| 内部者株式数 | 27,868,334 shares |
内部心理スコア
内部心理スコアは、企業の内部関係者によって買収されている企業を見つけます。
これは内部者の所有量が最も高い企業を特定する、洗練された多要素定量モデルの結果です。スコアリング・モデルでは、過去90日間に購入した内部者の正味数、浮動株の割合として購入された株式の合計、および内部者が所有する株式の合計を組み合わせて使用します。数値の範囲は0から100で、数値が大きいほど所有量が高く50が平均値です。
更新頻度: 1日
役員心理スコア
役員心理スコアは、役員によって購入されている企業を見つけます。
定義上、役員は内部者ですが、他の内部者 (10%株主と取締役) とは異なり、役員は日常的に会社のために働き、取引の際には自分のお金を使います。(10%株主や取締役は、他人のお金を管理するファンドマネージャーであることが多い。)このように、役員による内部者取引は、より重要であり、適切に取り扱われるべきです。
内部者心理スコアと同様に、役員心理スコアは、役員の所有量が最も高い企業を特定する高度な多要素定量モデルの結果です。
更新頻度: 1日
主要内部者指標
このカードは、同社がさまざまな内部者指標に沿ってどのようにランク付けされているかを示しています。パーセンタイルのランクは、この会社が米国市場の他の会社と比較してどうであるかを示しています。ランキングが高いほど状況が良いことを示しています。
例えば、内部者取引はポジティブな指標であるため、内部者取引の多い企業は、内部者取引の少ない企業 (あるいは内部者売却でさえ) よりも上位にランクされると一般的に考えられています。
正味内部者購入数 (ランク)
N/A
正味内部者購入数は、購入した内部者の総数から、過去90日間に売却した内部者の総数を差し引いたものです。パーセンタイルのランクがここに表示されます (0から100%の範囲) 。
内部者による浮動株購入率 (ランク)
N/A
内部者による浮動株購入率は、内部者が購入した株式の総数から、過去90日間に内部者が売却した株式の総数を差し引いたものを浮動株の総数で割り、100を乗じたものです。
内部者取引チャート
Apollo Endosurgery Inc内部者取引を次のチャートに示します。内部者とは、会社の役員、取締役、または重要な投資家のことです。一般的に、内部者が重要な非公開情報に基づいて自社の取引を行うことは一般的に違法です。これは、彼らが自分の会社で取引をすることが違法であるという意味ではありません。ただし、すべての取引をフォーム4を通じてSECに報告しなければなりません。
内部者名簿と収益性指標
この表は、既知の内部者を示しており、SECに開示されたファイルから自動的に生成されます。氏名、最新の役職名、取締役、役員または10%所有者の指定に加えて、開示された最新の保有株式を提供します。さらに、可能な場合は、内部者の過去の取引実績を提供します。過去の取引実績は、内部者による実際の公開市場での購入取引の実績の加重平均です。この計算方法の詳細については、こちらのYouTubeウェビナーをご覧ください。
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| 内部者 | 平均利益 (%) | 所有 株式数 |
調整後 分割 |
|---|
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内部者購入の実績 - 短期利益分析
このセクションでは、APEN / Apollo Endosurgery Incで行われたすべての計画外の公開市場内部者購入の収益性を分析します。この分析は、内部者が一貫して異常なリターンを生成しているかどうかを理解するのに役立ちます。この分析は、各取引の1年間後のもので 結果は理論値です .
次の表は、自動取引計画に含まれていない直近の公開市場購入を示しています。
調整後価格は分割調整後価格です。 調整後株式数は分割調整後株式数です。
内部者売却の実績 - 短期損失分析
このセクションでは、APEN / Apollo Endosurgery Incで行われたすべての予定外の公開市場の内部者取引の短期損失回避を分析します。損失回避の一貫したパターンは、将来の売却取引が価格の下落を予測する可能性を示唆しているかもしれません。この分析は、各取引の1年間後のものです。 結果は理論値です .
次の表は、自動取引プランに含まれていない直近の公開市場での売買を示しています。
調整後価格は分割調整後価格です。 調整後株式数は分割調整後株式数です。
取引履歴
リンクアイコンをクリックすると、完全な取引履歴が表示されます。10b5-1自動取引プランの一環として報告された取引には、「10b-5」の列にX印が表示されます。
| 提出 日 |
取引 日 |
フォーム | 内部者 | ティッカー | 証券タイトル | コード | 直接 | 権利行使 価格 |
単位 価格 |
単位 変化 |
価値 変更 (千) |
残り オプション |
残り 株式数 |
|
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | -400,675 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | -63,671 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | -45,594 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | -3,687,781 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Common Stock | I | -1,310,701 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | -675,181 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | -400,675 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | -63,671 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | -45,594 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | -3,687,781 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Common Stock | I | -1,310,701 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | -675,181 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McClellan William D. Jr. by Trust | APEN | Common Stock | I | -2,000 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | -39,249 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | McKhann Chas | APEN | Common Stock | D | -689,880 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Molesphini John J | APEN | Common Stock | D | -92,626 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | BARR JOHN R | APEN | Common Stock | D | -44,082 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | -35,604 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Bankes Jeannette | APEN | Common Stock | D | -17,641 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Black Jeffrey G. | APEN | Common Stock | D | -335,330 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Gutteridge Mike | APEN | Common Stock | D | -86,647 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Gostout Christopher J. | APEN | Common Stock | D | -90,267 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Pacitti David | APEN | Common Stock | D | -18,112 | 0 | ||||||
| 2023-04-04 | 2023-04-04 | 4 | Shimer Julie Ann | APEN | Common Stock | D | -36,021 | 0 | ||||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 3.2500 | 1,465,770 | 4,764 | 3,687,781 | ||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 3.2500 | 586,308 | 1,906 | 1,310,701 | ||||
| 2022-12-30 | 2022-12-28 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 3.2500 | 146,577 | 476 | 675,181 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 3.2500 | 1,465,770 | 4,764 | 3,687,781 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 3.2500 | 586,308 | 1,906 | 1,310,701 | ||||
| 2022-12-30 | 2022-12-28 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 3.2500 | 146,577 | 476 | 675,181 | ||||
| 2022-11-04 | 2022-11-04 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.4600 | -15,060 | -97 | 332,650 | ||||
| 2022-08-05 | 2022-08-05 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.4600 | -6,190 | -40 | 347,710 | ||||
| 2022-08-05 | 2022-08-05 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | 17,028 | 17,028 | ||||||
| 2022-08-05 | 2022-08-05 | 4 | O'KEEFE SHARON | APEN | Common Stock | D | 18,576 | 18,576 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Anderson Rick D | APEN | Common Stock | D | 14,224 | 113,484 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 14,224 | 39,249 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 14,224 | 36,021 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Bankes Jeannette | APEN | Common Stock | D | 14,224 | 17,641 | ||||||
| 2022-06-16 | 2022-05-06 | 4 | Bankes Jeannette | APEN | Common Stock | D | 3,417 | 3,417 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 88,900 | 353,900 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | BARR JOHN R | APEN | Common Stock | D | 14,224 | 44,082 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | McKhann Chas | APEN | Common Stock | D | 112,607 | 689,880 | ||||||
| 2022-06-16 | 2022-06-14 | 4 | Pacitti David | APEN | Common Stock | D | 14,224 | 18,112 | ||||||
| 2022-05-09 | 2022-05-05 | 4 | McKhann Chas | APEN | Common Stock | D | 5.4200 | -66,553 | -361 | 577,273 | ||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 21,403 | ||||||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 22,838 | ||||||||
| 2022-03-10 | 3/A | Gutteridge Mike | APEN | Common Stock | D | 19,796 | ||||||||
| 2022-03-10 | 2022-02-25 | 4/A | Gutteridge Mike | APEN | Stock Option (Right to Buy) | D | 5.63 | 11,611 | 11,611 | |||||
| 2022-03-10 | 2022-02-25 | 4/A | Gutteridge Mike | APEN | Common Stock | D | 22,610 | 63,809 | ||||||
