NBY

NovaBay Pharmaceuticals, Inc.CIK 1389545 ☆ Sign in to watch Congress trades

Open-mkt buys · 90d

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0 trades · 0 insiders

Open-mkt sales · 90d

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0 trades · 0 insiders

Net · 90d

Insiders on file

AI insights for NBY PRO

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AI insights for NBY

Insider sentiment score with a plain-English explanation, conviction score on every buy, and how the stock performed 30 and 90 days after past insider buys.

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Daily buy vs sell · 90 days

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Insiders

Insider	Role	Trades	Bought	Sold	Last trade
Framework Ventures IV GP LLC	10% Owner	4	$0	$0	2025-10-21
Kazley Michael John	Chief Executive Officer	6	$0	$0	2025-10-21
R01 Fund LP	Chief Executive Officer	2	$0	$0	2025-10-21
Lazar David E.	10% Owner	3	$0	$0	2025-10-21
Framework Ventures Management LLC	10% Owner	2	$0	$0	2025-10-16
FAKHRY JAD	10% Owner	22	$132.1K	$0	2025-04-08
POPLAR POINT CAPITAL PARTNERS LP	10% Owner	6	$74.6K	$0	2025-04-01
POPLAR POINT CAPITAL GP LLC	10% Owner	6	$39.5K	$0	2025-03-18
POPLAR POINT CAPITAL MANAGEMENT LLC	10% Owner	2	$67.8K	$0	2025-01-31
Zheng Yongxiang	Director	5	$0	$0	2024-05-28
Sit Swan	Director	9	$0	$0	2024-05-28
Garlikov Julie	Director	5	$0	$0	2024-05-28
WU MIJIA	Director	18	$0	$187.8K	2024-05-28
Freiman Paul E.	Director	20	$0	$0	2024-05-28
Zheng Yenyou	Director	9	$0	$0	2024-05-28
Kunin Jeffrey	President, DERMAdoctor, LLC	10	$235.7K	$71.7K	2022-12-06
Kunin Audrey	Chief Product Officer	10	$235.7K	$71.7K	2022-12-06
Hall Justin	SVP, General Counsel	12	$31.5K	$143.9K	2022-09-14
Jones Andrew D.	CFO	4	$20.0K	$0	2021-12-06
Li Xinzhou	Director, 10% Owner	12	$5.64M	$224.4K	2021-05-21
Xu Wang	NEO - Sr Mgr and Controller	1	$0	$0	2020-08-20
Fu Jian Ping	10% Owner	6	$0	$3.06M	2020-08-01
Wang Xiaopei	Director	1	$0	$0	2020-05-26
SIECZKAREK MARK M	Other	22	$307.5K	$0	2019-07-30
Raleigh Jason Philip	Interim CFO and Treasurer	8	$0	$106.8K	2019-06-11
Pioneer Pharma (Hong Kong) Co Ltd	10% Owner	5	$5.70M	$98.3K	2019-06-11
Zavodnick Todd Erik	Director	6	$0	$0	2019-05-30
Maderis Gail J	Director	10	$0	$0	2019-05-30
McGovern John Joseph	Int Pres, CEO, CFO & Treasurer	3	$0	$0	2018-10-09
Liu Yanbin	Director	1	$0	$0	2018-05-31
Ma Yonghao	Director	4	$0	$0	2018-05-31
STUART LEWIS J	Chief Commercial Officer	2	$0	$0	2017-12-14
PAULSON THOMAS J	CFO	19	$35.4K	$0	2017-01-25
LIU XIAOYAN	Director	1	$0	$0	2017-01-03
Pioneer Pharma (Singapore) Pte. Ltd.	10% Owner	17	$13.37M	$0	2016-09-22
Radaelli Massimo	Director	3	$0	$0	2016-01-04
McPherson T. Alex	Director	7	$0	$0	2016-01-04
Stroman David W.	SVP, Ophthalmic Product Devt.	11	$19.1K	$0	2015-10-05
WU ROY J	SVP Bus & Corp Development	10	$0	$0	2015-10-05
Najafi Ramin	Chief Executive Officer	25	$394.6K	$0	2015-08-20
Hoon Russell A.	Senior Vice President	2	$0	$0	2015-04-14
Cashion Charles	Director	6	$0	$0	2015-01-02
Wicks Tony D.S.	Director	10	$0	$20.9K	2015-01-02
Bley Keith R	SVP Product Development	4	$0	$0	2014-09-26
China Pioneer Pharma Holdings Ltd	10% Owner	8	$6.31M	$0	2014-05-13
Dailley Anthony	Director	5	$0	$0	2014-03-17
Tufts Robert R.	Director	6	$0	$0	2014-01-30
Khosrovi Behzad	SVP Product Development	4	$0	$0	2013-01-10
NAQU AREA PIONEER PHARMA CO., LTD.	10% Owner	2	$3.30M	$0	2012-10-31

