RSLS / ReShape Lifesciences Inc. - Insider Trading and Ownership Report - SEC Form 3, 4, 5

ReShape Lifesciences Inc.
HINDI NA ACTIVE ANG SIMBONG ITO

Saham Orang Dalam17,568,805 shares
Skor Sentimen Orang Dalam

Skor Sentimen Orang Dalam mengidentifikasi perusahaan yang dibeli oleh orang dalam korporat.

Ini adalah hasil dari model kuantitatif multifaktor yang canggih yang mengidentifikasi perusahaan dengan tingkat akumulasi internal tertinggi. Model penilaian ini menggunakan kombinasi dari jumlah bersih orang dalam yang membeli dalam 90 hari sebelumnya, total saham yang dibeli sebagai persentase dari jumlah saham yang beredar, dan total saham yang dimiliki oleh orang dalam. Angka tersebut berkisar dari 0 hingga 100, dengan angka yang lebih tinggi menunjukkan tingkat akumulasi yang lebih tinggi dibandingkan dengan perusahaan sejenis, dan 50 adalah rata-rata.

Frekuensi Pembaruan: Setiap Hari

Lihat Pilihan Teratas dari Orang Dalam, yang menyediakan daftar perusahaan dengan akumulasi orang dalam tertinggi.

Lihat Saham dengan Peringkat Tertinggi
Skor Sentimen Petugas

Skor Sentimen Pejabat menemukan perusahaan yang dibeli oleh Pejabat Korporat.

Menurut definisi, Pejabat Korporasi adalah Orang Dalam Korporasi, tetapi tidak seperti beberapa Orang Dalam lainnya (Pemegang Saham 10% dan Anggota Dewan), Pejabat bekerja untuk perusahaan setiap hari, dan mereka menggunakan uang mereka sendiri saat bertransaksi . (Pemegang Saham 10% dan Anggota Dewan seringkali adalah manajer dana yang mengelola uang orang lain.) Dengan demikian, transaksi orang dalam yang dilakukan oleh Pejabat jauh lebih signifikan dan harus ditangani dengan tepat.

Seperti Skor Sentimen Internal, Skor Sentimen Pejabat adalah hasil dari model kuantitatif multi-faktor yang canggih yang mengidentifikasi perusahaan dengan tingkat akumulasi pejabat tertinggi.

Frekuensi Pembaruan: Setiap Hari

Lihat Pilihan Teratas dari Orang Dalam, yang menyediakan daftar perusahaan dengan sentimen orang dalam tertinggi.

Lihat Saham dengan Peringkat Tertinggi
Metrik Utama Orang Dalam

Kartu ini menunjukkan peringkat perusahaan berdasarkan berbagai metrik internal. Peringkat persentil menunjukkan bagaimana perusahaan ini dibandingkan dengan perusahaan lain di pasar AS. Peringkat yang lebih tinggi menunjukkan situasi yang lebih baik.

Sebagai contoh, secara umum diterima bahwa pembelian oleh orang dalam perusahaan adalah indikator positif, sehingga perusahaan dengan lebih banyak pembelian oleh orang dalam akan mendapat peringkat lebih tinggi daripada perusahaan dengan lebih sedikit pembelian oleh orang dalam (atau bahkan penjualan oleh orang dalam).

Jumlah Bersih Pembelian oleh Orang Dalam (Peringkat)

N/A

Jumlah Bersih Pembelian oleh Orang Dalam adalah total jumlah orang dalam yang membeli dikurangi total jumlah orang dalam yang menjual dalam 90 hari terakhir. Peringkat persentil ditunjukkan di sini (kisaran dari 0 hingga 100%).

Persentase Saham yang Dibeli oleh Orang Dalam (Peringkat)

N/A

Persentase Saham yang Dibeli oleh Orang Dalam adalah total jumlah saham yang dibeli oleh orang dalam dikurangi total jumlah saham yang dijual oleh orang dalam dalam 90 hari terakhir, dibagi dengan total jumlah saham yang beredar dan dikalikan dengan 100.

Grafik Perdagangan Orang Dalam

Grafik berikut menunjukkan ReShape Lifesciences Inc. transaksi orang dalam. Orang dalam adalah pejabat, direktur, atau investor signifikan dalam suatu perusahaan. Secara umum, melakukan transaksi di perusahaan mereka berdasarkan informasi material yang belum dipublikasikan adalah ilegal bagi orang dalam. Ini tidak berarti bahwa mereka dilarang melakukan transaksi apa pun di perusahaan mereka sendiri. Namun, mereka wajib melaporkan semua transaksi kepada SEC melalui Formulir 4.

Daftar Orang Dalam dan Metrik Profitabilitas

Tabel ini menampilkan daftar orang dalam yang diketahui, dan dibuat secara otomatis dari pengajuan yang diungkapkan kepada SEC. Selain nama, jabatan terbaru, dan sebutan direktur, pejabat, atau pemilik 10%, kami memberikan kepemilikan terbaru yang diungkapkan. Selain itu, jika memungkinkan, kami memberikan kinerja perdagangan historis untuk orang dalam tersebut. Kinerja perdagangan historis adalah rata-rata tertimbang dari kinerja transaksi pembelian pasar terbuka aktual yang dilakukan oleh orang dalam tersebut. Untuk informasi lebih lanjut tentang bagaimana ini dihitung, tonton webinar YouTube ini.

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Orang Dalam Rata-rata Keuntungan (%) Saham
Dimiliki		 Terbagi
Disesuaikan

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Rekam Jejak Pembelian Orang Dalam - Analisis Keuntungan Jangka Pendek

Pada bagian ini, kami menganalisis profitabilitas setiap pembelian saham oleh orang dalam di pasar terbuka yang tidak direncanakan yang dilakukan di RSLS / ReShape Lifesciences Inc.. Analisis ini membantu memahami apakah orang dalam tersebut secara konsisten menghasilkan pengembalian abnormal, dan layak untuk diikuti. Analisis ini dilakukan selama satu tahun setelah setiap transaksi, dan hasilnya bersifat teoretis .

