OCX Insider Transactions
| Transaction Date (SEC Report) |
Reporting Name | Relationship | Shrs. Owned | Type | Acq./Disp. | Shrs. Transacted | Price() | Amount() |
|---|---|---|---|---|---|---|---|---|
| 2024-04-11 | BROADWOOD PARTNERS, L.P. | 10 percent owner | 4,929,066 | P-Purchase | A | 2,420,000 | 2.92 | 7,057,688.00 |
| 2024-04-11 | BROADWOOD PARTNERS, L.P. | 10 percent owner | 4,929,066 | P-Purchase | A | 0 | 0.00 | 0.00 |
| 2024-04-15 | BROADWOOD PARTNERS, L.P. | 10 percent owner | 0 | J-Other | D | 0 | 30.60 | 0.00 |
| 2024-04-11 | Riggs Josh | director, officer: CEO and President | 3,505 | P-Purchase | A | 3,390 | 2.95 | 10,000.00 |
| 2024-04-11 | Arno Andrew | director | 69,054 | P-Purchase | A | 33,898 | 2.95 | 99,999.00 |
| 2023-10-10 | Liu James Yang | officer: Sr Dir Controller PAO Int PFO | 8,482 | A-Award | A | 8,482 | 3.11 | 26,379.00 |
| 2023-08-15 | Riggs Josh | director, officer: CEO and President | 40,000 | A-Award | A | 40,000 | 3.34 | 133,600.00 |
| 2023-06-30 | Gutfreund John Peter | 0 | J-Other | D | 3,085,047 | 0.00 | 0.00 | |
| 2023-06-30 | Gutfreund John Peter | 0 | J-Other | D | 3,564,728 | 1.53 | 5,454,034.00 | |
| 2023-06-23 | Arno Andrew | director | 703,133 | A-Award | A | 30,000 | 0.00 | 0.00 |
| 2023-06-23 | Arno Andrew | director | 135,000 | A-Award | A | 135,000 | 0.20 | 27,000.00 |
| 2023-06-23 | Last Andrew J. | director | 90,170 | A-Award | A | 20,000 | 0.00 | 0.00 |
| 2023-06-23 | Last Andrew J. | director | 90,000 | A-Award | A | 90,000 | 0.20 | 18,000.00 |
| 2023-06-23 | KINGSLEY ALFRED D | director | 489,111 | A-Award | A | 20,000 | 0.00 | 0.00 |
| 2023-06-23 | KINGSLEY ALFRED D | director | 90,000 | A-Award | A | 90,000 | 0.20 | 18,000.00 |
| 2023-06-23 | SILVERMAN LOU | director | 112,500 | A-Award | A | 112,500 | 0.20 | 22,500.00 |
| 2023-06-23 | SILVERMAN LOU | director | 31,270 | A-Award | A | 25,000 | 0.00 | 0.00 |
| 2023-06-14 | KINGSLEY ALFRED D | director | 469,111 | P-Purchase | A | 30,000 | 0.21 | 6,447.00 |
| 2023-06-09 | Riggs Josh | director, officer: CEO and President | 800,000 | A-Award | A | 800,000 | 0.21 | 170,560.00 |
| 2023-06-09 | Riggs Josh | director, officer: CEO and President | 350,000 | A-Award | A | 350,000 | 0.21 | 74,620.00 |
| 2023-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner: | 0 | 0 | 0.00 | 0.00 | ||
| 2023-03-06 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 4,589,571 | J-Other | D | 3,890,111 | 0.00 | 0.00 |
| 2023-03-06 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 517,245 | J-Other | D | 440,964 | 1.53 | 674,675.00 |
| 2023-04-05 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,090,202 | P-Purchase | A | 663,000 | 0.30 | 200,027.00 |
| 2023-04-03 | BROADWOOD PARTNERS, L.P. | 10 percent owner | 50,181,335 | P-Purchase | A | 26,827,638 | 0.30 | 8,093,898.00 |
| 2023-04-03 | BROADWOOD PARTNERS, L.P. | 10 percent owner | 50,181,335 | P-Purchase | A | 0 | 0.00 | 0.00 |
| 2023-04-03 | Gutfreund John Peter | director | 1,075,000 | A-Award | A | 1,000,000 | 0.35 | 354,400.00 |
| 2023-04-03 | Gutfreund John Peter | director | 715,000 | A-Award | A | 705,000 | 0.35 | 249,852.00 |
