NGNE / Neurogene Inc. - Insider Trading and Ownership Report - SEC Form 3, 4, 5

뉴로진(주)

발행주식수 15,801,901 shares
내부자 지분8,617,263 shares
내부자 주주54.53 %
전체 내부자44
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)

-4 ( )
10447 out of 10948

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)

-0.452% ( )
10495 out of 10786

"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

Neurogene 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
Kamran Alam CFO, Vice President Finance - [O] 0 0
Baker Bros. Advisors Lp Director, 10% Owner - [D] [10%] 1,658,190 1,658,190
Julian Baker 10% Owner - [10%] 3,501,691 1,658,190
Martin Babler 25,000
Baker Bros. Advisors (GP) LLC 10% Owner - [10%] 25,000 1,658,190
Meta Cantey Boyd 0
Gary Bridger Director - [D] 0 0
Stuart Cobb Chief Scientific Officer - [O] 30,497 30,497
Donna Cochener 400,000
Christine Mikail Cvijic President and CFO, Director - [D] [O] 93,640 93,640
Jonathan G Drachman President and CEO, Director - [D] [O] 100,000 20,000
Jeremy Green 10% Owner - [10%] 4,041,211 808,242
Robert Ho Chief Financial Officer - [O] 21,503 4,301
& Johnson Johnson 10% Owner - [10%] 100,000 100,000
내부자 평균 이익률 (%) 소유
지분
주식
분할
Abigail Jenkins Chief Commercial Officer - [O] 0 0
Johnson & Johnson Innovation - JJDC, Inc. 10% Owner - [10%] 100,000 100,000
Elaine V Jones Director - [D] 0 0
Julie Jordan Chief Medical Officer - [O] 12,472 12,472
Daniel J Levitt Director - [D] 0 0
Erin Lavelle 25,000
Lavelle Erin M. 0
Richard S Levy 0
Lloyd MacKenzie Chief Operating Officer - [O] 0 0
David Main President and CEO, Director - [D] [O] 71,530 71,530
Shelley McCloskey VP, HR and Administration - [O] 0 0
Rachel McMinn Chief Executive Officer, Director - [D] [O] 1,344,307 1,344,307
David Chilton Mitchell VP Global Regulatory & Quality - [O] 3,575 3,575
Kelvin Neu Director - [D] 72 72
Nolan Sean P. 25,000
내부자 평균 이익률 (%) 소유
지분
주식
분할
Noonberg Sarah B. 25,000
Rohan Palekar 25,000
Pfizer Inc 10% Owner - [10%] 975,403 975,403
Priti Patel - 37,313 7,463
Robert Pelzer 15,000
Redmile Group, LLC 10% Owner - [10%] 4,041,211 808,242
Stephen B Shrewsbury CMO; Senior VP Clinical Dev. - [O] 400 400
Todd E Simpson Director - [D] 0 0
Samsara BioCapital GP, LLC 10% Owner - [10%] 1,668,357 1,668,357
Sean Michael Smith Interim CFO, Prin Acct Off - [O] 21,637 4,327
Barbara Troupin Chief Medical Officer - [O] 0 0
Holly Vance 100,000
Ventures West 8 Limited Partnership 10% Owner - [10%] 1,543,989 1,543,989
Carl Walkey Senior Vice President - [O] 1,352,489 270,498
Lewis T Williams 25,000

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내부자의 매입 내역 추적: 단기 이익 분석

이 섹션에서는 NGNE / Neurogene Inc.에서 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.

거래일 내부자 보고된
지분
보고된
가격
조정된
지분
조정된
가격
가격 기준 최고까지
일수
최고에서
가격
최고
이익 ($)
최고 수익률 (%)
2024-11-26 Samsara BioCapital GP, LLC 2,000 27.5000 2,000 27.5000 55,000 323 34.3700 13,740 24.98
2024-11-26 Samsara BioCapital GP, LLC 15,219 26.7300 15,219 26.7300 406,804
2024-11-26 Samsara BioCapital GP, LLC 10,803 26.0100 10,803 26.0100 280,986
2024-11-26 Samsara BioCapital GP, LLC 20,748 24.9100 20,748 24.9100 516,833
2024-11-22 McMinn Rachel 47,500 20.4000 47,500 20.4000 969,000
2024-11-22 Cvijic Christine Mikail 24,000 20.4750 24,000 20.4750 491,400
2023-08-17 BAKER BROS. ADVISORS LP 7,676 0.6924 1,535 3.4620 5,315
2023-08-17 BAKER BROS. ADVISORS LP 93,091 0.6924 18,618 3.4620 64,456
2023-08-17 BAKER BROS. ADVISORS LP 5,041 0.6928 1,008 3.4640 3,492

조정된 가격은 분할 조정 가격입니다. 조정된 지분은 분할 조정 지분입니다.

NGNE / Neurogene Inc. Insider Trades
내부자 매매의 실적: 단기 손실 분석

이 섹선에서는 NGNE / Neurogene Inc.에서 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.

거래일 내부자 보고된
지분
보고된
가격
조정된
지분
조정된
가격
가격 기준 최저까지
일수
최저에서
가격
회피된
최대 손실($)
회피된
최대 손실율(%)
2026-03-26 McMinn Rachel 3,352 22.0749 3,352 22.0749 73,995 18 19.2800 -9,368 -12.66
2026-03-26 Jordan Julie 828 21.8932 828 21.8932 18,128
2026-03-26 Cvijic Christine Mikail 2,558 21.6247 2,558 21.6247 55,316
2026-03-13 Cvijic Christine Mikail 263 22.0195 263 22.0195 5,791
2026-03-13 Cvijic Christine Mikail 1,395 21.2451 1,395 21.2451 29,637
2026-03-13 Cvijic Christine Mikail 2,387 20.4224 2,387 20.4224 48,748
2025-03-13 Cvijic Christine Mikail 4,501 16.9400 4,501 16.9400 76,247
2023-08-11 Smith Sean Michael 1,323 0.6184 265 3.0920 818
2023-04-03 Patel Priti 3,769 0.6919 754 3.4595 2,608

조정된 가격은 분할 조정 가격입니다. 조정된 지분은 분할 조정 지분입니다.