Tabel berikut menunjukkan pembelian pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Maksimal		 Harga di
Maksimal		 Maksimal
Keuntungan ($)		 Maksimum Pengembalian (%)
2020-12-04 ARMISTICE CAPITAL, LLC 0 0.0000 0 0.0000 0 206 382 0
2020-12-04 ARMISTICE CAPITAL, LLC 5,400 4.1300 193 115.6400 22,302
2020-12-02 ARMISTICE CAPITAL, LLC 0 0.0000 0 0.0000 0
2020-12-02 ARMISTICE CAPITAL, LLC 1,000 4.3100 36 120.6800 4,310
2020-11-17 ARMISTICE CAPITAL, LLC 0 0.0000 0 0.0000 0
2020-11-17 ARMISTICE CAPITAL, LLC 187 4.5000 7 126.0000 842
2020-11-13 ARMISTICE CAPITAL, LLC 0 0.0000 0 0.0000 0
2020-11-13 ARMISTICE CAPITAL, LLC 790 4.1400 28 115.9200 3,271
2020-11-10 ARMISTICE CAPITAL, LLC 0 0.0000 0 0.0000 0

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Ang Adjusted Shares ay ang jumlah saham yang disesuaikan dengan pemisahan saham (stock split).

RSLS / ReShape Lifesciences Inc. Insider Trades
Rekam Jejak Penjualan Orang Dalam - Analisis Kerugian Jangka Pendek

Dalam bagian ini, kami menganalisis penghindaran kerugian jangka pendek dari setiap penjualan dalam pasar terbuka yang tidak direncanakan oleh orang dalam yang dilakukan di RSLS / ReShape Lifesciences Inc.. Pola penghindaran kerugian yang konsisten dapat menunjukkan bahwa transaksi penjualan di masa mendatang dapat memprediksi penurunan harga. Analisis ini berlaku untuk satu tahun setelah setiap perdagangan, dan hasilnya bersifat teoretis .

Tabel berikut menunjukkan penjualan pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Menit		 Harga di
Menit		 Kerugian Maksimal
Dihindari ($)		 Kerugian Maksimal
Dihindari (%)
2017-05-25 GOLDFISCHER CARL 97 4.8500 97 4.8500 470 103
2017-05-25 GOLDFISCHER CARL 4,571 4.8500 4,571 4.8500 22,169
2012-11-13 LEA GREGORY S 10,500 2.5637 10,500 2.5637 26,919
2012-06-27 WHITEBOX ADVISORS LLC 27,599 3.2700 27,599 3.2700 90,249
2012-06-26 WHITEBOX ADVISORS LLC 8,100 3.1600 8,100 3.1600 25,596
2012-06-25 WHITEBOX ADVISORS LLC 11,800 3.1400 11,800 3.1400 37,052
2012-06-22 WHITEBOX ADVISORS LLC 8,400 3.1600 8,400 3.1600 26,544
2012-06-21 WHITEBOX ADVISORS LLC 10,665 3.1300 10,665 3.1300 33,381

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Ang Adjusted Shares ay ang jumlah saham yang disesuaikan dengan pemisahan saham (stock split).

RSLS / ReShape Lifesciences Inc. Insider Trades
Riwayat Transaksi

Klik ikon tautan untuk melihat riwayat transaksi lengkap. Transaksi yang dilaporkan sebagai bagian dari rencana perdagangan otomatis 10b5-1 akan memiliki tanda X di kolom yang bertanda 10b-5.