| 2022-03-01 | 2022-03-01 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 6.2000 | 10,000 | 62 | 265,000 | ||||
| 2022-03-01 | 2022-02-28 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 5.6600 | 15,000 | 85 | 255,000 | ||||
| 2022-03-01 | 2022-02-25 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 5.4800 | 15,000 | 82 | 240,000 | ||||
| 2022-03-01 | 3 | Gutteridge Mike | APEN | Common Stock | D | 41,199 | ||||||||
| 2022-03-01 | 3 | Gutteridge Mike | APEN | Common Stock | D | 22,838 | ||||||||
| 2022-03-01 | 2022-02-25 | 4 | Gutteridge Mike | APEN | Stock Option (Right to Buy) | D | 5.63 | 11,611 | 11,611 | |||||
| 2022-03-01 | 2022-02-25 | 4 | Gutteridge Mike | APEN | Common Stock | D | 22,610 | 63,809 | ||||||
| 2022-02-28 | 2022-02-25 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 5.63 | 26,539 | 26,539 | |||||
| 2022-02-28 | 2022-02-25 | 4 | Molesphini John J | APEN | Common Stock | D | 17,227 | 92,626 | ||||||
| 2022-02-28 | 2022-02-25 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 5.63 | 6,635 | 6,635 | |||||
| 2022-02-28 | 2022-02-25 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 12,920 | 90,267 | ||||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 7.7500 | 387,097 | 3,000 | 2,151,209 | ||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 7.7500 | 258,064 | 2,000 | 696,071 | ||||
| 2021-10-19 | 2021-10-15 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 7.7500 | 38,710 | 300 | 521,522 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 7.7500 | 387,097 | 3,000 | 2,151,209 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 7.7500 | 258,064 | 2,000 | 696,071 | ||||
| 2021-10-19 | 2021-10-15 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 7.7500 | 38,710 | 300 | 521,522 | ||||
| 2021-08-20 | 2021-08-20 | 4/A | McKhann Chas | APEN | Common Stock | D | 7.7400 | -21,148 | -164 | 643,826 | ||||
| 2021-08-20 | 2021-08-19 | 4/A | McKhann Chas | APEN | Common Stock | D | 7.8900 | -21,148 | -167 | 664,974 | ||||
| 2021-08-20 | 2021-08-18 | 4/A | McKhann Chas | APEN | Common Stock | D | 8.2100 | -21,156 | -174 | 686,122 | ||||
| 2021-08-20 | 2021-08-20 | 4 | McKhann Chas | APEN | Common Stock | D | 7.7400 | -21,148 | -164 | 643,826 | ||||
| 2021-08-20 | 2021-08-19 | 4 | McKhann Chas | APEN | Common Stock | D | 7.8900 | -21,148 | -167 | 664,974 | ||||
| 2021-08-20 | 2021-08-18 | 4 | McKhann Chas | APEN | Common Stock | D | 8.2100 | -21,156 | -174 | 686,122 | ||||
| 2021-08-11 | 2021-08-11 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 8.7500 | 25,000 | 219 | 25,000 | ||||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Stock Option (Right to Buy) | D | 8.69 | 8.6900 | 150,000 | 1,304 | 150,000 | |||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 80,000 | 225,000 | ||||||
| 2021-08-11 | 2021-08-09 | 4 | Black Jeffrey G. | APEN | Common Stock | D | 120,000 | 145,000 | ||||||
| 2021-07-08 | 2021-06-30 | 4 | GAGNON NEIL By Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 1,001 | 85,015 | ||||||
| 2021-07-08 | 2021-06-30 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 3,337 | 413,962 | ||||||
| 2021-07-07 | 2021-07-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 91 | 95,998 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 66,382 | |||
| 2021-06-21 | 2021-06-17 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 3,888 | 25,025 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 64,710 | |||
| 2021-06-21 | 2021-06-17 | 4 | Pacitti David | APEN | Common Stock | D | 3,888 | 3,888 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 51,124 | |||
| 2021-06-21 | 2021-06-17 | 4 | BARR JOHN R | APEN | Common Stock | D | 3,888 | 29,858 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Anderson Rick D | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 5,271 | |||
| 2021-06-21 | 2021-06-17 | 4 | Anderson Rick D | APEN | Common Stock | D | 3,888 | 53,565 | ||||||
| 2021-06-21 | 2021-06-17 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 8.86 | 8.8600 | 5,271 | 47 | 57,965 | |||
| 2021-06-21 | 2021-06-17 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 3,888 | 21,797 | ||||||
| 2021-06-15 | 2021-06-11 | 4 | GAGNON NEIL As Managing Member of General Partner of Gagnon Investment Associates | APEN | Pre-funded warrants | I | 0.00 | -128,585 | 0 | |||||
| 2021-06-15 | 2021-06-11 | 4 | GAGNON NEIL By Managing Member as General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 0.0010 | 128,585 | 0 | 1,329,354 | ||||
| 2021-06-15 | 2021-05-21 | 4 | GAGNON NEIL By Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 1,609 | 84,014 | ||||||
| 2021-06-15 | 2021-05-21 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 8,045 | 410,625 | ||||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9600 | -790 | -5 | 0 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9300 | -600 | -4 | 790 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9200 | -3,400 | -24 | 1,390 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9100 | -5,524 | -38 | 4,790 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.9000 | -3,144 | -22 | 10,314 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8900 | -464 | -3 | 13,458 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8800 | -1,100 | -8 | 13,922 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8500 | -20 | -0 | 15,022 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8100 | -500 | -3 | 15,042 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.8000 | -600 | -4 | 15,542 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7300 | -600 | -4 | 16,142 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7200 | -300 | -2 | 16,742 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7100 | -100 | -1 | 17,042 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.7000 | -800 | -5 | 17,142 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.6700 | -200 | -1 | 17,942 | ||||
| 2021-05-20 | 2021-05-19 | 4/A | Pacitti David | APEN | Common Stock | D | 6.6400 | -600 | -4 | 18,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9600 | -790 | -5 | 0 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9300 | -600 | -4 | 790 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9200 | -3,400 | -24 | 1,390 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9100 | -5,524 | -38 | 4,790 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.9000 | -3,144 | -22 | 10,314 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8900 | -464 | -3 | 13,458 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8800 | -1,100 | -8 | 13,922 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8500 | -20 | -0 | 15,022 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8100 | -500 | -3 | 15,042 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.8000 | -600 | -4 | 15,542 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7300 | -600 | -4 | 16,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7200 | -300 | -2 | 16,742 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7100 | -100 | -1 | 17,042 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.7000 | -800 | -5 | 17,142 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.6700 | -200 | -1 | 17,942 | ||||