NGNE / Neurogene Inc. Insider Trades
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 10b5-1 직접 행사
가격
단위
가격
단위
변동
가치
변동 (단위: 1,000)
잔여
옵션
잔여
주식
2026-05-08 2026-05-06 4 Cvijic Christine Mikail NGNE Common Stock S - Sale D 32.4358 -4,800 -156 93,640
2026-05-08 2026-05-06 4 Cvijic Christine Mikail NGNE Common Stock S - Sale D 30.0732 -4,800 -144 98,440
2026-03-30 2026-03-26 4 Cvijic Christine Mikail NGNE Common Stock S - Sale D 21.6247 -2,558 -55 103,240
2026-03-30 2026-03-26 4 Jordan Julie NGNE Common Stock S - Sale D 21.8932 -828 -18 12,472
2026-03-30 2026-03-26 4 McMinn Rachel NGNE Common Stock S - Sale D 22.0749 -3,352 -74 1,344,307
2026-03-17 2026-03-13 4 Cvijic Christine Mikail NGNE Common Stock S - Sale D 22.0195 -263 -6 105,798
2026-03-17 2026-03-13 4 Cvijic Christine Mikail NGNE Common Stock S - Sale D 21.2451 -1,395 -30 106,061
2026-03-17 2026-03-13 4 Cvijic Christine Mikail NGNE Common Stock S - Sale D 20.4224 -2,387 -49 107,456
2026-03-17 2026-03-13 4 Cobb Stuart NGNE Common Stock S - Sale D 22.0800 -148 -3 30,497
2026-03-17 2026-03-13 4 Cobb Stuart NGNE Common Stock S - Sale D 21.3400 -2,658 -57 30,645
2026-03-17 2026-03-13 4 Cobb Stuart NGNE Common Stock S - Sale D 20.4100 -3,991 -81 33,303
2026-03-03 2026-02-27 4 Cvijic Christine Mikail NGNE Common Stock S - Sale D 25.1096 -4,800 -121 109,843
2026-02-24 2026-02-20 4 Cobb Stuart NGNE Common Stock A - Award D 16,500 37,294
2026-02-24 2026-02-20 4 Cvijic Christine Mikail NGNE Common Stock A - Award D 22,000 114,643
2026-02-24 2026-02-20 4 Jordan Julie NGNE Common Stock A - Award D 4,900 13,300
2026-02-24 2026-02-20 4 McMinn Rachel NGNE Common Stock A - Award D 25,900 1,347,659
2025-05-15 2025-05-14 4 Cobb Stuart NGNE Common Stock S - Sale D 15.1542 -6,797 -103 20,794
2025-03-28 2025-03-26 4 Cobb Stuart NGNE Common Stock A - Award D 7,200 27,591
2025-03-28 2025-03-26 4 Cvijic Christine Mikail NGNE Common Stock A - Award D 20,300 92,643
2025-03-28 2025-03-26 4 Jordan Julie NGNE Common Stock A - Award D 8,400 8,400
2025-03-28 2025-03-26 4 McMinn Rachel NGNE Common Stock A - Award D 23,900 1,274,259
2025-03-17 2025-03-13 4 Cvijic Christine Mikail NGNE Common Stock S - Sale D 16.9400 -4,501 -76 72,343
2024-11-27 2024-11-26 4 Samsara BioCapital GP, LLC By Samsara BioCapital, L.P. NGNE Common Stock P - Purchase I 27.5000 2,000 55 1,717,127
2024-11-27 2024-11-26 4 Samsara BioCapital GP, LLC By Samsara BioCapital, L.P. NGNE Common Stock P - Purchase I 26.7300 15,219 407 1,715,127
2024-11-27 2024-11-26 4 Samsara BioCapital GP, LLC By Samsara BioCapital, L.P. NGNE Common Stock P - Purchase I 26.0100 10,803 281 1,699,908
2024-11-27 2024-11-26 4 Samsara BioCapital GP, LLC By Samsara BioCapital, L.P. NGNE Common Stock P - Purchase I 24.9100 20,748 517 1,689,105
2024-11-27 3 Samsara BioCapital GP, LLC By Samsara BioCapital, L.P. NGNE Common Stock I 1,668,357
2024-11-25 2024-11-22 4 McMinn Rachel NGNE Common Stock P - Purchase D 20.4000 47,500 969 1,297,859
2024-11-25 2024-11-22 4 Cvijic Christine Mikail NGNE Common Stock P - Purchase D 20.4750 24,000 491 76,844
2024-03-14 2024-03-13 4 Cvijic Christine Mikail NGNE Common Stock A - Award D 31,903 52,844
2024-03-14 2024-03-13 4 Cobb Stuart NGNE Common Stock A - Award D 20,391 20,391
2023-12-26 3 Cvijic Christine Mikail NGNE Common Stock D 20,941
2023-12-26 3 McMinn Rachel NGNE Common Stock D 1,250,359
2023-10-10 2023-10-05 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock X - Other I 535,601 1,658,190
2023-10-10 2023-10-05 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock X - Other I 57,049 155,874
2023-08-17 2023-08-17 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6928 61,134 42 5,612,949
2023-08-17 2023-08-17 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6928 5,041 3 494,133
2023-08-17 2023-08-17 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6924 93,091 64 5,551,815
2023-08-17 2023-08-17 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6924 7,676 5 489,092
2023-08-17 2023-08-16 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6828 4,434 3 5,458,724
2023-08-17 2023-08-16 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6828 366 0 481,416
2023-08-17 2023-08-16 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6805 207,676 141 5,454,290
2023-08-17 2023-08-16 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6805 17,124 12 481,050
2023-08-17 2023-08-15 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6650 4,342 3 5,246,614
2023-08-17 2023-08-15 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6650 358 0 463,926
2023-08-17 2023-08-15 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6308 1,740,581 1,098 5,242,272
2023-08-17 2023-08-15 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 0.6308 143,519 91 463,568
2023-08-14 2023-08-11 4 Smith Sean Michael NLTX Common Stock S - Sale D 0.6184 -1,323 -1 21,637
2023-08-14 2023-08-10 4 Smith Sean Michael NLTX Common Stock M - Exercise D 5,000 22,960
2023-04-04 2023-04-03 4 Patel Priti NLTX Common Stock S - Sale D 0.6919 -3,769 -3 37,313
2023-04-04 2023-03-31 4 Patel Priti NLTX Common Stock M - Exercise D 10,000 41,082
2023-02-03 2023-02-02 4 Patel Priti NLTX Common Stock S - Sale D 0.5972 -14,380 -9 31,082
2023-02-03 2023-02-01 4 Patel Priti NLTX Common Stock M - Exercise D 35,000 45,462
2023-02-03 2023-02-02 4 Smith Sean Michael NLTX Common Stock S - Sale D 0.5972 -3,316 -2 15,960
2023-02-03 2023-02-01 4 Smith Sean Michael NLTX Common Stock M - Exercise D 12,500 19,276
2022-08-12 2022-08-10 4 Smith Sean Michael NLTX Common Stock S - Sale D 0.9914 -1,655 -2 6,776
2022-08-12 2022-08-10 4 Smith Sean Michael NLTX Common Stock M - Exercise D 5,000 8,431
2022-05-16 2022-05-12 4 SIMPSON TODD E NLTX Stock Option (Right to Buy) A - Award D 1.07 25,000 25,000
2022-05-16 2022-05-12 4 PALEKAR ROHAN NLTX Stock Option (Right to Buy) A - Award D 1.07 25,000 25,000
2022-05-16 2022-05-12 4 Lavelle Erin NLTX Stock Option (Right to Buy) A - Award D 1.07 25,000 25,000
2022-05-16 2022-05-12 4 Noonberg Sarah B. NLTX Stock Option (Right to Buy) A - Award D 1.07 25,000 25,000
2022-05-16 2022-05-12 4 Babler Martin NLTX Stock Option (Right to Buy) A - Award D 1.07 25,000 25,000
2022-05-16 2022-05-12 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Non-Qualified Stock Option (right to buy) A - Award I 1.07 25,000 25,000
2022-05-03 2022-05-02 4 Patel Priti NLTX Common Stock S - Sale D 1.2186 -5,538 -7 6,462
2022-05-03 2022-04-30 4 Patel Priti NLTX Restricted Stock Units M - Exercise D 0.00 10,000 10,000
2022-05-03 2022-04-30 4 Patel Priti NLTX Common Stock M - Exercise D 10,000 12,000
2022-03-15 2022-03-14 4 Cochener Donna NLTX Stock Option (Right to Buy) A - Award D 1.81 400,000 400,000
2022-03-04 2022-03-02 4 PALEKAR ROHAN NLTX Stock Option (Right to Buy) A - Award D 2.72 50,000 50,000
2022-03-03 3 Smith Sean Michael NLTX Common Stock D 3,431
2022-03-03 2022-03-02 4 Smith Sean Michael NLTX Stock Option (Right to Buy) A - Award D 2.72 80,000 80,000
2022-02-14 2021-10-26 5 DRACHMAN JONATHAN G NLTX Common Stock G - Gift I 75,000 100,000
2022-02-14 2021-10-26 5 DRACHMAN JONATHAN G NLTX Common Stock G - Gift I 75,000 100,000
2022-02-14 2021-10-26 5 DRACHMAN JONATHAN G NLTX Common Stock G - Gift D -75,000 2,198,686
2022-02-14 2021-10-26 5 DRACHMAN JONATHAN G NLTX Common Stock G - Gift D -75,000 2,198,686
2022-02-02 2022-02-01 4 Walkey Carl NLTX Restricted Stock Units A - Award D 0.00 55,000 55,000
2022-02-02 2022-02-01 4 Patel Priti NLTX Restricted Stock Units A - Award D 0.00 70,000 70,000
