 2006-03-07 | 2006-03-04 | 4 | MATHEWS CHARLES | LPTN | Stock Option | D | 1.25 | 1.2500 | 50,000 | 62 | 50,000 | |||
| 2006-03-07 | 2006-03-04 | 4 | LYON JOHN R | LPTN | Stock Option | D | 1.25 | 1.2500 | 50,000 | 62 | 50,000 |
P
공개 시장에서 또는 사적으로 비파생증권 또는 파생증권 매입
S
공개 시장에서 또는 사적으로 비파생증권 또는 파생증권 매각
A
자사로부터 유가증권(옵션 등)을 보조, 지급 또는 기타 취득
C
파생상품 전환
D
자사에게 유가증권을 매각 또는 양도
F
기업으로부터 인도 받은 유가증권의 일부를 사용한 행사 가격 또는 조세 채무의 지급
G
내부자에 의한 또는 내부자에게 증권 증여
K
지분스왑 및 유사 위험 회피거래
M
자사로부터 인도 받은 파생증권(옵션 등)의 행사 또는 전환
V
보고서 양식 4에 자진 신고된 거래
J
기타 (거래 내용을 설명하는 각주와 동반)