| 2021-05-20 | 2021-05-19 | 4 | Pacitti David | APEN | Common Stock | D | 6.6400 | -600 | -4 | 18,142 | ||||
| 2021-04-13 | 2021-04-05 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 5.4834 | 303 | 2 | 402,580 | ||||
| 2021-03-12 | 2021-03-10 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 180,140 | |||
| 2021-03-12 | 2021-03-10 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 14,028 | 95,907 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9200 | 2,600 | 15 | 25,970 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9100 | 600 | 4 | 23,370 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.9000 | 3,000 | 18 | 22,770 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8900 | 1,500 | 9 | 19,770 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8700 | 100 | 1 | 18,270 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8500 | 2,100 | 12 | 18,170 | ||||
| 2021-03-12 | 2021-03-10 | 4 | BARR JOHN R | APEN | Common Stock | D | 5.8400 | 100 | 1 | 16,070 | ||||
| 2021-03-12 | 2021-03-10 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 11,876 | 71 | 241,428 | |||
| 2021-03-12 | 2021-03-10 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 10,020 | 77,347 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | McKhann Chas | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 848,733 | 5,050 | 848,733 | |||
| 2021-03-12 | 2021-03-10 | 4 | McKhann Chas | APEN | Common Stock | D | 707,278 | 707,278 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 159,049 | |||
| 2021-03-12 | 2021-03-10 | 4 | Molesphini John J | APEN | Common Stock | D | 14,028 | 75,399 | ||||||
| 2021-03-12 | 2021-03-10 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 5.95 | 5.9500 | 16,627 | 99 | 185,809 | |||
| 2021-03-12 | 2021-03-10 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 14,028 | 102,869 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S | APEN | Common Stock | D | 2,017 | 134,394 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | -6,055 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | 6,055 | 6,055 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | -605,712 | 605,712 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S | APEN | Common Stock | D | 4,444 | 132,377 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | -13,473 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S PTV GP IV, L.P. | APEN | Common Stock | I | 13,473 | 13,473 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | Crawford Matthew S By PTV IV, L.P. | APEN | Common Stock | I | -1,347,565 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By Longchamp Interests LLC | APEN | Common Stock | I | 857,964 | 1,221,464 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV GP III Management, LLC | APEN | Common Stock | I | 857,964 | 1,221,464 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S | APEN | Common Stock | D | -857,964 | 127,933 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | -857,964 | 127,933 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S | APEN | Common Stock | D | 857,964 | 985,897 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | Crawford Matthew S By PTV GP III Management, LLC | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | -6,055 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | 6,055 | 6,055 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | -605,712 | 605,712 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | -13,473 | 0 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P PTV GP IV, L.P. | APEN | Common Stock | I | 13,473 | 13,473 | ||||||
| 2021-03-09 | 2021-02-24 | 4 | PTV SCIENCES II L P By PTV IV, L.P. | APEN | Common Stock | I | -1,347,565 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV Sciences II, L.P. | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV GP III Management, LLC | APEN | Common Stock | I | -857,964 | 0 | ||||||
| 2021-03-09 | 2020-10-30 | 4 | PTV SCIENCES II L P By PTV GP III Management, LLC | APEN | Common Stock | I | 857,964 | 857,964 | ||||||
| 2021-02-24 | 2021-02-23 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.6160 | 4,166 | 19 | 26,446 | ||||
| 2021-02-24 | 2021-02-23 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.6160 | 8,055 | 37 | 402,277 | ||||
| 2021-02-24 | 2021-02-22 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.8029 | 10,103 | 49 | 394,222 | ||||
| 2021-02-22 | 2021-02-18 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.7484 | 1,649 | 8 | 384,119 | ||||
| 2021-02-22 | 2021-02-18 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.7484 | 378 | 2 | 22,280 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 5.1414 | 15,488 | 80 | 116,360 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.7122 | 30,954 | 146 | 382,470 | ||||
| 2021-02-08 | 2021-02-05 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.8365 | 7,101 | 34 | 21,902 | ||||
| 2021-02-05 | 2021-02-04 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.7122 | 9,729 | 46 | 100,872 | ||||
| 2021-02-05 | 2021-02-03 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.4587 | 28,243 | 126 | 91,143 | ||||
| 2021-02-05 | 2021-02-03 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.4931 | 145 | 1 | 14,801 | ||||
| 2021-02-03 | 2021-02-02 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 4.4199 | 10,873 | 48 | 62,900 | ||||
| 2021-02-03 | 2021-02-01 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.2030 | 473 | 2 | 351,516 | ||||
| 2021-01-07 | 2021-01-05 | 4 | Newton Todd | APEN | Common Stock | D | 3,479 | 412,306 | ||||||
| 2021-01-07 | 2021-01-06 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 218 | 81,879 | ||||||
| 2020-12-17 | 2020-12-16 | 4 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 4.1632 | 8,314 | 35 | 351,043 | ||||
| 2020-12-17 | 2020-12-16 | 4 | GAGNON NEIL By self as Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 4.1632 | 2,488 | 10 | 14,656 | ||||
| 2020-12-17 | 2020-10-28 | 4 | GAGNON NEIL By Managing Member as General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 1.6500 | 9,663 | 16 | 1,200,769 | ||||
| 2020-12-17 | 2020-10-28 | 4 | GAGNON NEIL By Managing Member as General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 1.6500 | 693 | 1 | 52,027 | ||||
