ECOR · electroCore, Inc.
Substantial doubt about the company's ability to continue as a going concern.
“Notwithstanding the expected cash flow from operations and expected access to capital from existing and/or future debt and equity sources, the Company’s currently forecasted cash is less than the requirements to fund its operating expenses and capital expenditure requirements, as currently planned, for at least the next 12 months from the date the accompanying condensed consolidated financial statements are issued. These factors raise substantial doubt regarding the Company’s ability to continue as a going concern.”View the 10-Q filed May 6, 2026
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 3, 4 and 5. Form 4 must be filed within two business days of the trade.
Insider Sentiment Score
Peer-relative 0–100 rank of how aggressively insiders accumulated over the trailing 90 days. See the full ranking.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2026-05-28 | Lev Joshua S. |
CFO and Interim President |
Sell↓
Filing footnotes — Common Stock (Direct)
The price in Column 4 is a weighted average of shares sold at prices ranging from $8.95 to $9.09. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price. Includes 2,889 shares of Common Stock, and 82,000 shares of Common Stock issuable pursuant to previously issued RSUs, comprised of: (i) 6,667 shares, of which (a) 3,333 shares will vest on January 15, 2027 and (b) 3,334 shares will vest on January 15, 2028; (ii) 5,333 shares, which will vest on January 12, 2027; (iii) 25,000 shares, of which (a) 8,333 shares will vest on January 26, 2027 and January 26, 2028, and (b) 8,334 shares will vest on January 26, 2029; and (iv) 45,000 shares, which vests in full on December 31, 2026; provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. |
Common Stock
|
6,667 |
| 2026-05-22 | Lev Joshua S. |
CFO and Interim President |
Sell↓
Filing footnotes — Common Stock (Direct)
The RP sold 3,000 shares of the Issuer's common stock in the reported transaction upon the vesting and settlement of previously issued Restricted Stock Units (RSUs), all of which were previously reported by the RP on a Form 4 pursuant to Section 16 of the Exchange Act, solely to satisfy tax withholding obligations incurred upon vesting and settlement. Includes 9,556 shares of Common Stock, and 82,000 shares of Common Stock issuable pursuant to previously issued RSUs, comprised of: (i) 6,667 shares, of which (a) 3,333 shares will vest on January 15, 2027 and (b) 3,334 shares will vest on January 15, 2028; (ii) 5,333 shares, which will vest on January 12, 2027; (iii) 25,000 shares, of which (a) 8,333 shares will vest on January 26, 2027 and January 26, 2028, and (b) 8,334 shares will vest on January 26, 2029; and (iv) 45,000 shares, which vests in full on December 31, 2026; provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. |
Common Stock
|
3,000 |
| 2026-05-21 | Errico Thomas J. |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Includes 259,106 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 8,872 unvested shares underlying deferred stock units ("DSUs"); and 69,797 shares that have vested pursuant to previously issued DSUs. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
9,992 |
| 2026-05-20 | Errico Thomas J. |
Director |
Other↑
Filing footnotes — Common Stock (Direct)
Includes 259,106 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 8,872 unvested shares underlying deferred stock units ("DSUs"); and 69,797 shares that have vested pursuant to previously issued DSUs. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
8 |
| 2026-04-23 | Goldberger Daniel S |
Director |
Sell↓
Filing footnotes — Common Stock (Direct)
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $8.52 per share between 04/23/26 and 05/26/26 subject to Rule 144. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by him at each separate price. |
Common Stock
|
80,000 |
| 2026-04-13 | Fox Michael |
Chief Operating Officer |
Other↑
|
No Securities Owned
|
0 |
| 2026-04-13 | Fox Michael |
Chief Operating Officer |
Award↑
Filing footnotes — Common Stock (Direct)
The restricted stock units (RSUs) vest one-third on the first anniversary of the grant date, and the remainder vest in equal increments on each successive one-year anniversary thereafter for the next two years, provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. |
Common Stock
|
70,000 |
| 2026-04-10 | Goldberger Daniel S |
Director |
Sell↓
Filing footnotes — Common Stock (Direct)
