OCX Insider Transactions
| Transaction Date (SEC Report ) |
Reporting Name | Relationship | Shrs. Owned | Type | Acq./Disp. | Shrs. Transacted | Price() | Amount() |
|---|---|---|---|---|---|---|---|---|
| 2023-03-06 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 4,589,571 | J-Other | D | 3,890,111 | 0.00 | 0.00 |
| 2023-02-24 | John Anish M. | officer: Chief Financial Officer | 121,381 | A-Award | A | 121,381 | 0.39 | 47,338.59 |
| 2023-02-24 | Riggs Josh | officer: CEO | 116,426 | A-Award | A | 116,426 | 0.39 | 45,406.14 |
| 2023-01-17 | Riggs Josh | officer: Interim CEO | 257,485 | A-Award | A | 257,485 | 0.46 | 119,189.81 |
| 2023-01-17 | John Anish M. | officer: Chief Financial Officer | 250,466 | A-Award | A | 250,466 | 0.46 | 115,940.71 |
| 2023-01-17 | Liu James Yang | officer: Controller, PAO | 57,065 | A-Award | A | 57,065 | 0.46 | 26,415.39 |
| 2022-12-23 | Gutfreund John Peter | director | 75,000 | P-Purchase | A | 75,000 | 0.33 | 24,727.50 |
| 2022-12-23 | Arno Andrew | director | 532,049 | P-Purchase | A | 250,000 | 0.35 | 87,875.00 |
| 2022-12-22 | KINGSLEY ALFRED D | director | 439,111 | P-Purchase | A | 25,000 | 0.29 | 7,125.00 |
| 2022-12-21 | Ross Douglas T. | officer: Former CSO | 234,114 | A-Award | A | 213,797 | 0.00 | 0.00 |
| 2022-12-16 | Paulsen Gisela | officer: Former President and COO | 0 | D-Return | D | 125,000 | 1.15 | 143,750.00 |
| 2022-12-16 | Paulsen Gisela | officer: Former President and COO | 54,687 | D-Return | D | 70,313 | 1.15 | 80,859.95 |
| 2022-12-16 | Paulsen Gisela | officer: Former President and COO | 203,125 | D-Return | D | 171,875 | 3.42 | 587,812.50 |
| 2022-12-16 | Ross Douglas T. | officer: Former CSO. | 0 | D-Return | D | 100,000 | 1.15 | 115,000.00 |
| 2022-12-16 | Ross Douglas T. | officer: Former CSO. | 111,562 | D-Return | D | 143,438 | 5.34 | 765,958.92 |
| 2022-12-16 | Ross Douglas T. | officer: Former CSO. | 166,666 | D-Return | D | 83,334 | 1.93 | 160,834.62 |
| 2022-12-07 | ANDREWS RONALD ASBURY | director, officer: Former CEO | 50,000 | A-Award | A | 50,000 | 0.46 | 23,220.00 |
| 2022-12-01 | Paulsen Gisela | officer: Former President and COO | 366,500 | D-Return | D | 175,000 | 0.00 | 0.00 |
| 2022-12-01 | Ross Douglas T. | officer: Former CSO. | 20,317 | D-Return | D | 150,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | director, officer: Former CEO | 0 | M-Exempt | A | 250,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | director, officer: Former CEO | 250,000 | D-Return | A | 250,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | director, officer: Former CEO | 0 | D-Return | A | 35,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | director, officer: Former CEO | 281,250 | D-Return | A | 93,750 | 1.15 | 107,812.50 |
| 2022-12-01 | ANDREWS RONALD ASBURY | director, officer: Former CEO | 0 | D-Return | A | 35,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | director, officer: Former CEO | 583,212 | M-Exempt | A | 250,000 | 0.00 | 0.00 |
| 2022-08-17 | Arno Andrew | director | 15,000 | P-Purchase | A | 7,500 | 0.90 | 6,750.00 |
| 2022-08-17 | Last Andrew J. | director | 70,170 | P-Purchase | A | 20,000 | 0.87 | 17,400.00 |
| 2022-08-16 | ANDREWS RONALD ASBURY | director, officer: President & CEO | 333,212 | P-Purchase | A | 40,000 | 0.96 | 38,400.00 |
| 2022-08-16 | GRIFFITH MELINDA | director | 45,000 | A-Award | A | 45,000 | 0.97 | 43,650.00 |
| 2022-08-16 | GRIFFITH MELINDA | director | 30,000 | P-Purchase | A | 10,000 | 1.00 | 10,000.00 |
| 2022-08-16 | Arno Andrew | director | 45,000 | A-Award | A | 45,000 | 0.97 | 43,650.00 |
| 2022-08-16 | Arno Andrew | director | 282,049 | P-Purchase | A | 115,523 | 0.97 | 112,057.31 |