| 2023-04-03 | Gutfreund John Peter | director | 0 | D-Return | D | 588.2353 | 1.53 | 900.00 |
| 2023-04-03 | Arno Andrew | director | 673,133 | A-Award | A | 141,084 | 0.35 | 50,000.00 |
| 2023-04-03 | Arno Andrew | director | 156,084 | A-Award | A | 141,084 | 0.35 | 50,000.00 |
| 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 | Riggs Josh | officer: CEO | 116,426 | A-Award | A | 116,426 | 0.39 | 45,406.00 |
| 2023-02-24 | John Anish M. | officer: Chief Financial Officer | 121,381 | A-Award | A | 121,381 | 0.39 | 47,339.00 |
| 2023-01-17 | Riggs Josh | officer: Interim CEO | 257,485 | A-Award | A | 257,485 | 0.00 | 0.00 |
| 2023-01-17 | Liu James Yang | officer: Controller, PAO | 57,065 | A-Award | A | 57,065 | 0.00 | 0.00 |
| 2023-01-17 | John Anish M. | officer: Chief Financial Officer | 250,466 | A-Award | A | 250,466 | 0.00 | 0.00 |
| 2022-12-23 | Arno Andrew | director | 532,049 | P-Purchase | A | 250,000 | 0.35 | 87,875.00 |
| 2022-12-23 | Gutfreund John Peter | director | 75,000 | P-Purchase | A | 75,000 | 0.33 | 24,728.00 |
| 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 | Ross Douglas T. | officer: Former CSO. | 166,666 | D-Return | D | 83,334 | 0.00 | 0.00 |
| 2022-12-16 | Ross Douglas T. | officer: Former CSO. | 111,562 | D-Return | D | 143,438 | 0.00 | 0.00 |
| 2022-12-01 | Ross Douglas T. | officer: Former CSO. | 20,317 | D-Return | D | 150,000 | 0.00 | 0.00 |
| 2022-12-16 | Ross Douglas T. | officer: Former CSO. | 0 | D-Return | D | 100,000 | 0.00 | 0.00 |
| 2022-12-01 | Paulsen Gisela | officer: Former President and COO | 366,500 | D-Return | D | 175,000 | 0.00 | 0.00 |
| 2022-12-16 | Paulsen Gisela | officer: Former President and COO | 203,125 | D-Return | D | 171,875 | 0.00 | 0.00 |
| 2022-12-16 | Paulsen Gisela | officer: Former President and COO | 54,687 | D-Return | D | 70,313 | 0.00 | 0.00 |
| 2022-12-16 | Paulsen Gisela | officer: Former President and COO | 0 | D-Return | D | 125,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | officer: Former CEO | 583,212 | M-Exempt | A | 250,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | officer: Former CEO | 281,250 | D-Return | D | 93,750 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | officer: Former CEO | 250,000 | D-Return | D | 250,000 | 0.00 | 0.00 |
| 2022-12-07 | ANDREWS RONALD ASBURY | officer: Former CEO | 50,000 | A-Award | A | 50,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | officer: Former CEO | 0 | M-Exempt | D | 250,000 | 0.00 | 0.00 |
| 2022-12-01 | ANDREWS RONALD ASBURY | officer: Former CEO | 0 | D-Return | D | 35,000 | 0.00 | 0.00 |
| 2023-12-07 | SILVERMAN LOU | director | None | D | 27,987 | 0.46 | 12,997.00 | |
| 2022-11-30 | SILVERMAN LOU | director | 6,270 | D | 0 | 0.00 | 0.00 | |
| 2023-12-07 | Riggs Josh | officer: Interim CEO | None | D | 250,000 | 0.46 | 116,100.00 | |
| 2022-12-02 | Riggs Josh | officer: Interim CEO | 2,308 | D | 0 | 0.00 | 0.00 | |
| 2022-08-17 | Last Andrew J. | director: | 70,170 | P-Purchase | A | 20,000 | 0.87 | 17,400.00 |
| 2022-08-17 | Arno Andrew | director: | 15,000 | P-Purchase | A | 7,500 | 0.90 | 6,750.00 |