| 2020-10-13 | 3 | GAGNON NEIL | APEN | Common Stock, $0.001 par value per share | D | 342,729 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Managing Member of General Partner of Gagnon Investment Associates | APEN | Common Stock, $0.001 par value per share | I | 1,191,106 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Managing Member of General Partner of Darwin Partnership | APEN | Common Stock, $0.001 par value per share | I | 51,334 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Limited Partner of the Family Partnership | APEN | Common Stock, $0.001 par value per share | I | 82,405 | ||||||||
| 2020-10-13 | 3 | GAGNON NEIL As Trustee of Gagnon Securities LLC Profit Sharing Plan | APEN | Common Stock, $0.001 par value per share | I | 12,168 | ||||||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 1.2500 | 1,200,000 | 1,500 | 1,707,208 | ||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 1.2500 | 400,000 | 500 | 415,244 | ||||
| 2020-07-21 | 2020-07-17 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 1.2500 | 180,000 | 225 | 477,120 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 1.2500 | 1,200,000 | 1,500 | 1,707,208 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 1.2500 | 400,000 | 500 | 415,244 | ||||
| 2020-07-21 | 2020-07-17 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 1.2500 | 180,000 | 225 | 477,120 | ||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | -245,444 | 0 | ||||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | 245,444 | 245,444 | ||||||
| 2020-06-18 | 2020-05-26 | 4 | PTV SCIENCES II L P By PTV Sciences II, L.P. | APEN | Common Stock | I | -1,341,222 | 857,964 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S | APEN | Common Stock | D | 74,218 | 127,933 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | -245,444 | 0 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By Pinto Technology Ventures GP II, L.P. | APEN | Common Stock | I | 245,444 | 245,444 | ||||||
| 2020-06-17 | 2020-05-26 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | -1,341,222 | 857,964 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 28,156 | 59 | 52,694 | |||
| 2020-05-11 | 2020-05-07 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 10,153 | 17,909 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 27,749 | 58 | 59,439 | |||
| 2020-05-11 | 2020-05-07 | 4 | Pacitti David | APEN | Common Stock | D | 10,006 | 18,742 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 29,317 | 61 | 45,853 | |||
| 2020-05-11 | 2020-05-07 | 4 | BARR JOHN R | APEN | Common Stock | D | 10,571 | 15,970 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 2.08 | 2.0800 | 28,446 | 59 | 61,111 | |||
| 2020-05-11 | 2020-05-07 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 10,257 | 21,137 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 62,718 | 130 | 163,513 | |||
| 2020-05-11 | 2020-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 42,000 | 81,661 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 115,094 | 239 | 511,604 | |||
| 2020-05-11 | 2020-05-07 | 4 | Newton Todd | APEN | Common Stock | D | 77,075 | 408,827 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 61,949 | 129 | 142,422 | |||
| 2020-05-11 | 2020-05-07 | 4 | Molesphini John J | APEN | Common Stock | D | 41,485 | 61,371 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 2.08 | 59,728 | 169,182 | |||||
| 2020-05-11 | 2020-05-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 39,997 | 88,841 | ||||||
| 2020-05-11 | 2020-05-07 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 2.08 | 2.0800 | 51,610 | 107 | 229,552 | |||
| 2020-05-11 | 2020-05-07 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 34,561 | 67,327 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Traweek James W JR By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | CPMG Inc By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Class A common stock | I | 38,108 | 507,208 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | Class A common stock | I | 15,244 | 15,244 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Class A common stock | I | 3,811 | 297,120 | ||||||
| 2020-01-06 | 2020-01-03 | 4 | Newton Todd | APEN | Common Stock | D | 3,296 | 331,752 | ||||||
| 2020-01-06 | 2020-01-02 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 206 | 39,661 | ||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | CPMG Inc By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Roadrunner Fund, LP | APEN | Common Stock | I | 1,741,449 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Crested Crane, LP | APEN | Common Stock | I | 1,317,943 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Curlew Fund, LP | APEN | Common Stock | I | 1,565,658 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Kestrel Fund, LP | APEN | Common Stock | I | 1,336,020 | ||||||||
| 2019-08-22 | 3 | Traweek James W JR By Mallard Fund, LP | APEN | Common Stock | I | 1,673,024 | ||||||||
| 2019-08-20 | 2019-08-16 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 32,665 | |||
| 2019-08-20 | 2019-08-16 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 5,399 | 10,880 | ||||||
| 2019-08-20 | 2019-08-16 | 4 | Pacitti David | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 0 | 0 | 31,690 | |||
| 2019-08-20 | 2019-08-16 | 4 | Pacitti David | APEN | Common Stock | D | 3.2700 | 5,399 | 18 | 8,736 | ||||
| 2019-08-20 | 2019-08-16 | 4 | BARR JOHN R | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 16,536 | |||
| 2019-08-20 | 2019-08-16 | 4 | BARR JOHN R | APEN | Common Stock | D | 5,399 | 5,399 | ||||||
| 2019-08-20 | 2019-08-16 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 3.27 | 3.2700 | 16,536 | 54 | 24,538 | |||
| 2019-08-20 | 2019-08-16 | 4 | Shimer Julie Ann | APEN | Common Stock | D | 5,399 | 7,756 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 4,625,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Killdeer Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 1,850,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | 6.0% Convertible Debentures due 2024 | I | 3.25 | 462,500.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | Newton Todd | APEN | 6.0% Convertible Debentures due 2024 | D | 3.25 | 400,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | Cavanaugh Stefanie L. | APEN | 6.0% Convertible Debentures due 2024 | D | 3.25 | 25,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | 6.0% Convertible Debenture due 2024 | D | 3.25 | 2,775,000.0000 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | Warrant | D | 1 | 1 | ||||||