Trade history

Insider	Role	Code	Trade	Filed	Shares	Price	Value	Owned after
Lazar David E.	10% Owner	M Exercise deriv	2025-10-21	2026-01-29	39,925	—	$0	0	SEC↗
Lazar David E.	10% Owner	A Award	2025-10-21	2026-01-29	6,388,000	—	$0	6,388,000	SEC↗
Kazley Michael John	Chief Executive Officer	C Conversion	2025-10-21	2025-11-03	56,806,080	—	$0	56,806,080	SEC↗
R01 Fund LP	Chief Executive Officer	C Conversion	2025-10-21	2025-11-03	56,806,080	—	$0	56,806,080	SEC↗
Framework Ventures IV GP LLC	10% Owner	C Conversion	2025-10-21	2025-11-03	56,806,080	—	$0	56,806,080	SEC↗
Lazar David E.	10% Owner	S Sale deriv	2025-10-16	2025-10-17	441,325	—	$0	39,925	SEC↗
Kazley Michael John	Chief Executive Officer	A Award deriv	2025-10-16	2025-10-20	134,375	—	$0	134,375	SEC↗
Kazley Michael John	Chief Executive Officer	A Award deriv	2025-10-16	2025-10-20	220,663	—	$0	220,663	SEC↗
Framework Ventures Management	10% Owner	J Other deriv	2025-10-16	2025-10-20	134,375	—	$0	134,375	SEC↗
Framework Ventures Management	10% Owner	J Other deriv	2025-10-16	2025-10-20	220,663	—	$0	220,663	SEC↗
Kazley Michael John	Chief Executive Officer	A Award deriv	2025-10-16	2025-10-20	134,375	—	$0	134,375	SEC↗
Kazley Michael John	Chief Executive Officer	A Award deriv	2025-10-16	2025-10-20	220,663	—	$0	220,663	SEC↗
Framework Ventures IV GP LLC	10% Owner	J Other deriv	2025-10-16	2025-10-22	134,375	—	$0	134,375	SEC↗
Framework Ventures IV GP LLC	10% Owner	J Other deriv	2025-10-16	2025-10-22	220,663	—	$0	220,663	SEC↗
Kazley Michael John	Chief Executive Officer	P Buy deriv	2025-10-16	2025-11-03	2,702,703	—	$0	2,702,703	SEC↗
R01 Fund LP	Chief Executive Officer	P Buy deriv	2025-10-16	2025-11-03	2,702,703	—	$0	2,702,703	SEC↗
Framework Ventures IV GP LLC	10% Owner	P Buy deriv	2025-10-16	2025-11-03	2,702,703	—	$0	2,702,703	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-04-08	2025-04-15	300	$0.47	$141	1,020,300	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-04-04	2025-04-15	4,538	$0.52	$2.4K	1,020,000	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-04-03	2025-04-15	22,976	$0.56	$12.9K	1,015,462	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-04-02	2025-04-15	917	$0.58	$532	992,486	SEC↗
POPLAR POINT CAPITAL PARTNERS	10% Owner	P Buy	2025-04-01	2025-04-15	19,915	$0.59	$11.7K	991,569	SEC↗
POPLAR POINT CAPITAL PARTNERS	10% Owner	P Buy	2025-03-31	2025-04-15	21,654	$0.59	$12.8K	971,654	SEC↗
POPLAR POINT CAPITAL PARTNERS	10% Owner	P Buy	2025-03-28	2025-04-15	49,400	$0.61	$30.1K	950,000	SEC↗
POPLAR POINT CAPITAL PARTNERS	10% Owner	P Buy	2025-03-27	2025-04-15	18,504	$0.62	$11.5K	900,000	SEC↗
POPLAR POINT CAPITAL PARTNERS	10% Owner	P Buy	2025-03-27	2025-04-15	600	$0.61	$366	900,600	SEC↗
POPLAR POINT CAPITAL PARTNERS	10% Owner	P Buy	2025-03-26	2025-04-15	13,292	$0.61	$8.1K	881,496	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-03-25	2025-04-15	22,635	$0.61	$13.8K	868,204	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-03-24	2025-04-15	100	$0.61	$61	845,569	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-03-21	2025-04-15	6,372	$0.61	$3.9K	845,469	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-03-20	2025-04-15	5,320	$0.61	$3.2K	839,097	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-03-19	2025-04-15	1,500	$0.60	$900	833,777	SEC↗
POPLAR POINT CAPITAL GP LLC	10% Owner	P Buy	2025-03-18	2025-04-15	10,000	$0.63	$6.3K	818,277	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-03-18	2025-04-15	14,000	$0.63	$8.8K	832,277	SEC↗
POPLAR POINT CAPITAL GP LLC	10% Owner	P Buy	2025-03-14	2025-04-15	25,511	$0.63	$16.1K	808,277	SEC↗
POPLAR POINT CAPITAL GP LLC	10% Owner	P Buy	2025-03-13	2025-04-15	34	$0.64	$22	782,766	SEC↗
POPLAR POINT CAPITAL GP LLC	10% Owner	P Buy	2025-03-12	2025-04-15	11,837	$0.62	$7.3K	782,732	SEC↗
POPLAR POINT CAPITAL GP LLC	10% Owner	P Buy	2025-03-11	2025-04-15	2,148	$0.58	$1.2K	770,895	SEC↗