Berkas
Tanggal		 Perdagangan
Tanggal		 Formulir Orang Dalam Ticker Judul Keamanan Kode 10b5-1 Langsung Latihan
Harga		 Satuan
Harga		 Unit
Diubah		 Nilai
Diubah (1 ribu)		 Sisa
Pilihan		 Sisa
Saham
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Series A Warrants J - Other I 0.02 0 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Warrant J - Other I 3.50 0 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Warrant J - Other D 3.50 -1,000,000 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Warrant J - Other I 3.50 0 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Warrant J - Other D 3.50 -4,000,000 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Series G Warrants J - Other I 3.70 0 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Series G Warrants J - Other D 3.70 -1,200,000 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Series G Warrants J - Other D 3.25 -1,200,000 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Series G Warrants J - Other I 3.25 0 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Series E Warrants J - Other I 0.05 0 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Series A Warrants J - Other D 0.02 -2,625,000 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Series E Warrants J - Other D 0.05 -2,625,000 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Common Stock J - Other I 0 0
2021-06-22 2021-06-15 4 ARMISTICE CAPITAL, LLC RSLS Common Stock J - Other D -5,330,277 0
2021-06-17 2021-06-15 4 STANKOVICH THOMAS RSLS Common Stock, $0.001 par value per share D - Sale to Issuer D 3.0500 -4,635 -14 0
2020-12-04 2020-12-04 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 5,330,277
2020-12-04 2020-12-04 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 4.1300 5,400 22 5,330,277
2020-12-04 2020-12-02 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 5,324,877
2020-12-04 2020-12-02 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 4.3100 1,000 4 5,324,877
2020-11-17 2020-11-17 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,323,877
2020-11-17 2020-11-17 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 4.5000 187 1 5,323,877
2020-11-17 2020-11-13 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,323,690
2020-11-17 2020-11-13 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 4.1400 790 3 5,323,690
2020-11-12 2020-11-10 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,322,900
2020-11-12 2020-11-10 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.5800 2,400 9 5,322,900
2020-11-04 2020-11-02 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 5,320,500
2020-11-04 2020-11-02 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.5600 3,100 11 5,320,500
2020-09-25 2020-09-23 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,317,400
2020-09-25 2020-09-23 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,317,400
2020-09-25 2020-09-23 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 4.2300 1,000 4 5,317,400
2020-09-25 2020-09-23 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.9100 1,000 4 5,316,400
2020-09-22 2020-09-22 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,315,400
2020-09-22 2020-09-22 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 4.7700 1,000 5 5,315,400
2020-09-22 2020-09-21 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,314,400
2020-09-22 2020-09-21 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 4.4500 300 1 5,314,400
2020-09-22 2020-09-18 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,314,100
2020-09-22 2020-09-18 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.7700 2,000 8 5,314,100
2020-09-17 2020-09-16 4 STANKOVICH THOMAS RSLS Common Stock P - Purchase D 3.0000 530 2 4,635
2020-09-16 2020-09-16 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,312,100
2020-09-16 2020-09-16 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.7500 100 0 5,312,100
2020-09-16 2020-09-14 4 ARMISTICE CAPITAL, LLC RSLS Series G Warrants J - Other I 0 1,200,000
2020-09-16 2020-09-14 4 ARMISTICE CAPITAL, LLC RSLS Series G Warrants J - Other D 1,200,000 1,200,000
2020-08-20 2020-08-20 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 5,312,000
2020-08-20 2020-08-20 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.4000 2,000 7 5,312,000
2020-08-20 2020-08-19 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,310,000
2020-08-20 2020-08-19 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,310,000
2020-08-20 2020-08-19 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.4000 1,000 3 5,310,000
2020-08-20 2020-08-19 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.0500 998 3 5,309,000
2020-08-20 2020-08-18 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,308,002
2020-08-20 2020-08-18 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.0000 6,000 18 5,308,002
2020-08-20 2020-08-19 4 STANKOVICH THOMAS RSLS Common Stock P - Purchase D 3.0000 4,105 12 4,105
2020-07-21 2020-07-17 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 5,302,002
2020-07-21 2020-07-17 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 3.0000 4,500 14 5,302,002
2020-04-15 2020-04-13 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Series F Prefunded Warrants X - Other I 0.12 0 0
2020-04-15 2020-04-13 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Series C Prefunded Warrants X - Other I 0.12 0 0
2020-04-15 2020-04-13 4 ARMISTICE CAPITAL, LLC RSLS Series F Prefunded Warrants X - Other D 0.12 0.1200 -2,569,167 -308 0
2020-04-15 2020-04-13 4 ARMISTICE CAPITAL, LLC RSLS Series C Prefunded Warrants X - Other D 0.12 0.1200 -2,516,667 -302 0
2020-04-15 2020-04-13 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock X - Other I 0 5,297,502
2020-04-15 2020-04-13 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock X - Other I 0 5,297,502
2020-04-15 2020-04-13 4 ARMISTICE CAPITAL, LLC RSLS Common Stock X - Other D 0.1200 2,569,167 308 5,297,502