The reported transaction resulted in a claim under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") amounting to $1,182. The Reporting Person (RP) voluntarily paid the full amount to the Issuer. The RP sold 16,072 shares of the Issuer's common stock in the reported transaction upon the vesting and settlement of previously issued Restricted Stock Units (RSUs), all of which were previously reported by the RP on a Form 4 pursuant to Section 16 of the Exchange Act, solely to satisfy tax withholding obligations incurred upon vesting and settlement. Includes (i) 3,665 shares, net of the amount sold in the reported transaction, issued pursuant to previously issued RSUs that vested on a prorated basis as of April 1, 2026, in accordance with the vesting provisions of the consulting and separation agreement (the "Agreement") between the RP and the Issuer; and (ii) 43,200 RSUs previously issued to the RP that shall continue to vest, subject to the RP's continued consulting services under the Agreement, through the applicable vesting dates, in equal monthly installments of 3,600 RSUs per month. |
Common Stock
|
16,072 |
| 2026-04-01 | Lev Joshua S. |
CFO and Interim President |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Restricted Stock Units (RSUs) of the Issuer. The grant vests in full on December 31, 2026, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. Includes 12,556 shares of Common Stock, and 37,000 shares of Common Stock issuable pursuant to previously issued RSUs, comprised of: (i) 6,667 shares, of which (a) 3,333 shares will vest on January 15, 2027 and (b) 3,334 shares will vest on January 15, 2028; (ii) 5,333 shares, which will vest on January 12, 2027; and (iii) 25,000 shares, of which (a) 8,333 shares will vest on January 26, 2027 and January 26, 2028, and (b) 8,334 shares will vest on January 26, 2029; provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. |
Common Stock
|
45,000 |
| 2026-03-19 | Errico Thomas J. |
Director |
Exercise↑
Filing footnotes — Common Stock (Direct)
Includes 259,106 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 26,615 unvested shares underlying deferred stock units ("DSUs"); and 52,054 shares that have vested pursuant to previously issued DSUs. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
19,252 |
| 2026-03-19 | Errico Thomas J. |
Director |
Exercise↑
|
Warrants to Purchase Common Stock
|
22,803 |
| 2026-03-19 | Errico Thomas J. |
Director |
Exercise↑
|
Common Stock
|
22,803 |
| 2026-03-19 | Errico Thomas J. |
Director |
Exercise↑
|
Warrants to Purchase Common Stock
|
19,252 |
| 2026-01-26 | Goldberger Daniel S |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. Includes 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 50,000 of such shares have vested and (ii) 25,000 of such shares will potentially vest on January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 33,333 of such shares have vested and (ii) 16,667 of such shares will potentially vest on August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes 40,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 13,333 of such shares have vested and (ii)26,667 of such shares will potentially vest in one-half increments on each of January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant. |
Common Stock
|
26,000 |
| 2026-01-26 | Goldberger Daniel S |
Director |
Award↑
|
Common Stock
|
20,375 |
| 2026-01-26 | Lev Joshua S. |
CFO and Interim President |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. Includes 21,667 shares of Common Stock issuable pursuant to previously issued restricted stock units: (i) 10,000 shares of which (a) 3,333 shares of Common Stock have vested and are eligible for sale, (b) 3,333 shares of Common Stock will vest on January 15, 2027, and (c) 3,334 shares of Common Stock will vest on January 15, 2028; and (ii) 11,667 shares of which (a) 6,334 have vested and are eligible for sale, and (b) 5,333 shares of Common Stock will vest on January 12, 2027; provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. |
Common Stock
|
25,000 |
| 2026-01-26 | Lev Joshua S. |
CFO and Interim President |
Award↑
|
Common Stock
|
2,889 |
| 2025-12-04 | Lev Joshua S. |
CFO and Interim President |
Sell↓
Filing footnotes — Common Stock (Direct)
The price in Column 4 is a weighted average of shares sold at prices ranging from $5.03 to $5.07. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price. Includes 21,667 shares of Common Stock issuable pursuant to previously issued restricted stock units: (i) 10,000 shares of which will vest (a) with respect to 3,333 shares of Common Stock, on each of January 15, 2026 and January 15, 2028, and (b) with respect to 3,334 shares of Common Stock, on January 15, 2027; and (ii) 11,667 shares of which (a) 1,000 have vested and are eligible for sale, and (b) 10,667 will vest (i) with respect to 5,334 shares of Common Stock, on January 12, 2026, and (ii) with respect to 5,333 shares of Common Stock, on January 12, 2027; provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. |
Common Stock
|
2,500 |
| 2025-12-02 | Goldberger Daniel S |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the price at which the RP purchased the shares. Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 33,333 of such shares have vested and (ii) 16,667 of such shares will potentially vest on August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes an additional 40,000 shares issuable pursuant to previously issued Restricted Stock Units: 40,000 of such shares will potentially vest in one-third increments on each of January 18, 2026, January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant. |