POPLAR POINT CAPITAL GP LLC	10% Owner	P Buy	2025-03-10	2025-04-15	14,645	$0.58	$8.5K	768,747	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-03-07	2025-04-15	102	$0.55	$56	754,102	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-03-04	2025-04-15	4,000	$0.58	$2.3K	754,000	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-28	2025-04-15	13,108	$0.60	$7.9K	750,000	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-27	2025-04-15	385	$0.61	$235	736,892	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-26	2025-04-15	6,302	$0.61	$3.8K	736,507	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-25	2025-04-15	25,033	$0.62	$15.5K	730,205	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-24	2025-04-15	450	$0.62	$279	705,172	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-20	2025-04-15	1,836	$0.63	$1.2K	704,722	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-19	2025-04-15	49,664	$0.67	$33.3K	702,886	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-18	2025-04-15	3,222	$0.66	$2.1K	653,222	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-04	2025-04-15	26,718	$0.64	$17.1K	650,000	SEC↗
FAKHRY JAD	10% Owner	P Buy	2025-02-03	2025-04-15	2,597	$0.64	$1.7K	623,282	SEC↗
POPLAR POINT CAPITAL MANAGEMEN	10% Owner	P Buy	2025-01-31	2025-04-15	70,685	$0.65	$45.9K	620,685	SEC↗
POPLAR POINT CAPITAL MANAGEMEN	10% Owner	P Buy	2025-01-27	2025-04-15	31,703	$0.69	$21.9K	550,000	SEC↗
Zheng Yongxiang	Director	A Award deriv	2024-05-28	2024-05-30	30,000	—	$0	30,000	SEC↗
Zheng Yenyou	Director	A Award deriv	2024-05-28	2024-05-30	30,000	—	$0	30,000	SEC↗
WU MIJIA	Director	A Award deriv	2024-05-28	2024-05-30	30,000	—	$0	30,000	SEC↗
Sit Swan	Director	A Award deriv	2024-05-28	2024-05-30	30,000	—	$0	30,000	SEC↗
Freiman Paul E.	Director	A Award deriv	2024-05-28	2024-05-30	30,000	—	$0	30,000	SEC↗
Garlikov Julie	Director	A Award deriv	2024-05-28	2024-05-30	30,000	—	$0	30,000	SEC↗
WU MIJIA	Director	A Award deriv	2023-06-09	2023-06-13	858	—	$0	858	SEC↗
Sit Swan	Director	A Award deriv	2023-06-09	2023-06-13	858	—	$0	858	SEC↗
Zheng Yongxiang	Director	A Award deriv	2023-06-09	2023-06-13	858	—	$0	858	SEC↗
Zheng Yenyou	Director	A Award deriv	2023-06-09	2023-06-13	858	—	$0	858	SEC↗
Garlikov Julie	Director	A Award deriv	2023-06-09	2023-06-13	858	—	$0	858	SEC↗
Freiman Paul E.	Director	A Award deriv	2023-06-09	2023-06-13	858	—	$0	858	SEC↗
Zheng Yongxiang	Director	M Exercise deriv	2023-05-11	2023-05-15	858	—	$0	0	SEC↗
Garlikov Julie	Director	M Exercise deriv	2023-05-11	2023-05-15	858	—	$0	0	SEC↗
Sit Swan	Director	M Exercise deriv	2023-05-11	2023-05-15	858	—	$0	0	SEC↗
WU MIJIA	Director	M Exercise deriv	2023-05-11	2023-05-15	858	—	$0	0	SEC↗
Zheng Yenyou	Director	M Exercise deriv	2023-05-11	2023-05-15	858	—	$0	0	SEC↗
Freiman Paul E.	Director	M Exercise deriv	2023-05-11	2023-05-15	858	—	$0	0	SEC↗
Zheng Yongxiang	Director	M Exercise	2023-05-11	2023-05-15	858	—	$0	858	SEC↗
Garlikov Julie	Director	M Exercise	2023-05-11	2023-05-15	858	—	$0	858	SEC↗
Sit Swan	Director	M Exercise	2023-05-11	2023-05-15	858	—	$0	1,716	SEC↗
WU MIJIA	Director	M Exercise	2023-05-11	2023-05-15	858	—	$0	1,716	SEC↗
Zheng Yenyou	Director	M Exercise	2023-05-11	2023-05-15	858	—	$0	1,716	SEC↗
Freiman Paul E.	Director	M Exercise	2023-05-11	2023-05-15	858	—	$0	1,716	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	S Sale	2022-12-06	2022-12-07	1	$1.81	$2	0	SEC↗
Kunin Audrey	Chief Product Officer	S Sale	2022-12-06	2022-12-07	1	$1.81	$2	0	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	S Sale	2022-11-21	2022-11-23	5,960	$2.10	$12.5K	0	SEC↗
Kunin Audrey	Chief Product Officer	S Sale	2022-11-21	2022-11-23	5,960	$2.10	$12.5K	0	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	S Sale	2022-11-21	2022-12-05	5,960	$2.10	$12.5K	1	SEC↗
Kunin Audrey	Chief Product Officer	S Sale	2022-11-21	2022-12-05	5,960	$2.10	$12.5K	1	SEC↗
Kunin Audrey	Chief Product Officer	S Sale	2022-09-14	2022-09-16	291,368	$0.16	$46.6K	208,632	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	S Sale	2022-09-14	2022-09-16	291,368	$0.16	$46.6K	208,632	SEC↗