2020-04-15 2020-04-13 4 ARMISTICE CAPITAL, LLC RSLS Common Stock X - Other D 0.1200 2,516,667 302 2,728,335
2020-03-27 2020-03-25 4 ARMISTICE CAPITAL, LLC RSLS Series G Warrants J - Other I 0 1,200,000
2020-03-27 2020-03-25 4 ARMISTICE CAPITAL, LLC RSLS Series G Warrants J - Other D 1,200,000 1,200,000
2020-01-31 2020-01-29 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 211,668
2020-01-31 2020-01-29 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 211,668
2020-01-31 2020-01-29 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 7.4500 2,000 15 211,668
2020-01-31 2020-01-29 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 6.4900 1,000 6 209,668
2019-12-23 2019-12-20 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 208,668
2019-12-23 2019-12-20 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.2500 3,048 16 208,668
2019-12-23 2019-12-19 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 205,620
2019-12-23 2019-12-19 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.1300 9,000 46 205,620
2019-12-18 2019-12-16 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 196,620
2019-12-18 2019-12-16 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.2500 3,000 16 196,620
2019-12-11 2019-12-11 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 193,620
2019-12-11 2019-12-11 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.4500 452 2 193,620
2019-12-11 2019-12-09 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 193,168
2019-12-11 2019-12-09 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 193,168
2019-12-11 2019-12-09 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.2500 1,000 5 193,168
2019-12-11 2019-12-09 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.0500 1,071 5 192,168
2019-12-06 2019-12-06 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLSD Common Stock P - Purchase I 0 191,097
2019-12-06 2019-12-06 4 ARMISTICE CAPITAL, LLC RSLSD Common Stock P - Purchase D 5.2500 300 2 191,097
2019-12-06 2019-12-05 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLSD Common Stock P - Purchase I 0 190,797
2019-12-06 2019-12-05 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLSD Common Stock P - Purchase I 0 190,797
2019-12-06 2019-12-05 4 ARMISTICE CAPITAL, LLC RSLSD Common Stock P - Purchase D 5.1800 224 1 190,797
2019-12-06 2019-12-05 4 ARMISTICE CAPITAL, LLC RSLSD Common Stock P - Purchase D 5.1600 1,000 5 190,573
2019-12-06 2019-12-04 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLSD Common Stock P - Purchase I 0 189,573
2019-12-06 2019-12-04 4 ARMISTICE CAPITAL, LLC RSLSD Common Stock P - Purchase D 5.1900 405 2 189,573
2019-11-27 2019-11-26 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 189,168
2019-11-27 2019-11-26 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.4300 2,000 11 189,168
2019-11-22 2019-11-22 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 187,168
2019-11-22 2019-11-22 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.2300 1,495 8 187,168
2019-11-22 2019-11-20 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 185,673
2019-11-22 2019-11-20 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.4100 1,300 7 185,673
2019-11-18 2019-11-18 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 184,373
2019-11-18 2019-11-18 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 184,373
2019-11-18 2019-11-18 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.9700 205 1 184,373
2019-11-18 2019-11-18 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 5.9500 1,330 8 184,168
2019-11-18 2019-11-14 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 182,838
2019-11-18 2019-11-14 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 7.3500 2,200 16 182,838
2019-11-13 2019-11-12 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 180,638
2019-11-13 2019-11-12 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 7.2500 636 5 180,638
2019-11-13 2019-11-11 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 21,600,000
2019-11-13 2019-11-11 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0400 400,000 16 21,600,000
2019-09-25 2019-09-23 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Series F Prefunded Warrants J - Other I 0 315,000,000
2019-09-25 2019-09-23 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Series E Warrants J - Other I 0 315,000,000
2019-09-25 2019-09-23 4 ARMISTICE CAPITAL, LLC RSLS Series E Warrants J - Other D 315,000,000 315,000,000
2019-09-25 2019-09-23 4 ARMISTICE CAPITAL, LLC RSLS Series F Prefunded Warrants J - Other D 308,300,000 308,300,000
2019-09-25 2019-09-23 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Series B Warrants X - Other I 0 0
2019-09-25 2019-09-23 4 ARMISTICE CAPITAL, LLC RSLS Series B Warrants X - Other D -315,000,000 0
2019-09-25 2019-09-23 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock X - Other I 0 21,200,000
2019-09-25 2019-09-23 4 ARMISTICE CAPITAL, LLC RSLS Common Stock X - Other D 0.0200 6,700,000 134 21,200,000
2019-09-19 2019-09-17 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 14,500,000
2019-09-19 2019-09-17 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0500 396,072 20 14,500,000
2019-09-04 2019-08-30 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 14,103,928
2019-09-04 2019-08-30 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 14,103,928
2019-09-04 2019-08-30 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 28,928 2 14,103,928
2019-09-04 2019-08-30 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 25,000 2 14,075,000
2019-08-29 2019-08-29 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 45,000 3 14,050,000
2019-08-29 2019-08-29 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 25,000 2 14,005,000
2019-08-29 2019-08-29 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 10,000 1 13,980,000
2019-08-29 2019-08-28 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 50,000 4 13,970,000