2022-02-02 2022-02-01 4 Ho Robert NLTX Restricted Stock Units A - Award D 0.00 70,000 70,000
2021-08-26 2021-08-25 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase I 6.4490 25,000 161 25,000
2021-08-26 2021-08-25 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase I 6.4490 25,000 161 25,000
2021-08-26 2021-08-24 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase D 6.1110 100,000 611 2,348,686
2021-08-05 2021-08-03 4 Walkey Carl NLTX Stock Option (Right to Buy) A - Award D 6.80 100,000 100,000
2021-08-05 2021-08-03 4 Vance Holly NLTX Stock Option (Right to Buy) A - Award D 6.80 100,000 100,000
2021-08-05 2021-08-03 4 Patel Priti NLTX Stock Option (Right to Buy) A - Award D 6.80 50,000 50,000
2021-08-05 2021-08-03 4 Ho Robert NLTX Stock Option (Right to Buy) A - Award D 6.80 190,000 190,000
2021-08-05 2021-08-03 4 DRACHMAN JONATHAN G NLTX Stock Option (Right to Buy) A - Award D 6.80 400,000 400,000
2021-06-17 2021-06-16 4 Walkey Carl NLTX Common Stock S - Sale D 10.1900 -600 -6 1,352,489
2021-06-11 2021-06-09 4 Walkey Carl NLTX Common Stock S - Sale D 10.8246 -650 -7 1,353,089
2021-06-09 2021-06-08 4 Walkey Carl NLTX Common Stock S - Sale D 11.0000 -600 -7 1,353,739
2021-06-07 2021-06-04 4 Walkey Carl NLTX Common Stock S - Sale D 10.0000 -600 -6 1,354,339
2021-06-07 2021-06-04 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase D 9.6082 10,000 96 2,248,686
2021-06-07 2021-06-03 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase D 9.4818 40,000 379 2,238,686
2021-05-26 2021-05-26 4 Walkey Carl NLTX Common Stock S - Sale D 10.0000 -600 -6 1,354,939
2021-05-21 2021-05-19 4 Walkey Carl NLTX Common Stock S - Sale D 10.6300 -600 -6 1,355,539
2021-05-13 2021-05-11 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Non-Qualified Stock Option (right to buy) A - Award I 11.40 25,000 25,000
2021-05-13 2021-05-11 4 Babler Martin NLTX Stock Option (Right to Buy) A - Award D 11.40 25,000 25,000
2021-05-13 2021-05-11 4 Lavelle Erin M. NLTX Stock Option (Right to Buy) A - Award D 11.40 25,000 25,000
2021-05-13 2021-05-11 4 Noonberg Sarah B. NLTX Stock Option (Right to Buy) A - Award D 11.40 25,000 25,000
2021-05-13 2021-05-11 4 Williams Lewis T NLTX Stock Option (Right to Buy) A - Award D 11.40 25,000 25,000
2021-05-13 2021-05-11 4 SIMPSON TODD E NLTX Stock Option (Right to Buy) A - Award D 11.40 25,000 25,000
2021-05-12 2021-05-12 4 Walkey Carl NLTX Common Stock S - Sale D 11.0900 -1,200 -13 1,354,762
2021-05-06 2021-05-05 4 Walkey Carl NLTX Common Stock S - Sale D 11.3000 -1,200 -14 1,355,962
2021-05-04 2021-04-30 4 Patel Priti NLTX Stock Option (Right to Buy) A - Award D 12.49 475,000 475,000
2021-05-04 2021-04-30 4 Patel Priti NLTX Restricted Stock Units A - Award D 0.00 20,000 20,000
2021-04-30 2021-04-28 4 Walkey Carl NLTX Common Stock S - Sale D 12.5800 -2,400 -30 1,357,162
2021-04-27 2021-04-26 4 Walkey Carl NLTX Common Stock S - Sale D 13.0000 -600 -8 1,359,562
2021-04-22 2021-04-21 4 Walkey Carl NLTX Common Stock S - Sale D 11.9800 -1,800 -22 1,360,162
2021-04-16 2021-04-14 4 Walkey Carl NLTX Common Stock S - Sale D 12.2200 -1,800 -22 1,361,962
2021-04-08 2021-04-07 4 Walkey Carl NLTX Common Stock S - Sale D 12.0200 -1,800 -22 1,363,762
2021-04-06 2021-04-05 4 Walkey Carl NLTX Common Stock S - Sale D 13.0000 -600 -8 1,365,562
2021-04-02 2021-03-31 4 Walkey Carl NLTX Common Stock S - Sale D 11.9600 -1,800 -22 1,366,162
2021-03-24 2021-03-24 4 Walkey Carl NLTX Common Stock S - Sale D 11.9533 -1,800 -22 1,367,962
2021-03-24 2021-03-22 4 Walkey Carl NLTX Common Stock S - Sale D 12.0000 -600 -7 1,369,762
2021-03-18 2021-03-17 4 Walkey Carl NLTX Common Stock S - Sale D 11.3600 -1,200 -14 1,370,362
2021-03-18 2021-03-17 4 Ho Robert NLTX Common Stock S - Sale D 11.0137 -6,497 -72 21,503
2021-03-18 2021-03-16 4 Ho Robert NLTX Restricted Stock Units M - Exercise D 0.00 25,000 50,000
2021-03-18 2021-03-16 4 Ho Robert NLTX Common Stock M - Exercise D 25,000 28,000
2021-03-11 2021-03-10 4 Walkey Carl NLTX Common Stock S - Sale D 11.9667 -1,800 -22 1,371,562
2021-03-04 2021-03-03 4 Walkey Carl NLTX Common Stock S - Sale D 11.8667 -1,800 -21 1,373,362
2021-02-25 2021-02-25 4 Walkey Carl NLTX Common Stock S - Sale D 13.0000 -600 -8 1,375,162
2021-02-25 2021-02-24 4 Walkey Carl NLTX Common Stock S - Sale D 12.1400 -1,800 -22 1,375,762
2021-02-18 2021-02-17 4 Walkey Carl NLTX Common Stock S - Sale D 12.7000 -2,400 -30 1,377,562
2021-02-12 2021-02-10 4 Walkey Carl NLTX Common Stock S - Sale D 14.2000 -3,000 -43 1,379,962
2021-02-09 2021-02-05 4 Walkey Carl NLTX Common Stock S - Sale D 14.0000 -600 -8 1,382,962
2021-02-05 2021-02-03 4 Walkey Carl NLTX Common Stock S - Sale D 13.2300 -2,400 -32 1,383,562
2021-02-02 2021-01-30 4 Walkey Carl NLTX Stock Option (Right to Buy) A - Award D 12.60 45,000 45,000
2021-02-02 3 Walkey Carl NLTX Common Stock D 1,385,962
2020-12-23 2020-07-07 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Pre-Funded Warrants P - Purchase I 518,555 10,283,888
2020-12-23 2020-07-07 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Pre-Funded Warrants P - Purchase I 38,974 1,199,122
2020-12-23 2020-07-07 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 15.2500 394,360 6,014 3,501,691
2020-12-23 2020-07-07 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 15.2500 29,640 452 320,049
2020-10-20 2020-10-19 4 Vance Holly NLTX Stock Option (Right to Buy) A - Award D 12.30 220,000 220,000
2020-09-10 2020-09-08 4 Babler Martin NLTX Stock Option (Right to Buy) A - Award D 12.25 50,000 50,000
2020-08-12 2020-08-10 4 DRACHMAN JONATHAN G NLTX Stock Option (Right to Buy) A - Award D 12.00 420,000 420,000
2020-08-12 2020-08-10 4 Ho Robert NLTX Stock Option (Right to Buy) A - Award D 12.00 90,000 90,000
2020-06-02 2020-06-01 4 Lavelle Erin M. NLTX Stock Option (Right to Buy) A - Award D 13.58 50,000 50,000
2020-05-07 2020-05-05 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Non-Qualified Stock Option (right to buy) A - Award I 12.84 25,000 25,000
2020-05-07 2020-05-05 4 Nolan Sean P. NLTX Stock Option (Right to Buy) A - Award D 12.84 25,000 25,000
2020-05-07 2020-05-05 4 Noonberg Sarah B. NLTX Stock Option (Right to Buy) A - Award D 12.84 25,000 25,000
2020-05-07 2020-05-05 4 SIMPSON TODD E NLTX Stock Option (Right to Buy) A - Award D 12.84 25,000 25,000
2020-05-07 2020-05-05 4 Williams Lewis T NLTX Stock Option (Right to Buy) A - Award D 12.84 25,000 25,000
2020-04-06 2020-04-02 4 Redmile Group, LLC NLTX Common Stock S - Sale I 11.8200 -100 -1 4,041,211
2020-04-06 2020-04-02 4 Redmile Group, LLC NLTX Common Stock S - Sale I 11.3039 -9,734 -110 4,041,311
2020-04-06 2020-04-02 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 11.8506 1,000 12 4,051,045
2020-04-06 2020-04-02 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 11.3605 38,300 435 4,050,045
2020-04-06 2020-04-01 4 Redmile Group, LLC NLTX Common Stock S - Sale I 11.8650 -200 -2 4,011,745
2020-04-06 2020-04-01 4 Redmile Group, LLC NLTX Common Stock S - Sale I 11.0616 -9,634 -107 4,011,945
2020-04-06 2020-04-01 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 11.6517 9,000 105 4,021,579
2020-04-06 2020-04-01 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 10.9482 33,500 367 4,012,579
2020-04-06 2020-03-31 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 10.7079 7,500 80 3,979,079
2020-04-06 2020-03-31 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 10.1813 22,500 229 3,971,579
2020-04-06 2020-03-30 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 10.2744 2,700 28 3,949,079