Hall Justin	CEO, GC and Director	P Buy	2022-09-14	2022-09-16	10,000	$0.15	$1.5K	83,172	SEC↗
Sit Swan	Director	M Exercise deriv	2022-05-21	2022-05-24	30,000	—	$0	30,000	SEC↗
Freiman Paul E.	Director	M Exercise deriv	2022-05-21	2022-05-24	30,000	—	$0	30,000	SEC↗
Zheng Yenyou	Director	M Exercise deriv	2022-05-21	2022-05-24	30,000	—	$0	30,000	SEC↗
WU MIJIA	Director	M Exercise deriv	2022-05-21	2022-05-24	30,000	—	$0	30,000	SEC↗
Sit Swan	Director	M Exercise	2022-05-21	2022-05-24	30,000	—	$0	30,000	SEC↗
Freiman Paul E.	Director	M Exercise	2022-05-21	2022-05-24	30,000	—	$0	30,000	SEC↗
Zheng Yenyou	Director	M Exercise	2022-05-21	2022-05-24	30,000	—	$0	30,000	SEC↗
WU MIJIA	Director	M Exercise	2022-05-21	2022-05-24	30,000	—	$0	30,000	SEC↗
Freiman Paul E.	Director	A Award deriv	2022-05-11	2022-05-13	30,000	—	$0	30,000	SEC↗
Garlikov Julie	Director	A Award deriv	2022-05-11	2022-05-13	30,000	—	$0	30,000	SEC↗
Zheng Yenyou	Director	A Award deriv	2022-05-11	2022-05-13	30,000	—	$0	30,000	SEC↗
Zheng Yongxiang	Director	A Award deriv	2022-05-11	2022-05-13	30,000	—	$0	30,000	SEC↗
Sit Swan	Director	A Award deriv	2022-05-11	2022-05-13	30,000	—	$0	30,000	SEC↗
WU MIJIA	Director	A Award deriv	2022-05-11	2022-05-13	30,000	—	$0	30,000	SEC↗
Jones Andrew D.	CFO	P Buy	2021-12-06	2021-12-06	36,765	$0.44	$16.2K	127,461	SEC↗
Hall Justin	CEO, GC and Director	P Buy	2021-12-06	2021-12-06	69,767	$0.43	$30.0K	73,172	SEC↗
Jones Andrew D.	CFO	P Buy	2021-12-03	2021-12-06	8,690	$0.44	$3.8K	90,696	SEC↗
Kunin Audrey	Chief Product Officer	P Buy	2021-12-03	2021-12-07	101,650	$0.46	$46.8K	500,000	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	P Buy	2021-12-03	2021-12-07	101,650	$0.46	$46.8K	500,000	SEC↗
Kunin Audrey	Chief Product Officer	P Buy	2021-12-02	2021-12-06	262,369	$0.48	$125.9K	398,350	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	P Buy	2021-12-02	2021-12-06	262,369	$0.48	$125.9K	398,350	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	P Buy	2021-12-01	2021-12-03	14,848	$0.49	$7.3K	135,981	SEC↗
Kunin Audrey	Chief Product Officer	P Buy	2021-12-01	2021-12-03	14,848	$0.49	$7.3K	135,981	SEC↗
Kunin Audrey	Chief Product Officer	P Buy	2021-11-30	2021-12-02	30,000	$0.46	$13.8K	121,133	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	P Buy	2021-11-30	2021-12-02	30,000	$0.46	$13.8K	121,133	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	P Buy	2021-11-23	2021-11-24	66,133	$0.46	$30.4K	91,133	SEC↗
Kunin Audrey	Chief Product Officer	P Buy	2021-11-23	2021-11-24	66,133	$0.46	$30.4K	91,133	SEC↗
Kunin Jeffrey	President, DERMAdoctor, LLC	P Buy	2021-11-22	2021-11-24	25,000	$0.46	$11.5K	25,000	SEC↗
Kunin Audrey	Chief Product Officer	P Buy	2021-11-22	2021-11-24	25,000	$0.46	$11.5K	25,000	SEC↗
Zheng Yenyou	Director	A Award deriv	2021-05-21	2021-05-25	30,000	—	$0	30,000	SEC↗
Li Xinzhou	Director, 10% Owner	A Award deriv	2021-05-21	2021-05-25	30,000	—	$0	30,000	SEC↗
Sit Swan	Director	A Award deriv	2021-05-21	2021-05-25	30,000	—	$0	30,000	SEC↗
WU MIJIA	Director	A Award deriv	2021-05-21	2021-05-25	30,000	—	$0	30,000	SEC↗
Freiman Paul E.	Director	A Award deriv	2021-05-21	2021-05-25	30,000	—	$0	30,000	SEC↗
Jones Andrew D.	CFO	F Tax w/h	2021-05-04	2021-05-07	77,994	$0.79	$61.6K	82,006	SEC↗
Hall Justin	CEO and GC	A Award deriv	2020-08-20	2020-08-24	350,000	—	$0	350,000	SEC↗
Jones Andrew D.	CFO	A Award deriv	2020-08-20	2020-08-24	25,000	—	$0	25,000	SEC↗
Xu Wang	NEO - Sr Mgr and Controller	A Award deriv	2020-08-20	2020-08-24	75,000	—	$0	75,000	SEC↗
WU MIJIA	Director	X Exercise deriv	2020-08-17	2020-08-19	20,000	—	$0	0	SEC↗
WU MIJIA	Director	A Award	2020-08-17	2020-08-19	20,000	$0.30	$6.0K	20,000	SEC↗
WU MIJIA	Director	S Sale	2020-08-17	2020-08-19	20,000	$1.35	$27.0K	0	SEC↗
Fu Jian Ping	10% Owner	S Sale	2020-08-01	2020-08-04	1,302,350	$1.23	$1.60M	4,000,000	SEC↗
Sit Swan	Director	A Award deriv	2020-05-26	2020-05-29	20,000	—	$0	20,000	SEC↗
Freiman Paul E.	Director	A Award deriv	2020-05-26	2020-05-29	20,000	—	$0	20,000	SEC↗