2019-08-29 2019-08-28 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 50,000 4 13,970,000
2019-08-29 2019-08-27 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 10,000 1 13,870,000
2019-08-29 2019-08-27 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 10,000 1 13,870,000
2019-08-09 2019-08-08 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 13,850,000
2019-08-09 2019-08-08 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0800 100,000 8 13,850,000
2019-08-09 2019-08-07 4 ARMISTICE CAPITAL, LLC See Footnote 1 RSLS Common Stock P - Purchase I 0 13,750,000
2019-08-09 2019-08-07 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 250,000 18 13,750,000
2019-07-26 2019-07-26 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 13,500,000
2019-07-26 2019-07-26 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0800 300,000 24 13,500,000
2019-07-26 2019-07-25 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 13,200,000
2019-07-26 2019-07-25 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0800 150,000 12 13,200,000
2019-07-26 2019-07-24 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase I 0 13,050,000
2019-07-26 2019-07-24 4 ARMISTICE CAPITAL, LLC RSLS Common Stock P - Purchase D 0.0700 50,000 4 13,050,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share I 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share D 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share I 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share D 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share I 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share D 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share I 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share D 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share I 39,000,000
2019-06-24 3 Boyd Steven RSLS Common Stock, $0.01 par value per share D 39,000,000
2019-04-10 3 Bandy Barton P. RSLS Common Stock, $0.01 par value per share D 0
2019-02-04 2019-02-01 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Series E Convertible Preferred Stock J - Other I 1,192,000 1,192,000
2019-02-04 2019-02-01 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I -1,192,000 507
2019-02-04 2019-01-31 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2733 10,301 3 1,192,507
2019-01-31 2019-01-30 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2800 48,000 13 1,182,206
2019-01-31 2019-01-29 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2779 12,200 3 1,134,206
2019-01-28 2019-01-25 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2717 15,595 4 1,122,006
2019-01-28 2019-01-24 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2550 6,190 2 1,106,411
2019-01-24 2019-01-22 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2791 5,766 2 1,100,221
2019-01-22 2019-01-18 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2789 24,334 7 1,094,455
2019-01-22 2019-01-17 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2800 52 0 1,070,121
2019-01-17 3 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock I 2,086,816
2019-01-17 3 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock I 2,086,816
2019-01-17 3 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock I 2,086,816
2019-01-17 2019-01-16 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2630 4,700 1 1,070,069
2019-01-17 2019-01-16 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2703 21,961 6 1,065,369
2019-01-17 2019-01-15 4 SABBY MANAGEMENT, LLC See Footnotes RSLS Common Stock P - Purchase I 0.2351 167,760 39 1,043,408
2018-08-29 3 MINOCHERHOMJEE ARDA PHD RSLS Common Stock, $0.01 par value per share D 0
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 3 Lightcap Jeffrey C RSLS Common Stock, par value $0.01 per share D 75,784
2018-06-05 2017-12-19 4 HealthCor Partners Fund II, L.P. RSLS Series C Convertible Preferred Stock, par value $0.01 C - Conversion D -20,487 26,200
2018-06-05 2017-12-19 4 HealthCor Partners Fund II, L.P. RSLS Common Stock, par value $0.01 per share C - Conversion D 136,580 174,472
2018-04-20 2018-04-18 4 YOUNGSTROM SCOTT P RSLS Stock Option (right to buy) A - Award D 0.65 1,161,797 1,161,797
2018-04-20 2018-04-18 4 GLADNEY DAN W RSLS Stock Option (right to buy) A - Award D 0.65 4,164,281 4,164,281
2017-12-21 2017-12-19 4 Mashaal Michael Y RSLS Series C Convertible Preferred Stock, $0.01 par value S - Sale I -20,487 26,200
2017-12-21 2017-12-19 4 Mashaal Michael Y RSLS Common Stock, $0.01 par value per share C - Conversion I 2,048,700 2,617,077
2017-11-13 3 Haggerty Robert C. RSLS Common Stock, $0.01 par value per share D 0
2017-11-13 3 Schmalz Deborah L. RSLS Common Stock, $0.01 par value per share D 2,000
2017-11-13 3 Schmalz Deborah L. RSLS Common Stock, $0.01 par value per share D 2,000
2017-11-13 3 Scott Amy L. RSLS Common Stock, $0.01 par value per share D 0
2017-10-12 3 Mashaal Michael Y ETRM Series C Convertible Preferred Stock, $0.01 par value per sh I 661,751
2017-10-12 3 Mashaal Michael Y ETRM Series C Convertible Preferred Stock, $0.01 par value per sh I 661,751
2017-10-12 3 Mashaal Michael Y ETRM Common Stock, $0.01 par value per share I 1,183,441
2017-10-12 3 Mashaal Michael Y ETRM Common Stock, $0.01 par value per share I 1,183,441
2017-10-12 2017-10-06 4 GLADNEY DAN W ETRM Stock Option (right to buy) A - Award D 2.05 662,975 662,975
2017-10-12 2017-10-06 4 Ansari Naqeeb A. ETRM Stock Option (right to buy) A - Award D 2.05 145,226 145,226
2017-10-12 2017-10-06 4 YOUNGSTROM SCOTT P ETRM Stock Option (right to buy) A - Award D 2.05 284,120 284,120
2017-05-31 2017-05-25 4/A GOLDFISCHER CARL See footnote. ETRM Common Stock S - Sale I 4.8500 -97 -0 0
2017-05-31 2017-05-25 4/A GOLDFISCHER CARL See footnote. ETRM Common Stock S - Sale I 4.8500 -4,571 -22 0
2017-05-26 2017-05-25 4 GOLDFISCHER CARL See footnote note (2) ETRM Common Stock S - Sale I 4.8500 97 0 0