2020-04-06 2020-03-30 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 9.9050 29,800 295 3,946,379
2020-04-06 2020-03-27 4 Redmile Group, LLC NLTX Common Stock P - Purchase I 9.2079 50,000 460 3,916,579
2020-04-06 3 Green Jeremy NLTX Common Stock I 7,733,158
2020-04-06 3 Green Jeremy NLTX Common Stock I 7,733,158
2020-04-06 3 Green Jeremy NLTX Common Stock I 7,733,158
2020-04-06 3 Green Jeremy NLTX Common Stock I 7,733,158
2020-03-16 3 Ho Robert NLTX Common Stock D 6,000
2020-03-16 3 Ho Robert NLTX Common Stock D 6,000
2020-03-16 3 Ho Robert NLTX Common Stock D 6,000
2020-03-16 2020-03-16 4 Ho Robert NLTX Stock Option (Right to Buy) A - Award D 6.44 200,000 200,000
2020-03-16 2020-03-16 4 Ho Robert NLTX Restricted Stock Units A - Award D 0.00 75,000 75,000
2019-12-20 2019-12-20 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase D 8.4000 119,047 1,000 2,198,686
2019-12-20 2019-11-12 4 DRACHMAN JONATHAN G NLTX Common Stock C - Conversion D 1,261,600 2,079,639
2019-12-20 2019-11-12 4 DRACHMAN JONATHAN G NLTX Series A Preferred Stock C - Conversion D -12,616 0
2019-12-20 2019-12-20 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Pre-funded Warrants A - Award I 9,765,333 9,765,333
2019-12-20 2019-12-20 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Pre-funded Warrants A - Award I 1,160,148 1,161,048
2019-12-20 2019-12-20 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock D - Sale to Issuer I -9,765,333 3,107,331
2019-12-20 2019-12-20 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock D - Sale to Issuer I -1,160,148 290,409
2019-12-20 2019-12-20 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 8.4000 2,767,505 23,247 12,872,664
2019-12-20 2019-12-20 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Common Stock P - Purchase I 8.4000 250,037 2,100 1,450,557
2019-10-15 2019-10-10 4 BAKER BROS. ADVISORS LP See Footnotes NLTX Non-Qualified Stock Option (right to buy) A - Award I 2.82 22,000 22,000
2019-10-15 2019-10-10 4 Williams Lewis T NLTX Stock Option (right to buy) A - Award D 2.82 22,000 22,000
2019-10-15 2019-10-10 4 Nolan Sean P. NLTX Stock Option (right to buy) A - Award D 2.82 22,000 22,000
2019-10-15 2019-10-10 4 Noonberg Sarah B. NLTX Stock Option (right to buy) A - Award D 2.82 22,000 22,000
2019-10-15 2019-10-10 4 SIMPSON TODD E NLTX Stock Option (right to buy) A - Award D 2.82 22,000 22,000
2019-09-13 2019-08-08 4/A DRACHMAN JONATHAN G NLTX Series A Preferred Stock A - Award D 12,616 12,616
2019-09-13 2019-08-08 4/A DRACHMAN JONATHAN G NLTX Common Stock A - Award D 568,039 568,039
2019-09-11 2019-09-11 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase D 3.2975 136,436 450 584,428
2019-09-11 2019-09-10 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase D 3.0834 36,742 113 447,992
2019-09-11 2019-09-09 4 DRACHMAN JONATHAN G NLTX Common Stock P - Purchase D 2.8450 76,822 219 411,250
2019-09-04 2019-08-31 4 DRACHMAN JONATHAN G NLTX Stock Option (Right to Buy) A - Award D 2.80 1,650,000 1,650,000
2019-08-12 2019-08-08 4 DRACHMAN JONATHAN G NLTX Series A Preferred Stock A - Award D 7,428 7,428
2019-08-12 2019-08-08 4 DRACHMAN JONATHAN G NLTX Common Stock A - Award D 334,428 334,428
2019-08-08 2019-08-07 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 3.1529 50,436 159 10,105,159
2019-08-08 2019-08-07 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 3.1529 4,564 14 1,200,520
2019-08-08 2019-08-07 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 3.0244 209,382 633 10,054,723
2019-08-08 2019-08-07 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 3.0244 18,943 57 1,195,956
2019-08-08 2019-08-07 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 2.9576 5,869 17 9,845,341
2019-08-08 2019-08-07 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 2.9576 531 2 1,177,013
2019-08-08 2019-08-06 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 2.8469 65,568 187 9,839,472
2019-08-08 2019-08-06 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 2.8469 5,932 17 1,176,482
2019-08-08 2019-08-06 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 2.8328 9,445 27 9,773,904
2019-08-08 2019-08-06 4 BAKER BROS. ADVISORS LP See footnotes AQXP Common Stock P - Purchase I 2.8328 855 2 1,170,550
2018-08-09 2018-08-07 4 Alam Kamran AQXP Stock Option (Right to Buy) A - Award D 3.07 195,000 195,000
2018-08-09 2018-08-07 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) A - Award D 3.07 145,000 145,000
2018-08-09 2018-08-07 4 McCloskey Shelley AQXP Stock Option (Right to Buy) A - Award D 3.07 75,000 75,000
2018-08-09 2018-08-07 4 Main David AQXP Stock Option (Right to Buy) A - Award D 3.07 415,000 415,000
2018-05-16 2018-05-14 4 LEVITT DANIEL J AQXP Stock Option (Right to Buy) M - Exercise D 10.56 -3,906 0
2018-05-16 2018-05-14 4 LEVITT DANIEL J AQXP Common Stock S - Sale D 12.6700 -3,906 -49 0
2018-05-16 2018-05-14 4 LEVITT DANIEL J AQXP Common Stock M - Exercise D 10.5600 3,906 41 3,906
2018-05-09 2018-05-07 4 Pelzer Robert AQXP Stock Option (Right to Buy) A - Award D 13.10 15,000 15,000
2018-05-09 2018-05-07 4 SIMPSON TODD E AQXP Stock Option (Right to Buy) A - Award D 13.10 15,000 15,000
2018-05-09 2018-05-07 4 LEVITT DANIEL J AQXP Stock Option (Right to Buy) A - Award D 13.10 15,000 15,000
2018-05-09 2018-05-07 4 Nolan Sean P. AQXP Stock Option (Right to Buy) A - Award D 13.10 15,000 15,000
2018-05-09 2018-05-07 4 Bridger Gary AQXP Stock Option (Right to Buy) A - Award D 13.10 15,000 15,000
2018-05-09 2018-05-07 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Non-Qualified Stock Option (right to buy) A - Award I 13.10 30,000 30,000
2018-03-19 2018-03-15 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) M - Exercise D 10.56 -1,302 0
2018-03-19 2018-03-15 4 MacKenzie Lloyd AQXP Common Stock S - Sale D 14.6304 -1,302 -19 0
2018-03-19 2018-03-15 4 MacKenzie Lloyd AQXP Common Stock M - Exercise D 10.5600 1,302 14 1,302
2018-03-13 2018-03-09 4 Troupin Barbara AQXP Stock Option (Right to Buy) A - Award D 16.55 75,000 75,000
2018-03-13 2018-03-09 4 Alam Kamran AQXP Stock Option (Right to Buy) A - Award D 16.55 75,000 75,000
2018-03-13 2018-03-09 4 Jenkins Abigail AQXP Stock Option (Right to Buy) A - Award D 16.55 75,000 75,000
2018-03-13 2018-03-09 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) A - Award D 16.55 75,000 75,000
2018-03-13 2018-03-09 4 Main David AQXP Stock Option (Right to Buy) A - Award D 16.55 225,000 225,000
2018-03-13 2018-03-09 4 McCloskey Shelley AQXP Stock Option (Right to Buy) A - Award D 16.55 45,000 45,000
2017-06-05 2017-06-05 4 Main David AQXP Stock Option (Right to Buy) M - Exercise D 9.60 -3,625 0
2017-06-05 2017-06-05 4 Main David AQXP Common Stock S - Sale D 13.1575 -3,625 -48 71,530
2017-06-05 2017-06-05 4 Main David AQXP Common Stock M - Exercise D 9.6000 3,625 35 75,155
2017-06-05 2017-06-02 4 Main David AQXP Stock Option (Right to Buy( M - Exercise D 9.60 -6,000 3,625
2017-06-05 2017-06-02 4 Main David AQXP Common Stock S - Sale D 13.5933 -6,000 -82 71,530
2017-06-05 2017-06-02 4 Main David AQXP Common Stock M - Exercise D 9.6000 6,000 58 77,530
2017-06-05 2017-06-01 4 Main David AQXP Stock Option (Right to Buy) M - Exercise D 9.60 -6,000 9,625
2017-06-05 2017-06-01 4 Main David AQXP Common Stock S - Sale D 12.9980 -6,000 -78 71,530
2017-06-05 2017-06-01 4 Main David AQXP Common Stock M - Exercise D 9.6000 6,000 58 77,530
2017-05-10 2017-05-08 4 SIMPSON TODD E AQXP Stock Option (Right to Buy) A - Award D 13.74 9,000 9,000
2017-05-10 2017-05-08 4 Nolan Sean P. AQXP Stock Option (Right to Buy) A - Award D 13.74 9,000 9,000