Wang Xiaopei	Director	A Award deriv	2020-05-26	2020-05-29	20,000	—	$0	20,000	SEC↗
Li Xinzhou	Director, 10% Owner	A Award deriv	2020-05-26	2020-05-29	20,000	—	$0	20,000	SEC↗
Zheng Yenyou	Director	A Award deriv	2020-05-26	2020-05-29	20,000	—	$0	20,000	SEC↗
WU MIJIA	Director	A Award deriv	2020-05-26	2020-05-29	20,000	—	$0	20,000	SEC↗
SIECZKAREK MARK M	Other	A Award	2019-07-30	2019-08-06	167,938	—	$0	1,156,883	SEC↗
Raleigh Jason Philip	Interim CFO and Treasurer	X Exercise deriv	2019-06-11	2019-10-28	9,750	—	$0	0	SEC↗
Raleigh Jason Philip	Interim CFO and Treasurer	A Award	2019-06-11	2019-10-28	9,750	$2.35	$22.9K	9,750	SEC↗
Raleigh Jason Philip	Interim CFO and Treasurer	S Sale	2019-06-11	2019-10-28	9,750	$3.75	$36.6K	0	SEC↗
Raleigh Jason Philip	Interim CFO and Treasurer	X Exercise deriv	2019-06-11	2019-06-12	9,750	—	$0	0	SEC↗
WU MIJIA	Director	S Sale	2019-06-11	2019-06-13	15,873	$4.04	$64.1K	0	SEC↗
Pioneer Pharma (Hong Kong) Co	10% Owner	S Sale	2019-06-11	2019-06-13	24,326	$4.04	$98.3K	5,188,421	SEC↗
Fu Jian Ping	10% Owner	S Sale	2019-06-11	2019-06-13	380,954	$3.84	$1.46M	5,302,350	SEC↗
Hall Justin	Interim President & CEO and	X Exercise deriv	2019-06-10	2019-10-28	47,500	—	$0	0	SEC↗
Raleigh Jason Philip	Interim CFO and Treasurer	X Exercise deriv	2019-06-10	2019-10-28	23,405	—	$0	0	SEC↗
Hall Justin	Interim President & CEO and	S Sale	2019-06-10	2019-10-28	47,500	$3.03	$143.9K	3,405	SEC↗
Hall Justin	Interim President & CEO and	A Award	2019-06-10	2019-10-28	47,500	$2.02	$96.0K	50,905	SEC↗
Raleigh Jason Philip	Interim CFO and Treasurer	S Sale	2019-06-10	2019-10-28	23,405	$3.00	$70.2K	0	SEC↗
Raleigh Jason Philip	Interim CFO and Treasurer	A Award	2019-06-10	2019-10-28	23,405	$2.20	$51.5K	23,405	SEC↗
Hall Justin	SVP, General Counsel	X Exercise deriv	2019-06-10	2019-06-12	47,500	—	$0	0	SEC↗
Raleigh Jason Philip	Interim CFO and Treasurer	X Exercise deriv	2019-06-10	2019-06-12	23,405	—	$0	0	SEC↗
WU MIJIA	Director	S Sale	2019-06-10	2019-06-13	47,619	$2.03	$96.7K	0	SEC↗
Freiman Paul E.	Director	A Award deriv	2019-05-30	2019-10-28	20,000	—	$0	20,000	SEC↗
SIECZKAREK MARK M	Director	A Award deriv	2019-05-30	2019-10-28	20,000	—	$0	20,000	SEC↗
Maderis Gail J	Director	A Award deriv	2019-05-30	2019-10-28	20,000	—	$0	20,000	SEC↗
WU MIJIA	Director	A Award deriv	2019-05-30	2019-10-28	20,000	—	$0	20,000	SEC↗
Li Xinzhou	Director, 10% Owner	A Award deriv	2019-05-30	2019-10-28	20,000	—	$0	20,000	SEC↗
Zavodnick Todd Erik	Director	A Award deriv	2019-05-30	2019-10-30	20,000	—	$0	20,000	SEC↗
McGovern John Joseph	Int Pres, CEO, CFO & Treasur	A Award deriv	2018-10-09	2018-10-11	250,000	—	$0	440,000	SEC↗
McGovern John Joseph	CFO and Treasurer	A Award deriv	2018-05-31	2018-06-01	90,000	—	$0	190,000	SEC↗
Hall Justin	SVP, General Counsel	A Award deriv	2018-05-31	2018-06-01	190,000	—	$0	345,710	SEC↗
Freiman Paul E.	Director	A Award deriv	2018-05-31	2018-06-04	20,000	—	$0	62,697	SEC↗
Li Xinzhou	Director, 10% Owner	A Award deriv	2018-05-31	2018-06-04	20,000	—	$0	25,248	SEC↗
Liu Yanbin	Director	A Award deriv	2018-05-31	2018-06-04	20,000	—	$0	20,000	SEC↗
Ma Yonghao	Director	A Award deriv	2018-05-31	2018-06-04	20,000	—	$0	43,629	SEC↗
Maderis Gail J	Director	A Award deriv	2018-05-31	2018-06-04	20,000	—	$0	84,213	SEC↗
Zavodnick Todd Erik	Director	A Award deriv	2018-05-31	2018-06-04	20,000	—	$0	53,698	SEC↗
WU MIJIA	Director	A Award deriv	2018-05-31	2018-06-04	20,000	—	$0	35,244	SEC↗
STUART LEWIS J	Chief Commercial Officer	A Award deriv	2017-12-14	2018-01-08	100,000	—	$0	100,000	SEC↗
STUART LEWIS J	Chief Commercial Officer	A Award deriv	2017-12-14	2018-01-08	10,000	—	$0	10,000	SEC↗
Hall Justin	SVP, General Counsel	X Exercise deriv	2017-09-14	2017-09-18	20,000	—	$0	278,160	SEC↗
McGovern John Joseph	CFO and Treasurer	A Award deriv	2017-07-17	2017-08-01	100,000	—	$0	100,000	SEC↗
Li Xinzhou	Director, 10% Owner	A Award deriv	2017-07-03	2017-07-07	5,248	—	$0	5,248	SEC↗
SIECZKAREK MARK M	CEO	A Award deriv	2017-06-02	2017-06-06	250,000	—	$0	250,000	SEC↗