| 2019-08-14 | 2019-08-12 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | -1,000,000 | 1,580,518 | ||||||
| 2019-05-14 | 2019-05-14 | 4 | Newton Todd | APEN | Common Sock | D | 3.5418 | 3,600 | 13 | 321,268 | ||||
| 2019-05-14 | 2019-05-10 | 4 | Newton Todd | APEN | Common Sock | D | 3.5340 | 25,000 | 88 | 317,668 | ||||
| 2019-05-10 | 2019-05-07 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 48,673 | 170 | 396,510 | |||
| 2019-05-10 | 2019-05-07 | 4 | Newton Todd | APEN | Common Sock | D | 31,250 | 292,668 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 25,442 | 89 | 177,942 | |||
| 2019-05-10 | 2019-05-07 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 16,335 | 32,766 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 100,795 | |||
| 2019-05-10 | 2019-05-07 | 4 | Cavanaugh Stefanie L. | APEN | Common Sock | D | 19,886 | 39,455 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Schwartzhoff Bret | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 109,454 | |||
| 2019-05-10 | 2019-05-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 19,886 | 48,844 | ||||||
| 2019-05-10 | 2019-05-07 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 3.49 | 3.4900 | 30,973 | 108 | 80,473 | |||
| 2019-05-10 | 2019-05-07 | 4 | Molesphini John J | APEN | Common Sock | D | 19,886 | 19,886 | ||||||
| 2019-02-14 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5,161,036 | ||||||||
| 2019-02-14 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5,161,036 | ||||||||
| 2018-12-31 | 2018-12-27 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.0000 | -250,000 | -750 | 2,185,426 | ||||
| 2018-12-28 | 2018-12-26 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.0000 | -500,000 | -1,500 | 2,435,426 | ||||
| 2018-11-21 | 2018-11-21 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.6050 | 3,230 | 12 | 2,935,426 | ||||
| 2018-11-21 | 2018-11-19 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 3.4000 | 54,200 | 184 | 2,932,196 | ||||
| 2018-11-06 | 2018-11-02 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.0000 | 300,000 | 1,500 | 2,877,996 | ||||
| 2018-08-15 | 2018-08-13 | 4 | Shimer Julie Ann | APEN | Non-Qualified Stock Option (right to buy) | D | 7.75 | 7.7500 | 8,002 | 62 | 8,002 | |||
| 2018-08-15 | 2018-08-13 | 4 | Shimer Julie Ann | APEN | Common Sock | D | 2,357 | 2,357 | ||||||
| 2018-08-15 | 2018-08-13 | 4 | Molesphini John J | APEN | Stock Option (Right to Buy) | D | 7.75 | 7.7500 | 49,500 | 384 | 49,500 | |||
| 2018-06-22 | 2018-06-20 | 4 | Newton Todd | APEN | Common Sock | D | 5.5000 | 72,727 | 400 | 268,606 | ||||
| 2018-06-22 | 2018-06-20 | 4 | Cavanaugh Stefanie L. | APEN | Common Sock | D | 5.5000 | 4,545 | 25 | 19,569 | ||||
| 2018-06-22 | 2018-06-20 | 4 | Crawford Matthew S Longchamp Interests LLC | APEN | Common Sock | I | 5.5000 | 363,500 | 1,999 | 417,215 | ||||
| 2018-03-13 | 2018-03-09 | 4 | Crawford Matthew S | APEN | Common Stock | D | 6.2000 | 4,038 | 25 | 53,715 | ||||
| 2018-03-02 | 2018-02-28 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 14,050 | 92 | 14,050 | |||
| 2018-03-02 | 2018-02-28 | 4 | Gostout Christopher J. | APEN | Common Stock | D | 2,537 | 7,348 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | Cavanaugh Stefanie L. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 32,438 | 213 | 32,438 | |||
| 2018-03-02 | 2018-02-28 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 5,858 | 15,024 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | MEELIA RICHARD J | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 21,488 | 141 | 21,488 | |||
| 2018-03-02 | 2018-02-28 | 4 | MEELIA RICHARD J | APEN | Common Stock | D | 6,269 | 11,367 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | Newton Todd | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 86,250 | 568 | 86,250 | |||
| 2018-03-02 | 2018-02-28 | 4 | Newton Todd | APEN | Common Stock | D | 28,750 | 195,879 | ||||||
| 2018-03-02 | 2018-02-28 | 4 | McClellan William D. Jr. | APEN | Stock Option (Right to Buy) | D | 6.58 | 6.5800 | 9,848 | 65 | 9,848 | |||
| 2018-03-02 | 2018-02-28 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 2,873 | 5,481 | ||||||
| 2018-01-03 | 2018-01-03 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.7826 | 6,339 | 37 | 2,577,996 | ||||
| 2018-01-03 | 2018-01-02 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.7269 | 11,343 | 65 | 2,571,657 | ||||
| 2018-01-03 | 2017-12-29 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.5621 | 5,163 | 29 | 2,560,314 | ||||
| 2017-12-28 | 2017-12-26 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 5.0000 | 5,287 | 26 | 2,555,151 | ||||
| 2017-12-22 | 2017-12-22 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.9968 | 41,399 | 207 | 2,549,864 | ||||
| 2017-12-22 | 2017-12-21 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.9423 | 98,324 | 486 | 2,508,465 | ||||
| 2017-12-22 | 2017-12-20 | 4 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4.4969 | 45,434 | 204 | 2,410,141 | ||||
| 2017-12-13 | 2017-12-12 | 4 | Pacitti David | APEN | Stock Option (Right to Buy) | D | 3.98 | 15,154 | 15,154 | |||||
| 2017-12-13 | 2017-12-12 | 4 | Pacitti David | APEN | Common Sock | D | 3,337 | 3,337 | ||||||
| 2017-12-11 | 2017-12-07 | 4 | Schwartzhoff Bret | APEN | Incentive Stock Option (right to buy) | D | 4.37 | 39,981 | 78,481 | |||||
| 2017-12-11 | 2017-12-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 13,327 | 28,958 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S | APEN | Common Stock | D | 4,223 | 49,677 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D | APEN | Common Stock | D | 4,223 | 49,677 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV GP Evergreen, L.P. | APEN | Common Stock | I | -12,669 | 0 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV GP Evergreen, L.P. | APEN | Common Stock | I | 12,669 | 12,669 | ||||||
| 2017-11-30 | 2017-11-15 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | -1,266,909 | 0 | ||||||
| 2017-11-09 | 2017-11-07 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 4.2400 | 9,500 | 40 | 15,631 | ||||
| 2017-09-25 | 2017-09-12 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | PTV SCIENCES II L P By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-25 | 2017-09-12 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | Anderson Rick D By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-25 | 2017-09-12 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 3.8500 | 135,000 | 520 | 1,266,909 | ||||
| 2017-09-25 | 2017-09-05 | 4 | Crawford Matthew S By PTV Evergreen Fund, L.P. | APEN | Common Stock | I | 4.0400 | 41,000 | 166 | 1,131,909 | ||||