Common Stock
|
1,000 |
| 2025-11-12 | Lev Joshua S. |
CFO and Interim President |
Sell↓
Filing footnotes — Common Stock (Direct)
The price in Column 4 is a weighted average of shares sold at prices ranging from $6.0602 to $6.31. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price. Includes 23,667 shares of Common Stock issuable pursuant to previously issued restricted stock units: (i) 10,000 shares of which will vest (a) with respect to 3,333 shares of Common Stock, on each of January 15, 2026 and January 15, 2027, and (b) with respect to 3,334 shares of Common Stock, on January 15, 2028; and (ii) 13,667 shares of which (a) 3,000 have vested and are eligible for sale, and (b) 10,667 will vest (i) with respect to 5,333 shares of Common Stock, on January 12, 2026, and (ii) with respect to 5,334 shares of Common Stock, on January 12, 2027; provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. |
Common Stock
|
2,166 |
| 2025-09-10 | Bonfiglioli Elena |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
The restricted stock units vest in 12 equal quarterly increments over a period of 36 months from the grant date, provided that the Reporting Person (RP) remains in continuous service with the Issuer or an affiliate through the applicable vesting date; provided further, that the restricted stock units vest in full on the date immediately prior to a change of control if the RP remains a member of the Issuer's board of directors through such date. |
Common Stock
|
30,549 |
| 2025-09-02 | PATTON THOMAS M |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Annual Deferred Stock Units award which vests in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Includes 52,054 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
19,011 |
| 2025-09-02 | Errico Thomas J. |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Annual Deferred Stock Units ("DSUs") award which vests in 12 equal monthly installments from the grant date; provided, however, that the DSUs shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person ("RP") remains in continuous service with the Issuer or an affiliate through the applicable vesting date. In addition to the DSUs listed in Column 4, consists of 217,051 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; and 52,054 shares that have vested pursuant to previously issued DSUs. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
26,615 |
| 2025-09-02 | Wilber Patricia |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Annual Restricted Stock Units award which vests in 12 equal monthly installments from the grant date; provided, however, that the Restricted Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Includes 16,583 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
19,011 |
| 2025-09-02 | Goldstein Julie Ann |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Annual Deferred Stock Units award which vests in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person (RP) remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Includes 10,000 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. Includes 1,665 shares held in NeuroSpine Ventures; an entity in which the RP has no voting or dispositive power over the shares. Accordingly, the RP disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |
Common Stock
|
19,011 |
| 2025-09-02 | GANDOLFO JOHN P |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
Annual Deferred Stock Units award which vests in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Includes 65,021 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
19,011 |
| 2025-09-02 | Bonfiglioli Elena |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2025-08-11 | Errico Thomas J. |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The price in Column 4 is a weighted average of shares purchased at prices ranging from $4.34 to $4.55. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price. Consists of 217,051 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 50,672 shares that have vested pursuant to previously issued Deferred Stock Units (DSUs); and 1,382 shares issuable pursuant to DSUs that vest monthly through September 3, 2025; provided that such DSUs vest in full on the earlier of (i) one business day prior to the Issuer's next annual stockholder meeting, and (ii) the date immediately prior to a change of control, in each case, provided the RP remains in service with the Issuer through the applicable vesting date. |
Common Stock
|
15,000 |
| 2025-08-11 | Goldberger Daniel S |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The price in Column 4 is a weighted average of shares purchased at prices ranging from $4.225 to $4.25. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price. Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 33,333 of such shares have vested and (ii) 16,667 of such shares will potentially vest on August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes an additional 40,000 shares issuable pursuant to previously issued Restricted Stock Units: 40,000 of such shares will potentially vest in one-third increments on each of January 18, 2026, January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant. |