SIECZKAREK MARK M	CEO	A Award deriv	2017-01-25	2017-01-26	238,609	—	$0	936,857	SEC↗
PAULSON THOMAS J	CFO	A Award deriv	2017-01-25	2017-01-26	116,000	—	$0	310,788	SEC↗
Hall Justin	SVP, General Counsel	A Award deriv	2017-01-25	2017-01-26	143,000	—	$0	278,160	SEC↗
Ma Yonghao	Director	A Award deriv	2017-01-03	2018-01-19	20,326	—	$0	23,629	SEC↗
Freiman Paul E.	Director	A Award deriv	2017-01-03	2017-01-04	25,916	—	$0	67,097	SEC↗
Freiman Paul E.	Director	A Award deriv	2017-01-03	2017-01-04	25,916	—	$0	67,097	SEC↗
Maderis Gail J	Director	A Award deriv	2017-01-03	2017-01-04	23,883	—	$0	59,769	SEC↗
Zavodnick Todd Erik	Director	A Award deriv	2017-01-03	2017-01-04	22,359	—	$0	33,699	SEC↗
Ma Yonghao	Director	A Award deriv	2017-01-03	2017-01-04	33,699	—	$0	37,002	SEC↗
LIU XIAOYAN	Director	A Award deriv	2017-01-03	2017-01-04	15,245	—	$0	15,245	SEC↗
WU MIJIA	Director	A Award deriv	2017-01-03	2017-01-04	15,245	—	$0	15,245	SEC↗
Fu Jian Ping	10% Owner	X Exercise	2016-10-11	2016-10-11	126,985	$3.15	$400.0K	3,983,304	SEC↗
Zavodnick Todd Erik	Director	A Award deriv	2016-10-03	2016-10-04	3,303	—	$0	14,396	SEC↗
Ma Yonghao	Director	A Award deriv	2016-10-03	2016-10-04	3,303	—	$0	3,303	SEC↗
Zavodnick Todd Erik	Director	A Award deriv	2016-10-03	2016-10-04	247	—	$0	11,367	SEC↗
WU MIJIA	Director	X Exercise	2016-09-30	2016-10-03	15,873	$3.15	$50.0K	47,619	SEC↗
SIECZKAREK MARK M	CEO	X Exercise	2016-09-30	2016-10-03	273,447	$1.91	$522.3K	988,945	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	X Exercise	2016-09-22	2016-09-26	181,300	$1.81	$328.2K	3,879,519	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	X Exercise	2016-09-22	2016-09-26	1,308,902	$1.91	$2.50M	5,188,421	SEC↗
Fu Jian Ping	10% Owner	X Exercise	2016-09-22	2016-09-26	968,587	$1.91	$1.85M	3,856,319	SEC↗
SIECZKAREK MARK M	CEO	A Award deriv	2016-08-01	2016-08-02	130,890	—	$0	273,447	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	A Award deriv	2016-08-01	2016-08-02	654,451	—	$0	1,490,202	SEC↗
SIECZKAREK MARK M	CEO	A Award	2016-08-01	2016-08-02	261,780	$1.91	$500.0K	715,498	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	A Award	2016-08-01	2016-08-02	1,308,901	$1.91	$2.50M	3,698,219	SEC↗
Zavodnick Todd Erik	Director	A Award deriv	2016-07-01	2016-07-01	11,093	—	$0	0	SEC↗
SIECZKAREK MARK M	CEO	A Award deriv	2016-06-06	2016-06-08	675,000	—	$0	698,248	SEC↗
PAULSON THOMAS J	CFO	A Award deriv	2016-06-06	2016-06-08	160,000	—	$0	194,788	SEC↗
Hall Justin	General Counsel	A Award deriv	2016-06-06	2016-06-09	130,000	—	$0	135,160	SEC↗
SIECZKAREK MARK M	Director	A Award deriv	2016-05-09	2016-05-13	130,890	—	$0	142,557	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	A Award deriv	2016-05-09	2016-05-13	654,451	—	$0	835,751	SEC↗
Fu Jian Ping	10% Owner	A Award deriv	2016-05-09	2016-05-16	968,587	—	$0	1,095,572	SEC↗
SIECZKAREK MARK M	Director	A Award	2016-05-09	2016-05-13	261,780	$1.91	$500.0K	453,718	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	A Award	2016-05-09	2016-05-13	1,308,901	$1.91	$2.50M	2,389,318	SEC↗
Fu Jian Ping	10% Owner	A Award	2016-05-09	2016-05-16	1,937,173	$1.91	$3.70M	2,887,732	SEC↗
Hall Justin	General Counsel	A Award deriv	2016-03-09	2016-03-09	5,000	—	$0	2,400	SEC↗
SIECZKAREK MARK M	Director	A Award deriv	2016-03-09	2016-03-09	58,692	—	$0	58,692	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	A Award	2016-02-25	2016-02-26	696,590	$1.91	$1.33M	1,104,742	SEC↗
SIECZKAREK MARK M	Director	A Award	2016-02-25	2016-02-26	125,387	$1.91	$239.5K	133,246	SEC↗
Freiman Paul E.	Director	A Award deriv	2016-01-04	2016-01-06	26,835	—	$0	41,181	SEC↗
Maderis Gail J	Director	A Award deriv	2016-01-04	2016-01-06	24,777	—	$0	35,886	SEC↗
McPherson T. Alex	Director	A Award deriv	2016-01-04	2016-01-06	22,719	—	$0	44,210	SEC↗
Radaelli Massimo	Director	A Award deriv	2016-01-04	2016-01-06	600	—	$0	2,400	SEC↗
SIECZKAREK MARK M	Director	A Award deriv	2016-01-04	2016-01-06	16,032	—	$0	23,246	SEC↗