| 2017-09-19 | 2017-09-15 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 0 | |||||
| 2017-09-19 | 2017-09-15 | 4 | McWilliams Dennis L. | APEN | Common Stock | D | 1.7600 | 28,757 | 51 | 62,404 | ||||
| 2017-08-18 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4,729,414 | ||||||||
| 2017-08-18 | 3 | STONEPINE CAPITAL, L.P. | APEN | Common Stock | D | 4,729,414 | ||||||||
| 2017-07-26 | 2017-07-25 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 5.5000 | 1,090,909 | 6,000 | 5,243,372 | ||||
| 2017-07-26 | 2017-07-26 | 4 | Novo A/S | APEN | Common Stock | D | 6.8411 | -8,426 | -58 | 1,301,842 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Novo A/S | APEN | Common Stock | D | 6.9615 | -24,504 | -171 | 1,310,268 | ||||
| 2017-07-26 | 2017-07-24 | 4 | Novo A/S | APEN | Common Stock | D | 6.8336 | -17,200 | -118 | 1,334,772 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Crawford Matthew S By PTV Evergreen Fund, LP. | APEN | Common Stock | I | 5.5000 | 1,090,909 | 6,000 | 1,090,909 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Crawford Matthew S | APEN | Common Stock | D | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Anderson Rick D By PTV Evergreen Fund, LP | APEN | Common Stock | I | 5.5000 | 1,090,909 | 6,000 | 1,090,909 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Anderson Rick D | APEN | Common Stock | D | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | MEELIA RICHARD J By The Richard J. Meelia 1997 Revocable Trust | APEN | Common Stock | I | 5.5000 | 45,454 | 250 | 45,454 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | 5.5000 | 273,770 | 1,506 | 469,100 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | 5.5000 | 78,965 | 434 | 400,675 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | 5.5000 | 12,548 | 69 | 63,671 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | 5.5000 | 80,276 | 442 | 293,309 | ||||
| 2017-07-26 | 2017-07-25 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | 5.5000 | 8,986 | 49 | 45,594 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 5.5000 | 4,545 | 25 | 9,166 | ||||
| 2017-07-26 | 2017-07-25 | 4 | Newton Todd | APEN | Common Stock | D | 5.5000 | 136,363 | 750 | 167,129 | ||||
| 2017-05-30 | 2017-05-17 | 4/A | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.3500 | 1,700 | 11 | 2,000 | ||||
| 2017-05-30 | 2017-05-16 | 4/A | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1900 | 300 | 2 | 300 | ||||
| 2017-05-30 | 2017-05-25 | 4 | Schwartzhoff Bret | APEN | Incentive Stock Option (right to buy) | D | 6.50 | 6.5000 | 15,495 | 101 | 15,495 | |||
| 2017-05-30 | 2017-05-25 | 4 | Schwartzhoff Bret | APEN | Common Stock | D | 6,131 | 6,131 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | Tribie Charles | APEN | Common Stock | D | 894 | 894 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 6.50 | 6.5000 | 9,468 | 62 | 9,468 | |||
| 2017-05-30 | 2017-05-25 | 4 | MEELIA RICHARD J | APEN | Common Stock | D | 5,098 | 5,098 | ||||||
| 2017-05-30 | 2016-12-29 | 4 | MEELIA RICHARD J by Corporation | APEN | Common Stock | I | 1.3600 | 17,501 | 24 | 17,501 | ||||
| 2017-05-30 | 2014-07-08 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 3.36 | 3.3600 | 5,751 | 19 | 5,751 | |||
| 2017-05-30 | 2012-07-30 | 4 | MEELIA RICHARD J | APEN | Non-Qualified Stock Option (right to buy) | D | 2.09 | 2.0900 | 9,202 | 19 | 9,202 | |||
| 2017-05-30 | 2017-05-25 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 1,757 | 4,621 | ||||||
| 2017-05-30 | 2017-05-25 | 4 | McClellan William D. Jr. | APEN | Non-Qualified Stock Option (right to buy) | D | 6.50 | 6.5000 | 4,844 | 31 | 4,844 | |||
| 2017-05-30 | 2017-05-25 | 4 | McClellan William D. Jr. | APEN | Common Stock | D | 2,608 | 2,608 | ||||||
| 2017-05-18 | 2017-05-17 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.4200 | 1,200 | 8 | 2,000 | ||||
| 2017-05-18 | 2017-05-17 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1800 | 500 | 3 | 800 | ||||
| 2017-05-18 | 2017-05-16 | 4 | McClellan William D. Jr. William D McClellan & Jan McClellan CO-TTEE McClellan Living Trust U/A | APEN | Common Stock | I | 6.1900 | 300 | 2 | 300 | ||||
| 2017-05-18 | 2017-05-18 | 4 | Newton Todd | APEN | Common Stock | D | 6.3500 | 822 | 5 | 30,766 | ||||
| 2017-05-18 | 2017-05-17 | 4 | Newton Todd | APEN | Common Stock | D | 6.1900 | 400 | 2 | 29,944 | ||||
| 2017-05-18 | 2017-05-16 | 4 | Newton Todd | APEN | Common Stock | D | 6.1200 | 899 | 6 | 29,544 | ||||
| 2017-05-11 | 2017-05-11 | 4 | Novo A/S | APEN | Common Stock | D | 5.6241 | -103,500 | -582 | 1,351,972 | ||||
| 2017-05-11 | 2017-05-10 | 4 | Novo A/S | APEN | Common Stock | D | 5.7390 | -1,500 | -9 | 1,455,472 | ||||
| 2017-02-17 | 2017-02-16 | 4 | Gostout Christopher J. | APEN | Stock Option (Right to Buy) | D | 11.76 | 135,000 | 135,000 | |||||
| 2017-01-26 | 3 | Gostout Christopher J. | APEN | Common Stock | D | 9,622 | ||||||||
| 2017-01-26 | 3 | Gostout Christopher J. | APEN | Common Stock | D | 9,622 | ||||||||
| 2017-01-04 | 3 | Novo A/S | APEN | Common Stock | D | 2,913,944 | ||||||||
| 2017-01-04 | 3 | Novo A/S | APEN | Common Stock | D | 2,913,944 | ||||||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J | APEN | Stock Options | D | 3.36 | 5,751 | 5,751 | |||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J | APEN | Stock Options | D | 2.09 | 9,202 | 9,202 | |||||
| 2016-12-30 | 2016-12-29 | 4 | MEELIA RICHARD J By Meelia Ventures, LLC | APEN | Common Stock | I | 17,501 | 17,501 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Robertson Bruce C By H.I.G. Ventures - Endosurgery, LLC | APEN | Common Stock | I | 1,451,185 | 1,451,185 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV Sciences II, L.P. | APEN | Common Stock | I | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Crawford Matthew S By PTV IV, L.P. | APEN | Common Stock | I | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Roadrunner Fund, LP | APEN | Common Stock | I | 195,330 | 195,330 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Mallard Fund, LP | APEN | Common Stock | I | 321,710 | 321,710 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Kestrel Fund, LP | APEN | Common Stock | I | 51,123 | 51,123 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Curlew Fund, LP | APEN | Common Stock | I | 213,033 | 213,033 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McGaughy R Kent Jr By Crested Crane, LP | APEN | Common Stock | I | 36,608 | 36,608 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV Special Opportunities I, L.P. | APEN | Common Stock | I | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV Sciences II, L.P. | APEN | Common Stock | I | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Anderson Rick D By PTV IV, L.P. | APEN | Common Stock | I | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 605,712 | 605,712 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 2,199,186 | 2,199,186 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | PTV SCIENCES II L P | APEN | Common Stock | D | 1,347,565 | 1,347,565 | ||||||