| 2022-08-16 | Carter Jennifer L. | director | 45,000 | A-Award | A | 45,000 | 0.97 | 43,650.00 |
| 2022-08-16 | Carter Jennifer L. | director | 30,500 | P-Purchase | A | 10,500 | 0.95 | 9,975.00 |
| 2022-08-15 | Ross Douglas T. | officer: Chief Scientific Officer | 170,317 | A-Award | A | 150,000 | 0.00 | 0.00 |
| 2022-08-15 | KINGSLEY ALFRED D | director | 45,000 | A-Award | A | 45,000 | 0.97 | 43,650.00 |
| 2022-08-15 | KINGSLEY ALFRED D | director | 414,111 | P-Purchase | A | 5,000 | 0.97 | 4,850.00 |
| 2022-08-15 | KINGSLEY ALFRED D | director | 409,111 | P-Purchase | A | 5,000 | 0.97 | 4,850.00 |
| 2022-08-15 | KINGSLEY ALFRED D | director | 404,111 | A-Award | A | 10,000 | 0.00 | 0.00 |
| 2022-08-15 | Last Andrew J. | director | 45,000 | A-Award | A | 45,000 | 0.97 | 43,650.00 |
| 2022-08-15 | Last Andrew J. | director | 50,170 | A-Award | A | 10,000 | 0.00 | 0.00 |
| 2022-08-15 | Paulsen Gisela | officer: President & COO | 541,500 | A-Award | A | 350,000 | 0.00 | 0.00 |
| 2022-08-15 | Paulsen Gisela | officer: President & COO | 191,500 | A-Award | A | 175,000 | 0.00 | 0.00 |
| 2022-08-15 | Gutfreund John Peter | director | 45,000 | A-Award | A | 45,000 | 0.97 | 43,650.00 |
| 2022-08-15 | Gutfreund John Peter | director | 25,000 | P-Purchase | A | 25,000 | 0.93 | 23,250.00 |
| 2022-08-15 | Gutfreund John Peter | director | 10,000 | A-Award | A | 10,000 | 0.00 | 0.00 |
| 2022-08-15 | John Anish M. | officer: Chief Financial Officer | 100,000 | A-Award | A | 100,000 | 0.97 | 97,000.00 |
| 2022-08-15 | John Anish M. | officer: Chief Financial Officer | 150,000 | A-Award | A | 150,000 | 0.00 | 0.00 |
| 2022-08-15 | GRIFFITH MELINDA | director | 20,000 | A-Award | A | 10,000 | 0.00 | 0.00 |
| 2022-08-15 | Arno Andrew | director | 166,526 | P-Purchase | A | 34,477 | 0.93 | 32,063.61 |
| 2022-08-15 | Arno Andrew | director | 132,049 | A-Award | A | 10,000 | 0.00 | 0.00 |
| 2022-08-15 | Carter Jennifer L. | director | 20,000 | A-Award | A | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | Arno Andrew | director | 0 | M-Exempt | D | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | Arno Andrew | director | 122,049 | M-Exempt | A | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | GRIFFITH MELINDA | director | 0 | M-Exempt | D | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | GRIFFITH MELINDA | director | 10,000 | M-Exempt | A | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | KINGSLEY ALFRED D | director | 0 | M-Exempt | D | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | KINGSLEY ALFRED D | director | 394,111 | M-Exempt | A | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | Carter Jennifer L. | director | 0 | M-Exempt | D | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | Carter Jennifer L. | director | 10,000 | M-Exempt | A | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | Last Andrew J. | director | 0 | M-Exempt | D | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | Last Andrew J. | director | 40,170 | M-Exempt | A | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | Redmond Cavan M. | director | 0 | M-Exempt | D | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | Redmond Cavan M. | director | 120,863 | M-Exempt | A | 10,000 | 0.00 | 0.00 |
| 2022-06-24 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,479,682 | S-Sale | D | 40,464 | 1.03 | 41,552.48 |
| 2022-06-24 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,520,146 | S-Sale | D | 12,517 | 1.05 | 13,160.37 |
| 2022-06-24 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,427,202 | S-Sale | D | 35,441 | 1.03 | 36,394.36 |
| 2022-06-24 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,462,643 | S-Sale | D | 10,964 | 1.05 | 11,527.55 |