PAULSON THOMAS J	CFO	A Award deriv	2015-10-05	2015-10-06	150,000	—	$0	869,675	SEC↗
WU ROY J	SVP Bus & Corp Development	A Award deriv	2015-10-05	2015-10-06	150,000	—	$0	614,725	SEC↗
WU ROY J	SVP Bus & Corp Development	A Award deriv	2015-10-05	2015-10-06	25,000	—	$0	25,000	SEC↗
Stroman David W.	SVP, Ophthalmic Product Devt	A Award deriv	2015-10-05	2015-10-06	100,000	—	$0	474,834	SEC↗
PAULSON THOMAS J	CFO	A Award	2015-10-05	2015-10-06	50,000	—	$0	142,196	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy	2015-08-20	2015-08-21	6,000	$0.44	$2.6K	12,000	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy	2015-08-19	2015-08-21	6,000	$0.50	$3.0K	6,000	SEC↗
SIECZKAREK MARK M	Director	A Award deriv	2015-06-12	2015-06-16	24,128	—	$0	180,362	SEC↗
Hoon Russell A.	Senior Vice President	A Award deriv	2015-04-14	2015-04-15	4,515	—	$0	34,217	SEC↗
Hoon Russell A.	Senior Vice President	C Conversion	2015-04-14	2015-04-30	4,515	—	$0	34,217	SEC↗
Najafi Ramin	Chief Executive Officer	A Award	2015-03-23	2015-03-25	46,033	—	$0	3,437,699	SEC↗
PAULSON THOMAS J	CFO	A Award	2015-03-23	2015-03-25	23,986	—	$0	92,196	SEC↗
WU ROY J	SVP Bus & Corp Development	A Award	2015-03-23	2015-03-25	19,296	—	$0	19,296	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	P Buy deriv	2015-03-03	2015-03-05	1,942,500	$0.65	$1.26M	4,532,500	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	P Buy deriv	2015-03-03	2015-03-05	2,590,000	$0.60	$1.55M	4,532,500	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy deriv	2015-03-03	2015-03-05	166,666	$0.60	$100.0K	291,665	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy deriv	2015-03-03	2015-03-05	124,999	$0.65	$81.2K	291,665	SEC↗
SIECZKAREK MARK M	Director	P Buy deriv	2015-03-03	2015-03-05	124,999	$0.65	$81.2K	291,665	SEC↗
SIECZKAREK MARK M	Director	P Buy deriv	2015-03-03	2015-03-05	166,666	$0.60	$100.0K	291,665	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	P Buy	2015-03-03	2015-03-05	2,590,000	$0.60	$1.55M	9,595,656	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy	2015-03-03	2015-03-05	166,666	$0.60	$100.0K	3,391,666	SEC↗
SIECZKAREK MARK M	Director	P Buy	2015-03-03	2015-03-05	166,666	$0.60	$100.0K	196,466	SEC↗
Wicks Tony D.S.	Director	A Award deriv	2015-01-02	2015-01-06	15,000	—	$0	301,016	SEC↗
Freiman Paul E.	Director	A Award deriv	2015-01-02	2015-01-06	121,144	—	$0	358,654	SEC↗
McPherson T. Alex	Director	A Award deriv	2015-01-02	2015-01-06	144,444	—	$0	537,279	SEC↗
SIECZKAREK MARK M	Director	A Award deriv	2015-01-02	2015-01-06	92,667	—	$0	156,234	SEC↗
Cashion Charles	Director	A Award deriv	2015-01-02	2015-01-06	69,368	—	$0	377,156	SEC↗
Maderis Gail J	Director	A Award deriv	2015-01-02	2015-01-06	121,144	—	$0	277,726	SEC↗
Radaelli Massimo	Director	A Award deriv	2015-01-02	2015-01-06	15,000	—	$0	45,000	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy	2014-12-12	2014-12-15	50,000	$0.65	$32.5K	0	SEC↗
PAULSON THOMAS J	CFO	P Buy	2014-12-12	2014-12-15	10,000	$0.68	$6.8K	68,210	SEC↗
Stroman David W.	SVP, Ophthalmic Product Devt	P Buy	2014-12-12	2014-12-16	10,000	$0.66	$6.6K	23,000	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy	2014-12-11	2014-12-11	20,000	$0.60	$12.0K	3,175,000	SEC↗
PAULSON THOMAS J	CFO	P Buy	2014-12-09	2014-12-11	10,000	$0.67	$6.7K	58,210	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy	2014-12-05	2014-12-08	25,000	$0.65	$16.3K	3,155,000	SEC↗
Wicks Tony D.S.	Director	S Sale	2014-12-02	2014-12-04	20,000	$0.70	$14.0K	0	SEC↗
Najafi Ramin	Chief Executive Officer	P Buy	2014-12-02	2014-12-04	18,000	$0.71	$12.8K	3,130,000	SEC↗
Wicks Tony D.S.	Director	S Sale	2014-12-01	2014-12-03	10,000	$0.69	$6.9K	213,680	SEC↗
Bley Keith R	SVP Product Development	A Award deriv	2014-09-26	2014-09-30	50,000	—	$0	258,120	SEC↗
PAULSON THOMAS J	CFO	A Award deriv	2014-09-26	2014-09-30	60,000	—	$0	719,675	SEC↗
Najafi Ramin	Chief Executive Officer	A Award deriv	2014-09-26	2014-09-30	90,000	—	$0	1,015,032	SEC↗
Stroman David W.	SVP, Ophthalmic Product Devt	A Award deriv	2014-09-26	2014-09-30	50,000	—	$0	374,834	SEC↗