| 2016-12-30 | 2019-12-29 | 4 | Remeditex Ventures LLC | APEN | Common Stock | D | 1,309,392 | 1,309,392 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | Creecy John W By Remeditex Ventures, LLC | APEN | Common Stock | I | 1,309,392 | 1,309,392 | ||||||
| 2016-12-30 | 2019-12-29 | 4 | H.I.G. Ventures - Endosurgery, LLC | APEN | Common Stock | D | 1,451,185 | 1,451,185 | ||||||
| 2016-12-30 | 2016-12-29 | 4 | McClellan William D. Jr. | APEN | Stock Options | D | 3.36 | 1,437 | 1,437 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Stock Options | D | 3.36 | 112,109 | 112,109 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Stock Options | D | 3.36 | 261,587 | 261,587 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Newton Todd | APEN | Common Stock | D | 28,645 | 28,645 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Stock Options | D | 3.36 | 37,384 | 37,384 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Cavanaugh Stefanie L. | APEN | Common Stock | D | 2,864 | 2,864 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 1.76 | 8,627 | 8,627 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Tribie Charles | APEN | Stock Options | D | 3.36 | 56,018 | 56,018 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 28,757 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 1.76 | 28,757 | 28,757 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 3.36 | 27,404 | 27,404 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 3.36 | 54,808 | 54,808 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Stock Options | D | 2.09 | 109,851 | 109,851 | |||||
| 2016-12-29 | 2016-12-29 | 4 | McWilliams Dennis L. | APEN | Common Stock | D | 33,647 | 33,647 | ||||||
| 2016-12-29 | 2016-12-29 | 4 | Schwartzhoff Bret | APEN | Stock Options | D | 1.76 | 11,502 | 11,502 | |||||
| 2016-12-29 | 2016-12-29 | 4 | Schwartzhoff Bret | APEN | Stock Options | D | 3.36 | 23,005 | 23,005 | |||||
| 2016-03-16 | 2016-03-09 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 3,485 | 19,916 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -4,646 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Petree Daniel H | LPTN | Common Stock | D | 4,646 | 11,155 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Swortwood Donald | LPTN | Common Stock | D | 3,485 | 9,200 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | -9,500 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 0.1900 | -3,325 | -1 | 32,116 | ||||
| 2016-03-16 | 2016-03-09 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 9,500 | 35,441 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | -3,485 | 0 | ||||||
| 2016-03-16 | 2016-03-09 | 4 | Ferrell Jeffrey | LPTN | Common Stock | D | 3,485 | 12,486 | ||||||
| 2016-02-18 | 2016-02-16 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | MATHEWS CHARLES | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 0.16 | 25,000 | 25,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2016-02-18 | 2016-02-16 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 0.16 | 100,000 | 100,000 | |||||
| 2015-09-10 | 2015-09-09 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -794 | 0 | ||||||
| 2015-09-10 | 2015-09-09 | 4 | Petree Daniel H | LPTN | Common Stock | D | 794 | 6,509 | ||||||
| 2015-06-18 | 2015-06-16 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-06-18 | 2015-06-16 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-06-18 | 2015-06-16 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 0.28 | 150,000 | 150,000 | |||||
| 2015-04-23 | 2015-04-22 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 5,715 | 16,431 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Petree Daniel H | LPTN | Common Stock | D | 5,715 | 5,715 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Swortwood Donald | LPTN | Common Stock | D | 5,715 | 5,715 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | -5,715 | 0 | ||||||
| 2015-04-23 | 2015-04-22 | 4 | Ferrell Jeffrey | LPTN | Common Stock | D | 5,715 | 9,001 | ||||||
| 2015-02-12 | 2015-02-10 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 2.86 | 25,000 | 25,000 | |||||
| 2015-02-12 | 2015-02-10 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | 16,667 | 0 | ||||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | -7,143 | 0 | ||||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 2.8700 | -2,500 | -7 | 25,941 | ||||
| 2015-02-11 | 2015-02-10 | 4 | Atkinson Gary J G | LPTN | Common Stock | D | 7,143 | 28,441 | ||||||
| 2015-02-11 | 2015-02-09 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2015-02-11 | 2015-02-09 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2015-02-11 | 2015-02-09 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 2.86 | 50,000 | 50,000 | |||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.7700 | 2,955 | 8 | 13,286 | ||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.7800 | 500 | 1 | 10,331 | ||||
| 2014-12-12 | 2014-12-12 | 4 | Petree Daniel H By Trust | LPTN | Common Stock | I | 2.8000 | 6,545 | 18 | 9,831 | ||||
| 2014-11-04 | 2014-11-03 | 4 | Lack Michael | LPTN | Restricted Stock Units | D | 15,000 | 15,000 | ||||||
| 2014-10-02 | 3 | HBM Healthcare Investments (Cayman) Ltd. | LPTN | Common Stock | D | 5,561,672 | ||||||||
| 2014-10-02 | 3 | HBM Healthcare Investments (Cayman) Ltd. | LPTN | Common Stock | D | 5,561,672 | ||||||||
| 2014-08-21 | 2014-08-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 3.1000 | 5,000 | 16 | 21,298 | ||||
| 2014-08-19 | 2014-08-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.0000 | 10,000 | 30 | 116,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2500 | 2,800 | 9 | 106,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.1700 | 2,200 | 7 | 103,635 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2200 | 3,000 | 10 | 101,435 | ||||
| 2014-08-18 | 2014-08-18 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 3.2500 | 2,000 | 6 | 98,435 | ||||
| 2014-08-18 | 2014-02-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 4.6600 | -6,000 | -28 | 96,435 | ||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | -2,858 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | MATHEWS CHARLES | LPTN | Class A Common Stock | D | 2,858 | 10,716 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | KISNER DANIEL L | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Stock Option (Right to Buy) | D | 4.45 | 135,000 | 135,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | -21,429 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 4.4500 | -7,500 | -33 | 102,435 | ||||