2017-05-10 2017-05-08 4 Pelzer Robert AQXP Stock Option (Right to Buy) A - Award D 13.74 9,000 9,000
2017-05-10 2017-05-08 4 LEVITT DANIEL J AQXP Stock Option (Right to Buy) A - Award D 13.74 9,000 9,000
2017-05-10 2017-05-08 4 Bridger Gary AQXP Stock Option (Right to Buy) A - Award D 13.74 9,000 9,000
2017-05-09 2017-05-08 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Non-Qualified Stock Option (right to buy) A - Award I 13.74 36,000 36,000
2017-03-27 3 Neu Kelvin AQXP Common Stock D 72
2017-03-27 3 Neu Kelvin AQXP Common Stock D 72
2017-03-10 2017-03-08 4 McCloskey Shelley AQXP Stock Option (Right to Buy) A - Award D 17.35 30,000 30,000
2017-03-10 2017-03-08 4 Mitchell David Chilton AQXP Stock Option (Right to Buy) A - Award D 17.35 25,000 25,000
2017-03-10 2017-03-08 4 Troupin Barbara AQXP Stock Option (Right to Buy) A - Award D 17.35 40,000 40,000
2017-03-10 2017-03-08 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) A - Award D 17.35 50,000 50,000
2017-03-10 2017-03-08 4 Main David AQXP Stock Option (Right to Buy) A - Award D 17.35 185,000 185,000
2017-03-10 2017-03-08 4 Alam Kamran AQXP Stock Option (Right to Buy) A - Award D 17.35 80,000 80,000
2017-03-10 2017-03-08 4 Jenkins Abigail AQXP Stock Option (Right to Buy) A - Award D 17.35 80,000 80,000
2017-02-14 2016-01-10 5 McCloskey Shelley AQXP Stock Option (Right to Buy) A - Award D 10.09 35,000 35,000
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 17.7600 32,051 569 9,764,459
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 17.7600 3,389 60 1,169,695
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 17.5996 235,169 4,139 9,732,408
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 17.5996 24,871 438 1,166,306
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 16.3053 35,360 577 9,497,239
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 16.3053 3,739 61 1,141,435
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.6226 5,006 78 9,461,879
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.6226 529 8 1,137,696
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.1300 15,148 229 9,456,873
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.1300 1,602 24 1,137,167
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 16.1970 9,143 148 9,441,725
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 16.1970 967 16 1,135,565
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.3475 8,671 133 9,432,582
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.3475 917 14 1,134,598
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 16.8533 2,442 41 9,423,911
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 16.8533 258 4 1,133,681
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.3210 11,305 173 9,421,469
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.3210 1,195 18 1,133,423
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 16.7395 5,697 95 9,410,164
2017-01-09 2017-01-09 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 16.7395 603 10 1,132,228
2016-11-10 2016-11-08 4 Troupin Barbara AQXP Stock Option (Right to Buy) A - Award D 11.77 50,000 50,000
2016-10-06 3 Troupin Barbara AQXP No securities are benefically owned D 0
2016-09-21 2016-09-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 13.1497 12,550 165 1,131,625
2016-09-21 2016-09-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 12.2500 2,476,348 30,335 9,404,467
2016-09-21 2016-09-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 12.2500 294,707 3,610 1,119,075
2016-08-05 2016-08-03 4 Jenkins Abigail AQXP Stock Option (Right to Buy) A - Award D 8.97 50,000 50,000
2016-06-15 3 Jenkins Abigail AQXP No securities are beneficially owned D 0
2016-05-11 2016-05-09 4 LEVITT DANIEL J AQXP Stock Option (Right to Buy) A - Award D 7.73 7,500 7,500
2016-05-11 2016-05-09 4 SIMPSON TODD E AQXP Stock Option (Right to Buy) A - Award D 7.73 7,500 7,500
2016-05-11 2016-05-09 4 Pelzer Robert AQXP Stock Option (Right to Buy) A - Award D 7.73 7,500 7,500
2016-05-11 2016-05-09 4 Nolan Sean P. AQXP Stock Option (Right to Buy) A - Award D 7.73 7,500 7,500
2016-05-11 2016-05-09 4 Bridger Gary AQXP Stock Option (Right to Buy) A - Award D 7.73 7,500 7,500
2016-03-16 2016-03-16 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.1560 128,975 1,052 6,928,119
2016-03-16 2016-03-16 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.1560 14,046 115 824,368
2016-03-16 2016-03-16 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.9084 185,413 1,466 6,799,144
2016-03-16 2016-03-16 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.9084 20,192 160 810,322
2016-03-16 2016-03-16 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.6993 11,840 91 6,613,731
2016-03-16 2016-03-16 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.6993 1,289 10 790,130
2016-03-16 2016-03-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0257 68,132 547 6,601,891
2016-03-16 2016-03-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0257 7,420 60 788,841
2016-03-16 2016-03-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.8786 30,986 244 6,533,759
2016-03-16 2016-03-15 4 BAKER BROS. ADVISORS LP AQXP Common Stock P - Purchase I 7.8786 3,374 27 781,421
2016-03-14 2016-03-10 4 SHREWSBURY STEPHEN B AQXP Stock Option (Right to Buy) A - Award D 8.08 35,000 35,000
2016-03-14 2016-03-10 4 Main David AQXP Stock Option (Right to Buy) A - Award D 8.08 120,000 120,000
2016-03-14 2016-03-10 4 Alam Kamran AQXP Stock Option (Right to Buy) A - Award D 8.08 40,000 40,000
2016-03-14 2016-03-10 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) A - Award D 8.08 35,000 35,000
2016-03-14 2016-03-10 4 Mitchell David Chilton AQXP Stock Option (Right to Buy) A - Award D 8.08 25,000 25,000
2016-01-26 2016-01-26 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.9960 3,581 39 6,502,773
2016-01-26 2016-01-26 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.9960 395 4 778,047
2016-01-26 2016-01-26 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.8033 66,345 717 6,499,192
2016-01-26 2016-01-26 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.8033 7,318 79 777,652
2016-01-26 2016-01-25 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 11.2043 2,522 28 6,432,847
2016-01-26 2016-01-25 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 11.2043 278 3 770,334
2016-01-26 2016-01-25 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.9755 4,503 49 6,430,325
2016-01-26 2016-01-25 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.9755 497 5 770,056
2016-01-26 2016-01-25 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 11.2326 2,833 32 6,425,822
2016-01-26 2016-01-25 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 11.2326 312 4 769,559
2016-01-26 2016-01-22 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.6908 25,650 274 6,422,989
2016-01-26 2016-01-22 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.6908 2,810 30 769,247
2016-01-26 2016-01-22 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.6000 156 2 6,397,339
2016-01-26 2016-01-22 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.6000 17 0 766,437
2016-01-26 2016-01-22 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.6937 4,021 43 6,397,183
2016-01-26 2016-01-22 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.6937 440 5 766,420
2016-01-26 2016-01-22 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 10.7814 17,221 186 6,393,162
2016-01-26 2016-01-22 4 BAKER BROS. ADVISORS LP AQXP Common Stock P - Purchase I 10.7814 1,887 20 765,980