| 2022-08-16 | ANDREWS RONALD ASBURY | officer: President & CEO | 333,212 | P-Purchase | A | 40,000 | 0.96 | 38,400.00 |
| 2022-08-15 | Ross Douglas T. | officer: Chief Scientific Officer | 170,317 | A-Award | A | 150,000 | 0.00 | 0.00 |
| 2022-08-15 | 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 | Last Andrew J. | director: | 45,000 | A-Award | A | 45,000 | 0.00 | 0.00 |
| 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 | John Anish M. | officer: Chief Financial Officer | 100,000 | A-Award | A | 100,000 | 0.00 | 0.00 |
| 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 | GRIFFITH MELINDA | director: | 30,000 | P-Purchase | A | 10,000 | 1.00 | 10,000.00 |
| 2022-08-15 | GRIFFITH MELINDA | director: | 20,000 | A-Award | A | 10,000 | 0.00 | 0.00 |
| 2022-08-15 | Carter Jennifer L. | director: | 45,000 | A-Award | A | 45,000 | 0.00 | 0.00 |
| 2022-08-15 | Carter Jennifer L. | director: | 30,500 | P-Purchase | A | 10,500 | 0.95 | 9,975.00 |
| 2022-08-15 | Arno Andrew | director: | 282,049 | P-Purchase | A | 115,523 | 0.97 | 112,057.00 |
| 2022-08-15 | Arno Andrew | director | 166,526 | P-Purchase | A | 34,477 | 0.93 | 32,064.00 |
| 2022-08-15 | Arno Andrew | director | 132,049 | A-Award | A | 10,000 | 0.00 | 0.00 |
| 2022-08-15 | Arno Andrew | director: | 45,000 | A-Award | A | 45,000 | 0.00 | 0.00 |
| 2022-08-15 | Arno Andrew | director | 45,000 | A-Award | A | 45,000 | 0.97 | 43,650.00 |
| 2022-07-28 | Gutfreund John Peter | director | 3,085,047 | I | 0 | 0.00 | 0.00 | |
| 2022-07-28 | Gutfreund John Peter | director | 0 | I | 3,564,728 | 1.53 | 5,454,034.00 | |
| 2022-07-28 | Gutfreund John Peter | director | 0 | D | 1,176.48 | 1.53 | 1,800.00 | |
| 2022-06-24 | Redmond Cavan M. | director | 120,863 | 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 | GRIFFITH MELINDA | director: | 10,000 | M-Exempt | A | 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 | KINGSLEY ALFRED D | director: | 394,111 | M-Exempt | A | 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 | Arno Andrew | 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 | Kamen Efrem | director: | 8,520,146 | S-Sale | D | 12,517 | 1.05 | 13,160.00 |
| 2022-06-24 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,520,146 | S-Sale | D | 12,517 | 1.05 | 13,160.00 |
| 2022-06-24 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,479,682 | S-Sale | D | 40,464 | 1.03 | 41,552.00 |
| 2022-06-24 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,462,643 | S-Sale | D | 10,964 | 1.05 | 11,528.00 |
| 2022-06-24 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,427,202 | S-Sale | D | 35,441 | 1.03 | 36,394.00 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,532,663 | P-Purchase | A | 57,630 | 1.26 | 72,614.00 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 8,475,033 | P-Purchase | A | 19,210 | 1.23 | 23,571.00 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,473,607 | P-Purchase | A | 92,370 | 1.26 | 116,386.00 |
| 2022-04-14 | PURA VIDA INVESTMENTS, LLC | 10 percent owner | 7,381,237 | P-Purchase | A | 30,790 | 1.23 | 37,779.00 |
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