2017-05-26 2017-05-25 4 GOLDFISCHER CARL See footnote (1) ETRM Common Stock S - Sale I 4.8500 4,571 22 0
2017-05-24 3 Nihalani Rajesh ETRM Common Stock, $0.01 par value per share D 0
2017-05-24 2017-05-22 4 Nihalani Rajesh See Footnotes ETRM Non-voting Conditional Convertible Preferred Stock A - Award I 29,108 29,108
2017-05-24 2017-05-22 4 Nihalani Rajesh ETRM Non-voting Conditional Convertible Preferred Stock A - Award D 709,100 709,100
2017-05-24 2017-05-22 4 Nihalani Rajesh ETRM Common Stock, $0.01 par value per share A - Award D 978,845 978,845
2017-02-10 2017-02-08 4 Ansari Naqeeb A. ETRM Stock Option (Right to Buy) A - Award D 7.12 93,250 93,250
2017-02-10 2017-02-08 4 BLACKFORD GARY ETRM Stock Option (Right to Buy) A - Award D 7.12 30,000 30,000
2017-02-10 2017-02-08 4 DeLange Peter M. ETRM Option (Right to Buy) A - Award D 7.12 93,250 93,250
2017-02-10 2017-02-08 4 GLADNEY DAN W ETRM Stock Option (right to buy) A - Award D 7.12 466,500 466,500
2017-02-10 2017-02-08 4 GOLDFISCHER CARL ETRM Director Option (Right to Buy) A - Award D 7.12 35,000 35,000
2017-02-10 2017-02-08 4 TETI NICHOLAS ETRM Director Option (Right to Buy) A - Award D 7.12 40,000 40,000
2017-02-10 2017-02-08 4 Tremmel Jon T ETRM Director Option (Right to Buy) A - Award D 7.12 35,000 30,000
2017-02-10 2017-02-08 4 YOUNGSTROM SCOTT P ETRM Stock Option (Right to Buy) A - Award D 7.12 142,200 142,200
2017-02-10 2017-02-08 4 GRIFFIN BOBBY IVAN ETRM Director Option (Right to Buy) A - Award D 7.12 35,000 35,000
2017-02-10 2017-02-08 4 Hickey Paul F. ETRM Stock Option (Right to Bu) A - Award D 7.12 93,250 93,250
2017-02-10 2017-02-08 4 McDougal Lori Courtney ETRM Director Option (Right to Buy) A - Award D 7.12 30,000 30,000
2016-10-05 3 YOUNGSTROM SCOTT P ETRM Common Stock D 0
2016-08-17 3 BLACKFORD GARY ETRM Common Stock D 0
2016-08-17 2016-08-15 4 BLACKFORD GARY ETRM Stock Option (Right to Buy) A - Award D 0.17 1,667 1,667
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 2,570 2,570
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 16.65 -11,666 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 14,733 14,733
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 19.65 -66,885 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 5,039 5,039
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 50.25 -57,543 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 1,298 1,298
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 28.50 -8,333 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 1,753 1,753
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 40.05 -15,000 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 1,613 1,613
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 38.70 -13,333 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 98 98
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 56.70 -1,111 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 152 152
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 28.50 -973 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 168 168
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 28.50 -1,074 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 42 42
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 28.50 -260 0
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 0.33 175 175
2016-06-28 2016-06-27 4 LEA GREGORY S ETRM Stock Option (right to buy) D - Sale to Issuer D 28.50 -1,114 0
2016-06-28 2016-06-27 4 Shikora Scott A ETRM Stock Option (Right to Buy) A - Award D 0.33 5,507 5,507
2016-06-28 2016-06-27 4 Shikora Scott A ETRM Stock Option (Right to Buy) A - Award D 0.33 5,507 5,507
2016-06-28 2016-06-27 4 Shikora Scott A ETRM Stock Option (Right to Buy) D - Sale to Issuer D 16.80 -25,000 0
2016-06-28 2016-06-27 4 Shikora Scott A ETRM Stock Option (Right to Buy) D - Sale to Issuer D 16.80 -25,000 0
2016-06-06 2016-06-03 4 DeLange Peter M. ETRM Common Stock P - Purchase D 0.5500 20,000 11 27,373
2016-05-18 2015-05-16 4 GLADNEY DAN W ETRM Common Stock P - Purchase D 0.7232 84,745 61 134,745
2016-05-17 2016-05-04 4 GOLDFISCHER CARL ETRM Stock Option (Right to Buy) A - Award D 0.75 3,000 3,000
2016-05-06 2016-05-04 4 GRIFFIN BOBBY IVAN ETRM Director Option (Right to Buy) A - Award D 0.75 3,000 3,000
2016-05-06 2016-05-04 4 KNUDSON MARK B ETRM Director Option (Right to Buy) A - Award D 0.75 3,333 3,333
2016-05-06 2016-05-04 4 TETI NICHOLAS ETRM Director Option (Right to Buy) A - Award D 0.75 3,000 3,000
2016-05-06 2016-05-04 4 Tremmel Jon T ETRM Director Option (Right to Buy) A - Award D 0.75 3,000 3,000
2016-05-06 2016-05-04 4 Jansz Anthony P. ETRM Director Option (Right to Buy) A - Award D 0.75 3,000 3,000
2016-05-06 2016-05-04 4 McDougal Lori Courtney ETRM Director Option (Right to Buy) A - Award D 0.75 3,000 3,000
2016-02-29 2016-02-25 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 1.07 50,000 50,000
2016-02-29 2016-02-25 4 KNUDSON MARK B ETRM Director Option (right to buy) A - Award D 1.07 3,333 3,333
2016-01-22 3 Hickey Paul F. ETRM Common Stock D 0
2016-01-22 2016-01-22 4 Hickey Paul F. ETRM Stock Option (Right to Buy) A - Award D 1.32 106,667 106,667
2016-01-21 2016-01-19 4 Ansari Naqeeb A. ETRM Stock Option (Right to Buy) A - Award D 1.31 106,667 106,667
2016-01-20 3 DeLange Peter M. By Son ETRM Common Stock I 7,715
2016-01-20 3 DeLange Peter M. By Son ETRM Common Stock I 7,715
2016-01-20 3 DeLange Peter M. ETRM Common Stock D 14,917
2016-01-20 3 DeLange Peter M. ETRM Common Stock D 14,917
2016-01-20 2016-01-18 4 DeLange Peter M. ETRM Option (Right to Buy) A - Award D 1.38 166,667 166,667
2016-01-19 3 Ansari Naqeeb A. ETRM Common Stock D 20,000
2016-01-19 3 Ansari Naqeeb A. ETRM Common Stock D 20,000
2015-11-16 2015-11-12 4 GLADNEY DAN W ETRM Common Stock P - Purchase D 0.1800 750,000 135 750,000
2015-11-16 2015-11-12 4 KNUDSON MARK B ETRM Common Stock P - Purchase D 0.1610 310,000 50 613,000
2015-11-04 3 GLADNEY DAN W ETRM Common Stock D 0