WU ROY J	SVP Bus & Corp Development	A Award deriv	2014-09-26	2014-09-30	50,000	—	$0	464,725	SEC↗
SIECZKAREK MARK M	Director	P Buy	2014-06-04	2014-06-05	4,800	$0.89	$4.3K	29,800	SEC↗
Najafi Ramin	Chief Executive Officer	G Gift	2014-06-02	2014-06-04	5,500	—	$0	3,112,000	SEC↗
SIECZKAREK MARK M	Director	P Buy	2014-05-19	2014-05-21	25,000	$0.88	$22.0K	25,000	SEC↗
China Pioneer Pharma Holdings	10% Owner	P Buy	2014-05-13	2014-05-14	65,065	$0.99	$64.4K	608,156	SEC↗
China Pioneer Pharma Holdings	10% Owner	P Buy	2014-05-12	2014-05-14	116,107	$0.99	$114.9K	543,091	SEC↗
China Pioneer Pharma Holdings	10% Owner	P Buy	2014-05-09	2014-05-14	318,828	$0.99	$315.6K	426,984	SEC↗
Najafi Ramin	Chief Executive Officer	A Award deriv	2014-04-15	2014-04-17	10,180	—	$0	925,032	SEC↗
WU ROY J	SVP Bus & Corp Development	A Award deriv	2014-04-15	2014-04-17	7,823	—	$0	414,725	SEC↗
Stroman David W.	SVP, Ophthalmic Product Devt	A Award deriv	2014-04-15	2014-04-17	5,011	—	$0	324,834	SEC↗
PAULSON THOMAS J	CFO	A Award deriv	2014-04-15	2014-04-17	9,866	—	$0	699,675	SEC↗
Bley Keith R	SVP Product Development	A Award deriv	2014-04-15	2014-04-17	7,120	—	$0	208,120	SEC↗
Wicks Tony D.S.	Director	M Exercise deriv	2014-04-14	2014-04-14	52,000	—	$0	234,068	SEC↗
Wicks Tony D.S.	Director	M Exercise	2014-04-14	2014-04-14	52,000	$0.56	$29.1K	213,690	SEC↗
Dailley Anthony	Director	M Exercise deriv	2014-03-17	2014-03-21	9,000	—	$0	191,967	SEC↗
Dailley Anthony	Director	M Exercise	2014-03-17	2014-03-21	9,000	$0.56	$5.0K	285,259	SEC↗
Cashion Charles	Director	A Award deriv	2014-01-30	2014-01-31	31,329	—	$0	307,788	SEC↗
Maderis Gail J	Director	A Award deriv	2014-01-30	2014-01-31	61,167	—	$0	267,631	SEC↗
McPherson T. Alex	Director	A Award deriv	2014-01-30	2014-01-31	86,528	—	$0	382,335	SEC↗
SIECZKAREK MARK M	Director	A Award deriv	2014-01-30	2014-01-31	33,567	—	$0	63,567	SEC↗
Tufts Robert R.	Director	A Award deriv	2014-01-30	2014-01-31	30,583	—	$0	191,468	SEC↗
Wicks Tony D.S.	Director	A Award deriv	2014-01-30	2014-01-31	14,919	—	$0	286,068	SEC↗
SIECZKAREK MARK M	Director	A Award deriv	2014-01-09	2014-01-09	30,000	—	$0	30,000	SEC↗
Radaelli Massimo	Director	A Award deriv	2014-01-09	2014-01-09	30,000	—	$0	30,000	SEC↗
Cashion Charles	Director	A Award deriv	2014-01-02	2014-01-09	15,000	—	$0	276,459	SEC↗
Dailley Anthony	Director	A Award deriv	2014-01-02	2014-01-09	15,000	—	$0	203,217	SEC↗
Freiman Paul E.	Director	A Award deriv	2014-01-02	2014-01-09	15,000	—	$0	237,510	SEC↗
Maderis Gail J	Director	A Award deriv	2014-01-02	2014-01-09	15,000	—	$0	206,464	SEC↗
McPherson T. Alex	Director	A Award deriv	2014-01-02	2014-01-09	15,000	—	$0	295,807	SEC↗
Tufts Robert R.	Director	A Award deriv	2014-01-02	2014-01-09	15,000	—	$0	160,885	SEC↗
Wicks Tony D.S.	Director	A Award deriv	2014-01-02	2014-01-09	15,000	—	$0	271,149	SEC↗
Pioneer Pharma (Hong Kong) Co	10% Owner	H Expire deriv	2013-12-02	2013-12-04	800,000	—	$0	0	SEC↗
Pioneer Pharma (Hong Kong) Co	10% Owner	H Expire deriv	2013-12-02	2013-12-04	1,200,000	—	$0	0	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	H Expire deriv	2013-12-02	2013-12-04	1,200,000	—	$0	0	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	H Expire deriv	2013-12-02	2013-12-04	800,000	—	$0	0	SEC↗
China Pioneer Pharma Holdings	10% Owner	H Expire deriv	2013-12-02	2013-12-04	1,200,000	—	$0	0	SEC↗
China Pioneer Pharma Holdings	10% Owner	H Expire deriv	2013-12-02	2013-12-04	800,000	—	$0	0	SEC↗
Pioneer Pharma (Hong Kong) Co	10% Owner	P Buy	2013-12-02	2013-12-04	5,000,000	$1.14	$5.70M	7,005,656	SEC↗
Pioneer Pharma (Singapore) Pte	10% Owner	P Buy	2013-12-02	2013-12-04	5,000,000	$1.14	$5.70M	7,005,656	SEC↗
China Pioneer Pharma Holdings	10% Owner	P Buy	2013-12-02	2013-12-04	5,000,000	$1.14	$5.70M	7,005,656	SEC↗
China Pioneer Pharma Holdings	10% Owner	P Buy	2013-11-14	2013-12-02	108,156	$1.02	$110.3K	108,156	SEC↗
PAULSON THOMAS J	CFO	F Tax w/h	2013-10-28	2013-10-29	3,645	$1.75	$6.4K	63,855	SEC↗