2016-01-20 2016-01-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9000 1,734 15 6,375,941
2016-01-20 2016-01-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9000 190 2 764,093
2016-01-20 2016-01-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9572 27,996 251 6,374,207
2016-01-20 2016-01-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9572 3,067 27 763,903
2016-01-20 2016-01-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9559 13,789 123 6,346,211
2016-01-20 2016-01-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9559 1,511 14 760,836
2016-01-20 2016-01-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 9.8852 57,453 568 6,332,422
2016-01-20 2016-01-20 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 9.8852 6,294 62 759,325
2016-01-20 2016-01-19 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 9.1537 14,313 131 6,274,969
2016-01-20 2016-01-19 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 9.1537 1,568 14 753,031
2016-01-20 2016-01-19 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 9.2149 10,123 93 6,260,656
2016-01-20 2016-01-19 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 9.2149 1,109 10 751,463
2016-01-20 2016-01-19 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 9.0757 45,903 417 6,250,533
2016-01-20 2016-01-19 4 BAKER BROS. ADVISORS LP AQXP Common Stock P - Purchase I 9.0757 5,029 46 750,354
2016-01-15 2016-01-15 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.5591 47,193 404 6,204,630
2016-01-15 2016-01-15 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.5591 5,196 44 745,325
2016-01-15 2016-01-15 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9529 4,949 44 6,157,437
2016-01-15 2016-01-15 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9529 545 5 740,129
2016-01-15 2016-01-15 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.8249 3,279 29 6,152,488
2016-01-15 2016-01-15 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.8249 361 3 739,584
2016-01-15 2016-01-15 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0999 20,851 169 6,149,209
2016-01-15 2016-01-15 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0999 2,296 19 739,223
2016-01-15 2016-01-14 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0764 2,998 24 6,128,358
2016-01-15 2016-01-14 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0764 330 3 736,927
2016-01-15 2016-01-14 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.9110 12,706 101 6,125,360
2016-01-15 2016-01-14 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.9110 1,399 11 736,597
2016-01-15 2016-01-14 4/A BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.1717 90,550 740 6,112,654
2016-01-15 2016-01-14 4/A BAKER BROS. ADVISORS LP AQXP Common Stock P - Purchase I 8.1717 9,970 81 735,198
2016-01-15 2016-01-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.5591 47,193 404 6,204,630
2016-01-15 2016-01-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.5591 5,196 44 745,325
2016-01-15 2016-01-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9529 4,949 44 6,157,437
2016-01-15 2016-01-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.9529 545 5 740,129
2016-01-15 2016-01-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.8249 3,279 29 6,152,488
2016-01-15 2016-01-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.8249 361 3 739,584
2016-01-15 2016-01-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0999 20,851 169 6,149,209
2016-01-15 2016-01-15 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0999 2,296 19 739,223
2016-01-15 2016-01-14 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0764 2,998 24 6,128,358
2016-01-15 2016-01-14 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.0764 330 3 736,927
2016-01-15 2016-01-14 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.9110 12,706 101 6,125,360
2016-01-15 2016-01-14 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 7.9110 1,399 11 736,597
2016-01-15 2016-01-14 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 8.1717 90,550 740 6,112,654
2016-01-15 2016-01-14 4 BAKER BROS. ADVISORS LP AQXP Common Stock P - Purchase I 8.1717 9,970 81 735,198
2015-12-23 3 McCloskey Shelley AQXP No securities are beneficially owned D 0
2015-11-03 2015-10-31 4 Bridger Gary AQXP Common Stock J - Other I -1,543,989 0
2015-09-11 2015-09-10 4 BAKER BROS. ADVISORS LP See Footnotes AQXP Common Stock P - Purchase I 15.5000 2,213,469 34,309 6,022,104
2015-09-11 2015-09-10 4 BAKER BROS. ADVISORS LP AQXP Common Stock P - Purchase I 15.5000 266,563 4,132 725,228
2015-08-26 2015-08-24 4 Mitchell David Chilton By spouse AQXP Common Stock P - Purchase I 17.8100 3,575 64 3,575
2015-08-14 2015-08-12 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) M - Exercise D 5.76 28,075 1,872
2015-08-14 2015-08-12 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) M - Exercise D 5.76 7,812 0
2015-08-14 2015-08-12 4 MacKenzie Lloyd AQXP Common Stock S - Sale D 18.6700 -35,887 -670 0
2015-08-14 2015-08-12 4 MacKenzie Lloyd AQXP Common Stock M - Exercise D 5.7600 28,075 162 35,887
2015-08-14 2015-08-12 4 MacKenzie Lloyd AQXP Common Stock M - Exercise D 5.7600 7,812 45 7,812
2015-08-14 2015-08-12 4 Alam Kamran AQXP Stock Option (Right to Buy) M - Exercise D 5.76 -20,833 0
2015-08-14 2015-08-12 4 Alam Kamran AQXP Stock Option (Right to Buy) M - Exercise D 5.76 -8,246 2,170
2015-08-14 2015-08-12 4 Alam Kamran AQXP Common Stock S - Sale D 18.6700 -29,079 -543 0
2015-08-14 2015-08-12 4 Alam Kamran AQXP Common Stock M - Exercise D 5.7600 20,833 120 29,079
2015-08-14 2015-08-12 4 Alam Kamran AQXP Common Stock M - Exercise D 5.7600 8,246 47 8,246
2015-08-13 2015-08-11 4 Mitchell David Chilton AQXP Common Stock P - Purchase D 24.3600 1,600 39 1,600
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 23.4112 -58,632 -1,373 975,403
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 22.5994 -44,268 -1,000 1,034,035
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 24.3129 -31,400 -763 1,078,303
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 20.3476 -25,931 -528 1,109,703
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 26.3213 -13,109 -345 1,135,634
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 25.3233 -12,726 -322 1,148,743
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 38.4947 -11,627 -448 1,161,469
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 36.3687 -10,544 -383 1,173,096
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 37.2264 -9,901 -369 1,183,640
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 39.5172 -9,142 -361 1,193,541
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 21.4506 -8,969 -192 1,202,683
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 27.3561 -8,565 -234 1,211,652
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 40.2955 -6,073 -245 1,220,217
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 35.6072 -3,207 -114 1,226,290
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 28.4670 -2,975 -85 1,229,497
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 41.2475 -2,840 -117 1,232,472
2015-08-12 2015-08-10 4 PFIZER INC AQXP Common Stock S - Sale D 29.0000 -18 -1 1,235,312
2015-08-12 2015-08-11 4 JOHNSON & JOHNSON Johnson & Johnson Innovation - JJDC, Inc. AQXP Common Stock S - Sale I 20.7400 -1,283,366 -26,617 100,000
2015-08-12 2015-08-10 4 JOHNSON & JOHNSON Johnson & Johnson Innovation - JJDC, Inc. AQXP Common Stock S - Sale I 31.6600 -231,455 -7,328 1,383,366
2015-08-10 3/A BAKER FELIX AQXP Common Stock D 2,260
2015-08-10 3/A BAKER FELIX AQXP Common Stock D 2,260