2015-11-04 2015-10-28 4 GLADNEY DAN W ETRM Stock Option (right to buy) A - Award D 0.25 7,750,000 7,750,000
2015-08-25 2015-08-21 4 Tremmel Jon T ETRM Stock Option (Right to Buy) A - Award D 0.23 250,000 250,000
2015-08-14 2015-08-13 4 KNUDSON MARK B ETRM Common Stock P - Purchase D 0.2488 168,000 42 303,000
2015-08-14 2015-08-12 4 KNUDSON MARK B ETRM Common Stock P - Purchase D 0.2438 135,000 33 135,000
2015-08-04 2015-07-31 4 McDougal Lori Courtney ETRM Stock Option (Right to Buy) A - Award D 0.31 25,000 25,000
2015-06-22 2015-05-06 4 GOLDFISCHER CARL ETRM Stock Option (Right to Buy) A - Award D 1.12 25,000 112,498
2015-06-22 2015-05-06 4 GOLDFISCHER CARL ETRM Stock Option (Right to Buy) A - Award D 1.12 25,000 112,498
2015-06-08 3 Shikora Scott A ETRM Common Stock D 0
2015-05-14 3 Hancock Bradford C ETRM Common Stock D 0
2015-05-08 2015-05-06 4 GRIFFIN BOBBY IVAN ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 GRIFFIN BOBBY IVAN ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 TETI NICHOLAS ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 TETI NICHOLAS ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 FRIEDMAN CATHY ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 FRIEDMAN CATHY ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 Tremmel Jon T ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 Tremmel Jon T ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 Jansz Anthony P. ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-05-08 2015-05-06 4 Jansz Anthony P. ETRM Director Option (right to buy) A - Award D 1.12 25,000 25,000
2015-03-11 2012-11-13 5 LEA GREGORY S ETRM Common Stock S - Sale D 2.5637 -10,500 -27 2,750
2015-03-11 2015-03-09 4 Donders Adrianus ETRM Stock Option (right to buy) A - Award D 1.11 75,000 75,000
2015-03-11 2015-03-09 4 KNUDSON MARK B ETRM Stock Option (right to buy) A - Award D 1.11 225,000 225,000
2015-03-11 2015-03-09 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 1.11 175,000 175,000
2015-03-11 2015-03-09 4 Tweden Katherine S. ETRM Stock Option (right to buy) A - Award D 1.11 75,000 75,000
2015-03-09 2014-11-14 4 Jansz Anthony P. ETRM Performance Option (right to buy) A - Award D 1.14 25,000 25,000
2014-06-20 2014-06-19 4 FRIEDMAN CATHY Family Trust ETRM Common Stock P - Purchase I 1.7010 11,800 20 11,800
2014-05-15 2014-05-07 4 GOLDFISCHER CARL ETRM Stock Option (Right to Buy) A - Award D 1.84 25,000 25,000
2014-05-14 2014-05-07 4 GRIFFIN BOBBY IVAN ETRM Stock Option (right to buy) A - Award D 1.84 25,000 25,000
2014-05-14 2014-05-07 4 TETI NICHOLAS ETRM Stock Option (Right to Buy) A - Award D 1.84 25,000 25,000
2014-05-14 2014-05-07 4 EVNIN LUKE ETRM Stock Option (Right to Buy) A - Award D 1.84 25,000 25,000
2014-05-14 2014-05-07 4 FRIEDMAN CATHY ETRM Stock Option (Right to Buy) A - Award D 1.84 25,000 25,000
2014-05-14 2014-05-07 4 Tremmel Jon T ETRM Stock Option (Right to Buy) A - Award D 1.84 25,000 25,000
2014-05-14 2014-05-07 4 Jansz Anthony P. ETRM Director Option (Right to Buy) A - Award D 1.84 25,000 25,000
2014-01-09 2014-01-08 4/A EVNIN LUKE ETRM Common Stock S - Sale I 2.5000 -284,531 -711 1,113,168
2014-01-09 2014-01-07 4/A EVNIN LUKE ETRM Common Stock S - Sale I 2.5000 -190,334 -476 1,397,699
2014-01-09 2014-01-06 4/A EVNIN LUKE ETRM Common Stock S - Sale I 2.5000 -81,720 -204 1,588,033
2014-01-09 2014-01-08 4 EVNIN LUKE ETRM Common Stock S - Sale I 2.5000 -284,531 -711 1,113,168
2014-01-09 2014-01-07 4 EVNIN LUKE ETRM Common Stock S - Sale I 2.5000 -190,334 -476 1,397,699
2014-01-09 2014-01-06 4 EVNIN LUKE ETRM Common Stock S - Sale I 2.5000 -81,720 -204 1,588,033
2013-06-04 2013-05-31 4 KNUDSON MARK B ETRM Stock Option (right to buy) A - Award D 1.31 1,278,730 1,278,730
2013-06-04 2013-05-31 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 1.31 1,003,280 1,003,280
2013-06-04 2013-05-31 4 Donders Adrianus ETRM Stock Option (right to buy) A - Award D 1.31 293,110 293,110
2013-06-04 2013-05-31 4 Tweden Katherine S. ETRM Stock Option (right to buy) A - Award D 1.31 257,190 257,190
2013-06-04 2013-05-31 4 Jansz Anthony P. ETRM Performance Option (Right to Buy) A - Award D 1.31 50,000 50,000
2013-06-04 2013-05-31 4 Jansz Anthony P. ETRM Option (Right to Buy) A - Award D 1.31 50,000 50,000
2013-05-10 2013-05-08 4 GRIFFIN BOBBY IVAN ETRM Stock Option (right to buy) A - Award D 0.88 10,000 10,000
2013-05-10 2013-05-08 4 TETI NICHOLAS ETRM Stock Option (Right to Buy) A - Award D 0.88 10,000 10,000
2013-05-10 2013-05-08 4 EVNIN LUKE ETRM Stock Option (Right to Buy) A - Award D 0.88 10,000 10,000
2013-05-10 2013-05-08 4 FRIEDMAN CATHY ETRM Stock Option (Right to Buy) A - Award D 0.88 10,000 10,000
2013-05-10 2013-05-08 4 Tremmel Jon T ETRM Stock Option (Right to Buy) A - Award D 0.88 10,000 10,000
2013-05-10 2013-05-08 4 Jansz Anthony P. ETRM Director Option (right to buy) A - Award D 0.88 10,000 10,000
2013-05-10 2013-05-08 4 KLINGENSTEIN PAUL H ETRM Stock Option (right to buy) A - Award D 0.88 10,000 10,000
2013-05-09 2013-05-08 4 GOLDFISCHER CARL ETRM Stock Option (Right to Buy) A - Award D 0.88 10,000 37,500
2013-03-01 2013-02-27 4 Jansz Anthony P. Pibrac Property Holdings PTY ETRM Warrants P - Purchase I 1.14 60,000 60,000
2013-03-01 2013-02-27 4 Jansz Anthony P. Pibrac Property Holdings PTY ETRM Common Stock P - Purchase I 0.9500 150,000 142 150,000
2013-02-26 2013-02-22 4 DOUGLAS KEVIN By Douglas Family Trust ETRM Warrant (Right to Buy) P - Purchase I 1.14 168,000 168,000
2013-02-26 2013-02-22 4 DOUGLAS KEVIN By James Douglas and Jean Douglas Irrevocable Descendants' Trust ETRM Warrant (Right to Buy) P - Purchase I 1.14 420,000 420,000
2013-02-26 2013-02-22 4 DOUGLAS KEVIN ETRM Warrant (Right to Buy) P - Purchase D 1.14 252,000 252,000
2013-02-26 2013-02-22 4 DOUGLAS KEVIN By Douglas Family Trust ETRM Common Stock P - Purchase I 420,000 1,654,341
2013-02-26 2013-02-22 4 DOUGLAS KEVIN By James Douglas and Jean Douglas Irrevocable Descendants' Trust ETRM Common Stock P - Purchase I 1,050,000 3,456,512