| 2022-06-01 | John Anish M. | officer: SVP, Finance, and Interim CFO | 50,000 | A-Award | A | 50,000 | 0.99 | 49,500.00 |
| 2022-05-18 | Yu Li | officer: VP Cntrllr/Prncpl Acctng Offcr | 25,000 | M-Exempt | D | 25,000 | 0.00 | 0.00 |
| 2022-05-18 | Yu Li | officer: VP Cntrllr/Prncpl Acctng Offcr | 16,872 | S-Sale | D | 8,128 | 1.14 | 9,265.92 |
| 2022-05-18 | Yu Li | officer: VP Cntrllr/Prncpl Acctng Offcr | 25,000 | M-Exempt | D | 25,000 | 0.00 | 0.00 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 958,209 | P-Purchase | A | 958,209 | 1.53 | 1,466,059.77 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 690,719 | P-Purchase | A | 690,719 | 1.53 | 1,056,800.07 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 383,976 | P-Purchase | A | 383,976 | 1.53 | 587,483.28 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 832,949 | P-Purchase | A | 832,949 | 1.53 | 1,274,411.97 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 1,381,438 | P-Purchase | A | 1,381,438 | 1.33 | 1,840,766.14 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 767,952 | P-Purchase | A | 767,952 | 1.33 | 1,023,296.04 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,532,663 | P-Purchase | A | 57,630 | 1.26 | 72,613.80 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,475,033 | P-Purchase | A | 19,210 | 1.23 | 23,570.67 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,455,823 | P-Purchase | A | 1,916,419 | 1.33 | 2,553,628.32 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,473,607 | P-Purchase | A | 92,370 | 1.26 | 116,386.20 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,381,237 | P-Purchase | A | 30,790 | 1.23 | 37,779.33 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,350,447 | P-Purchase | A | 1,665,898 | 1.33 | 2,219,809.08 |
| 2022-04-14 | BROADWOOD PARTNERS, L.P. | 10 percent owner | 6,003,752 | A-Award | A | 0 | 1.53 | 0.00 |
| 2022-04-14 | BROADWOOD PARTNERS, L.P. | 10 percent owner | 5,882.35 | A-Award | A | 0 | 1.53 | 0.00 |
| 2022-04-14 | BROADWOOD PARTNERS, L.P. | 10 percent owner | 23,353,697 | P-Purchase | A | 0 | 0.00 | 0.00 |
| 2022-03-25 | Ross Douglas T. | officer: Chief Scientific Officer | 20,317 | P-Purchase | A | 15,000 | 1.40 | 21,000.00 |
| 2022-03-17 | Paulsen Gisela | officer: Chief Operating Officer | 125,000 | A-Award | A | 125,000 | 1.15 | 143,750.00 |
| 2022-03-17 | Paulsen Gisela | officer: Chief Operating Officer | 16,500 | P-Purchase | A | 16,500 | 1.20 | 19,767.00 |
| 2022-03-16 | ANDREWS RONALD ASBURY | director, officer: Chief Executive Officer | 293,212 | P-Purchase | A | 50,000 | 1.28 | 64,150.00 |
| 2022-03-16 | Redmond Cavan M. | director | 110,863 | P-Purchase | A | 40,000 | 1.19 | 47,560.00 |
| 2022-03-15 | Yu Li | officer: VP Cntrllr/Prncpl Acctng Offcr | 37,500 | A-Award | A | 37,500 | 1.15 | 43,125.00 |
| 2022-03-15 | Ross Douglas T. | officer: Chief Scientific Officer | 100,000 | A-Award | A | 100,000 | 1.15 | 115,000.00 |
| 2022-03-15 | Sundar Padmavathi | officer: Chief Commercial Officer | 87,500 | A-Award | A | 87,500 | 1.15 | 100,625.00 |
| 2022-03-15 | ANDREWS RONALD ASBURY | director, officer: Chief Executive Officer | 500,000 | A-Award | A | 500,000 | 0.00 | 0.00 |
| 2022-03-15 | ANDREWS RONALD ASBURY | director, officer: Chief Executive Officer | 35,000 | A-Award | A | 35,000 | 0.00 | 0.00 |
| 2022-03-15 | ANDREWS RONALD ASBURY | director, officer: Chief Executive Officer | 375,000 | A-Award | A | 375,000 | 1.15 | 431,250.00 |
| 2022-03-15 | ANDREWS RONALD ASBURY | director, officer: Chief Executive Officer | 200,000 | A-Award | A | 200,000 | 1.15 | 230,000.00 |
| 2022-03-15 | ANDREWS RONALD ASBURY | director, officer: Chief Executive Officer | 300,000 | A-Award | A | 300,000 | 1.15 | 345,000.00 |
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