| 2014-02-12 | 2014-02-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 21,429 | 109,935 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H | LPTN | Restricted Stock Unit | D | -3,286 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Petree Daniel H By Trust | LPTN | Class A Common Stock | I | 3,286 | 3,286 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald | LPTN | Restricted Stock Unit | D | -2,858 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Swortwood Donald By Trust | LPTN | Class A Common Stock | I | 2,858 | 761,170 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Stock Option (Right to Buy) | D | 4.45 | 75,000 | 75,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | -5,429 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 4.4500 | -1,900 | -8 | 16,298 | ||||
| 2014-02-12 | 2014-02-10 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5,429 | 18,198 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Stock Option (Right to Buy) | D | 4.45 | 15,000 | 15,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Unit | D | -3,286 | 0 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Ferrell Jeffrey | LPTN | Class A Common Stock | D | 3,286 | 3,286 | ||||||
| 2014-02-12 | 2014-02-10 | 4 | Paggiarino Dario A. | LPTN | Stock Option (Right to Buy) | D | 4.45 | 45,000 | 45,000 | |||||
| 2014-02-12 | 2014-02-10 | 4 | Woodnutt Gary | LPTN | Stock Option (Right to Buy) | D | 4.45 | 45,000 | 45,000 | |||||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Employee Stock Option (right to buy) | D | 0.35 | 0.3500 | -10,715 | -4 | 0 | |||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Employee Stock Option (right to buy) | D | 0.56 | 0.5600 | -15,715 | -9 | 70,000 | |||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 0.3500 | 10,715 | 4 | 88,506 | ||||
| 2013-10-11 | 2013-10-09 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 0.5600 | 15,715 | 9 | 77,791 | ||||
| 2013-10-11 | 2013-05-23 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | -5,000 | 62,076 | ||||||
| 2013-06-27 | 2013-06-19 | 4 | Paggiarino Dario A. | LPTN | Restricted Stock Units | D | 100,000 | 100,000 | ||||||
| 2013-06-27 | 2013-06-19 | 4 | Woodnutt Gary | LPTN | Restricted Stock Units | D | 100,000 | 100,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | KISNER DANIEL L | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Units | D | 30,000 | 30,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | 8,016 | 8,016 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | 25,000 | 25,000 | ||||||
| 2013-01-31 | 2013-01-29 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | 6,012 | 6,012 | ||||||
| 2012-12-20 | 2012-12-19 | 4 | MATHEWS CHARLES | LPTN | Common Stock | D | 4.9800 | 5,000 | 25 | 7,858 | ||||
| 2012-12-19 | 2012-12-18 | 4 | PANCOAST SCOTT R | LPTN | Common Stock | D | 4.9500 | 5,000 | 25 | 67,076 | ||||
| 2012-11-21 | 2012-11-20 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Unit | D | 0.00 | -2,858 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | MATHEWS CHARLES | LPTN | Class A Common Stock | D | 2,858 | 2,858 | ||||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | 0.00 | -58,929 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 5.9900 | -27,775 | -166 | 62,076 | ||||
| 2012-11-21 | 2012-11-20 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 58,929 | 89,851 | ||||||
| 2012-11-21 | 2012-11-19 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Unit | D | 0.00 | -20,429 | 0 | |||||
| 2012-11-21 | 2012-11-19 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | 20,429 | 30,922 | ||||||
| 2012-11-21 | 2012-01-10 | 4 | PANCOAST SCOTT R | LPTN | Class A Common Stock | D | -957 | 10,493 | ||||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | 0.00 | -14,286 | 0 | |||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5.9900 | -6,875 | -41 | 12,769 | ||||
| 2012-11-21 | 2012-11-20 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 14,286 | 19,644 | ||||||
| 2012-11-21 | 2012-11-19 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Unit | D | 0.00 | -5,358 | 0 | |||||
| 2012-11-21 | 2012-11-19 | 4 | Atkinson Gary J G | LPTN | Class A Common Stock | D | 5,358 | 5,358 | ||||||
| 2012-10-29 | 2012-10-25 | 4 | Swortwood Donald By Trust | LPTN | Warrant | I | 1.12 | -32,355 | 0 | |||||
| 2012-10-29 | 2012-10-25 | 4 | Swortwood Donald By Trust | LPTN | Class A Common Stock | I | 1.1200 | 32,355 | 36 | 683,957 | ||||
| 2012-08-01 | 2012-07-30 | 4 | KISNER DANIEL L | LPTN | Common Stock | D | 70,590 | 70,590 | ||||||
| 2012-03-27 | 2012-03-14 | 4 | MATHEWS CHARLES | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | PANCOAST SCOTT R | LPTN | Restricted Stock Units | D | 0.00 | 100,000 | 100,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Petree Daniel H | LPTN | Restricted Stock Units | D | 0.00 | 53,333 | 53,333 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Swortwood Donald | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Atkinson Gary J G | LPTN | Restricted Stock Units | D | 0.00 | 75,000 | 75,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Sabbadini Roger Allen | LPTN | Restricted Stock Units | D | 0.00 | 50,000 | 50,000 | |||||
| 2012-03-27 | 2012-03-14 | 4 | Ferrell Jeffrey | LPTN | Restricted Stock Units | D | 0.00 | 40,000 | 40,000 | |||||
| 2012-01-31 | 2011-11-29 | 5 | PANCOAST SCOTT R | LPTN | Common Stock | D | -6,450 | 80,150 | ||||||
| 2012-01-31 | 2011-01-20 | 5 | PANCOAST SCOTT R | LPTN | Common Stock | D | -23,600 | 80,150 | ||||||
| 2008-08-15 | 2008-08-13 | 4 | LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST By LB I Group Inc. | LPTN | Warrants (right to buy Common Stock) | I | 1.25 | 921,053 | 921,053 | |||||
| 2008-08-15 | 2008-08-13 | 4 | LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST By LB I Group Inc. | LPTN | Common Stock | I | 0.9500 | 3,684,211 | 3,500 | 12,105,311 | ||||
| 2006-03-07 | 2006-03-04 | 4 | MATHEWS CHARLES | LPTN | Stock Option | D | 1.25 | 1.2500 | 50,000 | 62 | 50,000 | |||
| 2006-03-07 | 2006-03-04 | 4 | LYON JOHN R | LPTN | Stock Option | D | 1.25 | 1.2500 | 50,000 | 62 | 50,000 |
P
非デリバティブまたはデリバティブ証券の公開市場または非公開購入
S
非デリバティブ証券またはデリバティブ証券の公開市場または非公開売却
A
会社からの有価証券の交付、授与その他の取得 (オプション等)
C
デリバティブの転換
D
有価証券の会社への売却または譲渡
F
会社から受領した有価証券の一部を使用した、行使価格または納税義務のお支払い
G
内部者によるまたは内部者に対する有価証券の贈与
K
株式スワップと類似のヘッジ取引
M
会社から受け取ったデリバティブ証券 (オプションなど) の行使または転換
V
フォーム4により任意に報告した取引
J
その他 (取引を説明する脚注を含む)