2013-02-26 2013-02-22 4 DOUGLAS KEVIN ETRM Common Stock P - Purchase D 630,000 3,010,852
2013-01-24 2013-01-22 4 Jansz Anthony P. ETRM Performance Option (Right to Buy) A - Award D 2.65 25,000 25,000
2013-01-24 2013-01-22 4 Jansz Anthony P. ETRM Option (Right to Buy) A - Award D 2.65 50,000 50,000
2012-09-28 2012-09-27 4 LEA GREGORY S ETRM Stock Option (right to buy) A - Award D 3.35 863,156 863,156
2012-09-28 2012-09-27 4 KNUDSON MARK B ETRM Stock Option (right to buy) A - Award D 3.35 1,292,225 1,292,225
2012-09-28 2012-09-27 4 Donders Adrianus ETRM Stock Option (right to buy) A - Award D 3.35 355,063 355,063
2012-09-28 2012-09-27 4 Tweden Katherine S. ETRM Stock Option (right to buy) A - Award D 3.35 291,638 291,638
2012-06-27 2012-06-27 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 3.2700 -27,599 -90 2,350,486
2012-06-27 2012-06-26 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 3.1600 -8,100 -26 2,378,085
2012-06-27 2012-06-25 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 3.1400 -11,800 -37 2,386,185
2012-06-25 2012-06-22 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 3.1600 -8,400 -27 2,397,985
2012-06-25 2012-06-21 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 3.1300 -10,665 -33 2,406,385
2012-05-16 2012-05-15 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 2.8900 -15,400 -45 2,417,050
2012-05-16 2012-05-14 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 2.8200 -23,012 -65 2,432,450
2012-05-14 2012-05-11 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 2.7600 -10,370 -29 2,455,462
2012-05-14 2012-05-10 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 2.7500 -600 -2 2,465,832
2012-05-11 2012-05-09 4 KLINGENSTEIN PAUL H ETRM Stock Option (right to buy) A - Award D 2.77 10,000 10,000
2012-05-10 2012-05-09 4 GOLDFISCHER CARL ETRM Stock Option (Right to Buy) A - Award D 2.77 10,000 27,500
2012-05-10 2012-05-09 4 EVNIN LUKE ETRM Stock Option (Right to Buy) A - Award D 2.77 10,000 10,000
2012-05-09 2012-05-09 4 GRIFFIN BOBBY IVAN ETRM Stock Option (right to buy) A - Award D 2.77 10,000 10,000
2012-05-09 2012-05-09 4 TETI NICHOLAS ETRM Stock Option (Right to Buy) A - Award D 2.77 10,000 10,000
2012-05-09 2012-05-09 4 FRIEDMAN CATHY ETRM Stock Option (Right to Buy) A - Award D 2.77 10,000 10,000
2012-05-09 2012-05-09 4 Tremmel Jon T ETRM Stock Option (Right to Buy) A - Award D 2.77 10,000 10,000
2012-05-09 2012-05-09 4 Jansz Anthony P. ETRM Director Option (Right to Buy) A - Award D 2.77 10,000 10,000
2012-05-01 2012-04-27 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 2.8000 -25,000 -70 2,466,432
2012-04-19 2012-04-17 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 2.3600 -11,100 -26 2,491,432
2012-04-19 2012-04-16 4 WHITEBOX ADVISORS LLC ETRM Common Stock S - Sale I 2.3500 -14,339 -34 2,502,532
2012-04-19 2012-04-16 4 DOUGLAS KEVIN By Douglas Family Trust ETRM Common Stock P - Purchase I 2.2230 454,341 1,010 1,234,341
2012-04-19 2012-04-16 4 DOUGLAS KEVIN By James Douglas and Jean Douglas Irrevocable Descendants' Trust ETRM Common Stock P - Purchase I 2.2230 681,512 1,515 2,406,512
2012-04-19 2012-04-16 4 DOUGLAS KEVIN ETRM Common Stock P - Purchase D 2.2230 1,135,852 2,525 2,376,872
2011-05-09 3 Jansz Anthony P. Family Trust ETRM Common Stock I 25,000
2011-03-16 3 Tweden Katherine S. ETRM Common Stock D 1,053
2009-10-06 2009-10-05 4 Hudson Bay Capital Management LP See footnotes ETRM Common Stock S - Sale I 0.9180 -196,774 -181 3,729,965
2009-10-06 2009-10-02 4 Hudson Bay Capital Management LP See footnotes ETRM Common stock, par value $0.01 ("Common Stock") S - Sale I 1.0150 -2,234,329 -2,268 3,926,739
2009-10-06 3 Gerber Sander See ETRM Common Stock, par value $0.01 ("Common Stock") I 6,161,068
2009-02-25 2009-02-24 4 Koskinas Ellen E InterWest Partners IX, L.P. ETRM Common Stock Warrant A - Award I 1.38 0.1250 339,201 42 339,201
2009-02-25 2009-02-24 4 Koskinas Ellen E InterWest Partners IX, L.P. ETRM Common Stock P - Purchase I 1.1500 678,402 780 2,225,163
2009-01-29 3 Tremmel Jon T ETRM Common Stock D 6,156
2007-11-21 2007-11-20 4 InterWest Partners IX, LP ETRM Series C Preferred Stock C - Conversion D -1,359,261 0
2007-11-21 2007-11-20 4 InterWest Partners IX, LP ETRM Common Stock C - Conversion D 1,359,261 1,546,761
2007-11-21 2007-11-20 4 InterWest Management Partners IX, LLC by: InterWest Partners IX, LP ETRM Series C Preferred Stock C - Conversion I -1,359,261 0
2007-11-21 2007-11-20 4 InterWest Management Partners IX, LLC By: InterWest Partners IX, LP ETRM Common Stock C - Conversion I 1,359,261 1,546,761
2007-11-19 2007-11-15 4 InterWest Partners IX, LP ETRM Common Stock P - Purchase D 8.0000 187,500 1,500 187,500
2007-11-19 2007-11-15 4 InterWest Management Partners IX, LLC By: InterWest Partners IX, LP ETRM Common Stock P - Purchase I 8.0000 187,500 1,500 187,500
2007-11-14 3 FRIEDMAN CATHY ETRM No securities are held D 0
2007-11-14 3 TETI NICHOLAS ETRM No securities are held D 0
2007-11-14 3 Donders Adrianus ETRM No securities are held D 0
P
Pembelian sekuritas non-derivatif atau derivatif di pasar terbuka atau secara pribadi.
S
Penjualan terbuka atau penjualan pribadi atas sekuritas non-derivatif atau derivatif.
A
Hibah, penghargaan, atau perolehan sekuritas lainnya dari perusahaan (seperti opsi)
C
Konversi turunan
D
Penjualan atau pengalihan sekuritas kembali ke perusahaan.
F
Pembayaran harga pelaksanaan atau kewajiban pajak menggunakan sebagian sekuritas yang diterima dari perusahaan.
G
Pemberian sekuritas oleh atau kepada orang dalam.
K
Swap ekuitas dan transaksi lindung nilai serupa
M
Pelaksanaan atau konversi sekuritas derivatif yang diterima dari perusahaan (seperti opsi)
V
Transaksi yang dilaporkan secara sukarela pada Formulir 4.
J
Lainnya (disertai dengan catatan kaki yang menjelaskan transaksi tersebut)
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