Common Stock
|
1,000 |
| 2025-08-01 | Theofilos James Charles |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
These restricted stock units, which convert into common stock on a one-for-one basis ("RSUs"), were granted under the issuer's 2018 Omnibus Equity Compensation Plan and, except as otherwise provided in the award agreement, vest in 12 equal quarterly increments over a period of 36 months from the date of grant. Includes 22,156 unvested RSUs and 1,391 shares of common stock. |
Common Stock
|
22,156 |
| 2025-05-23 | GANDOLFO JOHN P |
Chief Financial Officer |
Buy↑
Filing footnotes — Common Stock (Direct)
Includes 59,493 shares vested pursuant to previously issued Deferred Stock Units (DSUs); and 5,528 shares issuable pursuant to DSUs that vest monthly through 9/3/2025; provided that such DSUs vest in full on the earlier of (i) one business day prior to the Issuer's next annual stockholder meeting, and (ii) the date immediately prior to a change of control, in each case, provided the Reporting Person remains in service with the Issuer through the applicable vesting date. |
Common Stock
|
1,800 |
| 2025-05-12 | Errico Thomas J. |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The price in Column 4 is a weighted average of shares purchased at prices ranging from $4.73 to $4.80. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price. Consists of 202,051 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 46,526 shares that have vested pursuant to previously issued Deferred Stock Units (DSUs); and 5,528 shares issuable pursuant to DSUs that vest monthly through September 3, 2025; provided that such DSUs vest in full on the earlier of (i) one business day prior to the Issuer's next annual stockholder meeting, and (ii) the date immediately prior to a change of control, in each case, provided the RP remains in service with the Issuer through the applicable vesting date. |
Common Stock
|
10,000 |
| 2025-03-17 | Goldberger Daniel S |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 16,667 of such shares have vested and (ii) 33,333 of such shares will potentially vest in one-half increments on each of August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes an additional 40,000 shares issuable pursuant to previously issued Restricted Stock Units: 40,000 of such shares will potentially vest in one-third increments on each of January 18, 2026, January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant. |
Common Stock
|
1,000 |
| 2025-03-17 | Errico Thomas J. |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The price in Column 4 is a weighted average of shares purchased at prices ranging from $8.095 to $8.1298. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price. Consists of 192,051 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 43,762 shares that have vested pursuant to previously issued Deferred Stock Units (DSUs); and 8,292 shares issuable pursuant to DSUs that vest monthly through September 3, 2025; provided that such DSUs vest in full on the earlier of (i) one business day prior to the Issuer's next annual stockholder meeting, and (ii) the date immediately prior to a change of control, in each case, provided the RP remains in service with the Issuer through the applicable vesting date. |
Common Stock
|
6,000 |
| 2025-02-24 | Theofilos Charles Steve |
Insider |
Other↑
|
No Securities Owned
|
0 |
| 2025-01-18 | Goldberger Daniel S |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant. Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 16,667 of such shares have vested and (ii) 33,333 of such shares will potentially vest in one-half increments on each of August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant. |
Common Stock
|
40,000 |
| 2025-01-15 | Lev Joshua S. |
CFO and Interim President |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. Includes 16,333 shares of Common Stock issuable pursuant to previously issued restricted stock units: (i) 5,334 of such shares have vested; (ii) 333 shares of which will vest by February 9, 2025;and (iii) 10,666 shares of which will vest (a) with respect to 5,333 shares of Common Stock on each of January 12, 2026, and January 12, 2027; provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy. |
Common Stock
|
10,000 |
| 2024-09-03 | CUNEO F PETER |
Director |
Award↑
Filing footnotes — Stock Option (Right to Buy) (Direct)
The option vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. |
Stock Option (Right to Buy)
|
27,783 |
| 2024-09-03 | Errico Thomas J. |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Consists of 192,051 shares of common stock beneficially owned directly by the Reporting Person; 1,296 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person's family members; 5,000 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person; and includes 35,471 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