2015-08-10 3 667, L.P. AQXP Common Stock I 8,075,935
2015-08-10 3 667, L.P. AQXP Common Stock I 4,725,965
2015-08-10 3 667, L.P. AQXP Common Stock I 8,075,935
2015-08-10 3 667, L.P. AQXP Common Stock I 8,075,935
2015-08-10 3 667, L.P. AQXP Common Stock I 4,725,965
2015-08-10 3 667, L.P. AQXP Common Stock I 4,725,965
2015-08-10 3 667, L.P. AQXP Common Stock I 4,725,965
2015-08-10 3 667, L.P. AQXP Common Stock I 8,075,935
2015-08-10 3 667, L.P. AQXP Common Stock I 4,725,965
2015-08-10 3 667, L.P. AQXP Common Stock I 8,075,935
2015-08-10 3 667, L.P. AQXP Common Stock I 4,725,965
2015-08-10 3 667, L.P. AQXP Common Stock I 4,725,965
2015-08-10 3 667, L.P. AQXP Common Stock I 8,075,935
2015-08-10 3 667, L.P. AQXP Common Stock I 8,075,935
2015-03-16 2015-03-12 4 SHREWSBURY STEPHEN B AQXP Stock Option (Right to Buy) A - Award D 12.03 25,000 25,000
2015-03-16 2015-03-12 4 Nolan Sean P. AQXP Stock Option (Right to Buy) A - Award D 12.03 10,000 10,000
2015-03-16 2015-03-12 4 Main David AQXP Stock Option (Right to Buy) A - Award D 12.03 65,000 65,000
2015-03-16 2015-03-12 4 Pelzer Robert AQXP Stock Option (Right to Buy) A - Award D 12.03 5,000 5,000
2015-03-16 2015-03-12 4 SIMPSON TODD E AQXP Stock Option (Right to Buy) A - Award D 12.03 5,000 5,000
2015-03-16 2015-03-12 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) A - Award D 12.03 25,000 25,000
2015-03-16 2015-03-12 4 LEVITT DANIEL J AQXP Stock Option (Right to Buy) A - Award D 12.03 5,000 5,000
2015-03-16 2015-03-12 4 Bridger Gary AQXP Stock Option (Right to Buy) A - Award D 12.03 5,000 5,000
2015-03-16 2015-03-12 4 Alam Kamran AQXP Stock Option (Right to Buy) A - Award D 12.03 25,000 25,000
2015-02-09 2014-09-02 5 SHREWSBURY STEPHEN B AQXP Common Stock P - Purchase D 8.2200 400 3 400
2015-02-03 2014-03-12 4/A JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series C Preferred Stock C - Conversion I -379,543 0
2015-02-03 2014-03-12 4/A JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series B-2 Preferred Stock C - Conversion I -292,532 0
2015-02-03 2014-03-12 4/A JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series B-1 Preferred Stock C - Conversion I -293,884 0
2015-02-03 2014-03-12 4/A JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series A-2 Preferred Stock C - Conversion I -170,454 0
2015-02-03 2014-03-12 4/A JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series A-1 Preferred Stock C - Conversion I -255,681 0
2015-02-03 2014-03-12 4/A JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock P - Purchase I 11.0000 272,727 3,000 1,664,821
2015-02-03 2014-03-12 4/A JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock C - Conversion I 1,392,094 1,392,094
2015-01-13 2015-01-11 4 Mitchell David Chilton AQXP Stock Option (Right to Buy) A - Award D 9.51 35,000 35,000
2014-12-18 2014-12-17 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.5800 -1,593 -12 1,342,094
2014-12-18 2014-12-16 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.6300 -6,507 -50 1,343,687
2014-12-15 2014-12-12 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.5100 -3,645 -27 1,350,194
2014-12-15 2014-12-11 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.5000 -1,355 -10 1,353,839
2014-12-10 2014-12-10 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.7000 -1,300 -10 1,355,194
2014-12-10 2014-12-09 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.7300 -5,000 -39 1,356,494
2014-12-10 2014-12-08 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.6900 -2,000 -15 1,361,494
2014-12-05 2014-12-05 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.7800 -4,200 -33 1,363,494
2014-12-05 2014-12-04 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.7600 -10,073 -78 1,367,694
2014-12-05 2014-12-03 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.7500 -1,627 -13 1,377,767
2014-12-03 2014-12-01 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.5400 -1,200 -9 1,379,394
2014-11-26 2014-11-26 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.6000 -500 -4 1,380,594
2014-11-26 2014-11-25 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 7.8000 -1,500 -12 1,381,094
2014-11-24 2014-11-24 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 8.0200 -4,000 -32 1,382,594
2014-11-24 2014-11-21 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 8.2500 -2,400 -20 1,386,594
2014-11-24 2014-11-20 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock S - Sale I 8.2100 -3,100 -25 1,388,994
2014-05-12 2014-05-08 4 SHREWSBURY STEPHEN B AQXP Stock Option (Right to Buy) A - Award D 10.10 31,250 31,250
2014-05-12 2014-05-08 4 Main David AQXP Stock Option (Right to Buy) A - Award D 10.10 65,000 65,000
2014-05-12 2014-05-08 4 Alam Kamran AQXP Stock Option (Right to Buy) A - Award D 10.10 31,250 31,250
2014-05-12 2014-05-08 4 MacKenzie Lloyd AQXP Stock Option (Right to Buy) A - Award D 10.10 25,000 25,000
2014-03-14 2014-03-12 4 Main David AQXP Common Exchangeable Shares C - Conversion D -71,530 0
2014-03-14 2014-03-12 4 Main David AQXP Common Exchangeable Shares D - Sale to Issuer D 11.0000 -9,459 -104 0
2014-03-14 2014-03-12 4 Main David AQXP Common Stock C - Conversion D 71,530 71,530
2014-03-14 2014-03-12 4 Main David AQXP Common Special Voting Stock C - Conversion D -71,530 0
2014-03-14 2014-03-12 4 Main David AQXP Common Special Voting Stock D - Sale to Issuer D 11.0000 -9,459 -104 71,530
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series C Exchangeable Shares C - Conversion D -378,786 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series C Preferred Stock C - Conversion D -378,786 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series C Preferred Stock C - Conversion D 378,786 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series B-2 Exchangeable Shares C - Conversion D -325,035 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series B-2 Preferred Stock C - Conversion D -325,035 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series B-2 Preferred Stock C - Conversion D 325,035 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series B-1 Exchangeable Shares C - Conversion D -326,538 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series B-1 Preferred Stock C - Conversion D -326,538 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series B-1 Preferred Stock C - Conversion D 326,538 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series A-2 Preferred Stock C - Conversion D -189,393 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series A-2 Exchangeable Shares C - Conversion D -189,393 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series A-2 Preferred Stock C - Conversion D 189,393 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series A-1 Exchangeable Shares C - Conversion D -284,090 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series A-1 Preferred Stock C - Conversion D -284,090 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series A-1 Preferred Stock C - Conversion D 284,090 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Common Exchangeable Shares C - Conversion D -40,147 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Common Exchangeable Shares A - Award D 11.0000 36,502 402 40,147
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Common Stock C - Conversion D 1,543,989 1,543,989