16,583 |
| 2024-09-03 | Goldstein Julie Ann |
Director |
Award↑
Filing footnotes — Stock Option (Right to Buy) (Direct)
The option vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. |
Stock Option (Right to Buy)
|
19,845 |
| 2024-09-03 | Wilber Patricia |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Restricted Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Restricted Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Includes 8,334 shares that have vested pursuant to previously issued Restricted Stock Units; 1,666 of shares will vest monthly through March 15, 2025, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant. Includes 21,739 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
16,583 |
| 2024-09-03 | Theofilos Charles Steve |
Insider |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Deferred Stock Units ("DSUs") which vest in 12 equal monthly installments commencing on the one-month anniversary of the grant date; provided, however, that the DSUs shall vest in full on the earlier of (i) the one-year anniversary of the grant date, (ii) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, (iii) the date of the Reporting Person's death, or (iv) the date immediately prior to a change of control resulting in the termination of affiliation of the Reporting Person, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Includes 25,210 shares of common stock underlying DSUs which were granted by the Issuer to the Reporting Person on January 1, 2024. As previously reported in the Form 4 filed by the Reporting Person on January 3, 2024, such DSUs vest (i) in 12 equal monthly installments commencing on the three-month anniversary of the grant date and (ii) in full on the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. |
Common Stock
|
16,582 |
| 2024-09-03 | PATTON THOMAS M |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Includes 12,967 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. Includes 35,471 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
16,583 |
| 2024-09-03 | GANDOLFO JOHN P |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. Includes 48,438 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
16,583 |
| 2024-08-15 | Errico Thomas J. |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.015 to $6.20 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased by him at each separate price on August 15, 2024. Consists of 192,051 shares of common stock beneficially owned directly by the Reporting Person; 1,296 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person's family members; 5,000 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person; and includes 35,471 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
5,000 |
| 2024-07-11 | CUNEO F PETER |
Director |
Award↑
Filing footnotes — Stock Option (Right to Buy) (Direct)
The option generally vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2025, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. |
Stock Option (Right to Buy)
|
50,000 |
| 2024-06-13 | GANDOLFO JOHN P |
Chief Financial Officer |
Buy↑
Filing footnotes — Common Stock (Direct)
Includes 44,815 shares that have vested pursuant to previously issued Deferred Stock Units; 3,623 additional shares issuable pursuant to previously issued Deferred Stock Units will vest monthly through August 4, 2024, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
1,000 |
| 2024-06-05 | Wilber Patricia |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 6,931 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance. Includes 7,500 shares that have vested pursuant to previously issued Restricted Stock Units; 2,500 of shares will vest monthly through March 15, 2025, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant. Includes 18,116 shares that have vested pursuant to previously issued Restricted Stock Units; 3,623 of shares will vest monthly through August 2, 2024, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant. |
Common Stock
|
6,931 |
| 2024-06-05 | PATTON THOMAS M |
Director |
Buy↑
Filing footnotes — Warrants to Purchase Common Stock (Direct)
On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 7,701 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance. |
Warrants to Purchase Common Stock
|
3,850 |
| 2024-06-05 | Goldstein Julie Ann |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 7,701 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance. Includes 7,500 shares that have vested pursuant to previously issued Deferred Stock Units; 2,500 of such shares will vest monthly through March 15, 2025, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant. Includes 1,665 shares held in NeuroSpine Ventures; an entity in which the Reporting Person has no voting or dispositive power over the shares. Accordingly, the Reporting Person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |
Common Stock
|
7,701 |