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series C Special Voting Stock D - Sale to Issuer D -378,786 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series B-2 Special Voting Stock D - Sale to Issuer D -325,035 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series B-1 Special Voting Stock D - Sale to Issuer D -326,538 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series A-2 Special Voting Stock D - Sale to Issuer D -189,393 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Series A-1 Special Voting Stock D - Sale to Issuer D -284,090 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Common Special Voting Stock D - Sale to Issuer D -40,147 0
2014-03-14 2014-03-12 4 Ventures West 8 Limited Partnership AQXP Common Special Voting Stock A - Award D 36,502 40,147
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series C Preferred Stock C - Conversion I -378,786 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series C Exchangeable Shares C - Conversion I -378,786 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series C Preferred Stock C - Conversion I 378,786 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series B-2 Preferred Stock C - Conversion I -325,035 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series B-2 Exchangeable Shares C - Conversion I -325,035 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series B-2 Preferred Stock C - Conversion I 325,035 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series B-1 Preferred Stock C - Conversion I -326,538 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series B-1 Exchangeable Shares C - Conversion I -326,538 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series B-1 Preferred Stock C - Conversion I 326,538 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series A-2 Preferred Stock C - Conversion I -189,393 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series A-2 Exchangeable Shares C - Conversion I -189,393 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series A-2 Preferred Stock C - Conversion I 189,393 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series A-1 Exchangeable Shares C - Conversion I -284,090 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series A-1 Preferred Stock C - Conversion I -284,090 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series A-1 Preferred Stock C - Conversion I 284,090 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Common Exchangeable Shares C - Conversion I -40,147 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Common Exchangeable Shares A - Award I 11.0000 36,502 402 40,147
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Common Stock C - Conversion I 1,543,989 1,543,989
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series C Special Voting Stock D - Sale to Issuer I -378,786 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series B-2 Special Voting Stock D - Sale to Issuer I -325,035 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series B-1 Special Voting Stock D - Sale to Issuer I -326,538 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series A-2 Special Voting Stock D - Sale to Issuer I -189,393 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Series A-1 Special Voting Stock D - Sale to Issuer I -284,090 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Common Special Voting Stock D - Sale to Issuer I -40,147 0
2014-03-14 2014-03-12 4 Bridger Gary See Note AQXP Common Special Voting Stock A - Award I 36,502 40,147
2014-03-14 2014-03-12 4 PFIZER INC AQXP Series C Preferred Stock C - Conversion D -301,005 0
2014-03-14 2014-03-12 4 PFIZER INC AQXP Series B-2 Preferred Stock C - Conversion D -327,178 0
2014-03-14 2014-03-12 4 PFIZER INC AQXP Series B-1 Preferred Stock C - Conversion D -334,420 0
2014-03-14 2014-03-12 4 PFIZER INC AQXP Common Stock P - Purchase D 11.0000 272,727 3,000 1,235,330
2014-03-14 2014-03-12 4 PFIZER INC AQXP Common Stock C - Conversion D 962,603 962,603
2014-03-12 2014-03-12 4 JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series C Preferred Stock C - Conversion I -379,543 0
2014-03-12 2014-03-12 4 JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series B-2 Preferred Stock C - Conversion I -292,532 0
2014-03-12 2014-03-12 4 JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series B-1 Preferred Stock C - Conversion I -293,884 0
2014-03-12 2014-03-12 4 JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series A-2 Preferred Stock C - Conversion I -170,454 0
2014-03-12 2014-03-12 4 JOHNSON & JOHNSON By Johnson & Johnson Development Corporation AQXP Series A-1 Preferred Stock C - Conversion I -255,681 0
2014-03-12 2014-03-12 4 JOHNSON & JOHNSON Johnson & Johnson Development Corporation AQXP Common Stock C - Conversion I 1,392,094 1,392,094
2014-03-10 2014-03-06 4 SIMPSON TODD E AQXP Stock Option (Right to Buy) A - Award D 11.00 8,333 8,333
2014-03-10 2014-03-06 4 Pelzer Robert AQXP Stock Option (Right to Buy) A - Award D 11.00 8,333 14,843
2014-03-10 2014-03-06 4 LEVITT DANIEL J AQXP Stock Option (Right to Buy) A - Award D 11.00 8,333 20,051
2014-03-10 2014-03-06 4 Bridger Gary AQXP Stock Option (Right to Buy) A - Award D 11.00 8,333 8,333
2014-03-06 3 Jones Elaine V AQXP No securities are beneficially owned D 0
2014-03-06 3 SIMPSON TODD E AQXP No securities are beneficially owned D 0
2014-03-06 3 Main David AQXP Common Special Voting Stock D 161,978
2014-03-06 3 Main David AQXP Common Special Voting Stock D 161,978
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Common Special Voting Stock D 1,511,132
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series A- Special Voting Stock D 1,791,577
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series A-2 Special Voting Stock D 1,696,880
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series B-1 Special Voting Stock D 1,834,025
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series B-2 Special Voting Stock D 1,832,522
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Common Special Voting Stock D 1,511,132
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series A- Special Voting Stock D 1,791,577
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series A-2 Special Voting Stock D 1,696,880
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series B-1 Special Voting Stock D 1,834,025
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series B-2 Special Voting Stock D 1,832,522
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series C Special Voting Stock D 1,886,273
2014-03-06 3 Ventures West 8 Limited Partnership AQXP Series C Special Voting Stock D 1,886,273
2014-03-06 3 Bridger Gary See Note (9) AQXP Series C Special Voting Stock I 1,886,273
2014-03-06 3 Bridger Gary See Note (9) AQXP Series C Special Voting Stock I 1,886,273
2014-03-06 3 Bridger Gary See Note (9) AQXP Series B-2 Special Voting Stock I 1,832,522
2014-03-06 3 Bridger Gary See Note (9) AQXP Series B-1 Special Voting Stock I 1,834,025
2014-03-06 3 Bridger Gary See Note (9) AQXP Series A-1 Special Voting Stock I 1,791,577
2014-03-06 3 Bridger Gary See Note (9) AQXP Common Special Voting Stock I 1,511,132
2014-03-06 3 Bridger Gary See Note (9) AQXP Series A-2 Special Voting Stock I 1,696,880
2014-03-06 3 Bridger Gary See Note (9) AQXP Series A-2 Special Voting Stock I 1,696,880
2014-03-06 3 Bridger Gary See Note (9) AQXP Series A-1 Special Voting Stock I 1,791,577
2014-03-06 3 Bridger Gary See Note (9) AQXP Common Special Voting Stock I 1,511,132
2014-03-06 3 Bridger Gary See Note (9) AQXP Series B-1 Special Voting Stock I 1,834,025
2014-03-06 3 Bridger Gary See Note (9) AQXP Series B-2 Special Voting Stock I 1,832,522
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)
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