Robert Baltera Jr.

Insider

First SEC filing: Dec. 2, 2013 · Latest: Dec. 2, 2013

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Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

Insider transactions

4 buys (P) 0 sells (S) Net: $161,300 + 18 non-open-market transactions below Avg return of open purchases vs now: 4.3% last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

18 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
July 7, 2026	PALI	P	30,000	$2.03	$60,900	416,904 Direct	+7.75%	Acquired	3.2% (price as of 2026-08-21)
July 6, 2026	PALI	P	20,000	$2.05	$41,000	386,904 Direct	+5.45%	Acquired	2.2% (price as of 2026-08-21)
July 2, 2026	PALI	P	10,000	$1.98	$19,800	366,904 Direct	+2.80%	Acquired	5.8% (price as of 2026-08-21)
July 1, 2026	PALI	P	20,000	$1.98	$39,600	356,904 Direct	+5.94%	Acquired	5.8% (price as of 2026-08-21)
June 10, 2026	PALI	A	336,904	—	—	336,904 Direct	—	Acquired	(price as of 2026-08-21)
July 26, 2018	VIVS	A	45,500	—	—	45,550 Direct	+91000.00%	Acquired	(price as of 2026-08-21)
Aug. 24, 2017	VIVS	A	42,500	—	—	42,500 Direct	—	Acquired	(price as of 2026-08-21)
Aug. 17, 2016	VIVS	A	18,500	—	—	18,500 Direct	—	Acquired	(price as of 2026-08-21)
Aug. 17, 2016	VIVS	A	7,500	—	—	146,006 Direct	+5.41%	Acquired	(price as of 2026-08-21)
June 23, 2016	XNCR	A	7,500	—	—	7,500 Direct	—	Acquired	(price as of 2026-08-21)
Sept. 21, 2015	VIVS	S 10b5-1	6,000	$4.03	$24,180	138,506 Direct	-4.15%	Disposed	-100.0% (price as of 2026-08-21)
Aug. 20, 2015	VIVS	A	37,000	—	—	37,000 Direct	—	Acquired	(price as of 2026-08-21)
June 9, 2015	XNCR	A	7,500	—	—	7,500 Direct	—	Acquired	(price as of 2026-08-21)
Aug. 20, 2014	VIVS	A	31,500	—	—	31,500 Direct	—	Acquired	(price as of 2026-08-21)
June 12, 2014	XNCR	A	7,500	—	—	7,500 Direct	—	Acquired	(price as of 2026-08-21)
June 6, 2014	VIVS	X	3,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
June 6, 2014	VIVS	X	3,000	$1.00	$3,000	144,506 Direct	+2.12%	Acquired	-99.9% (price as of 2026-08-21)
Aug. 21, 2013	VIVS	A	30,500	—	—	30,500 Direct	—	Acquired	(price as of 2026-08-21)
Dec. 21, 2012	VIVS	M	25,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Dec. 21, 2012	VIVS	P	25,000	—	—	25,000 Direct	—	Acquired	(price as of 2026-08-21)
Dec. 21, 2012	VIVS	H	25,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Dec. 21, 2012	VIVS	M	25,000	$0.80	$20,000	141,506 Direct	+21.46%	Acquired	-99.9% (price as of 2026-08-21)
Oct. 18, 2012	VIVS	A	17,500	—	—	17,500 Direct	—	Acquired	(price as of 2026-08-21)
Sept. 5, 2012	VIVS	A	31,500	—	—	31,500 Direct	—	Acquired	(price as of 2026-08-21)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
July 26, 2018	VIVS	Stock Option (Right to Buy)	Common Stock (45,550)	$1.29	July 26, 2028	45,500	Acquired
Aug. 24, 2017	VIVS	Stock Option (Right to Buy)	Common Stock (42,500)	$1.97	Aug. 24, 2027	42,500	Acquired
Aug. 17, 2016	VIVS	Stock Option (Right to Buy) [F1]	Common Stock (18,500)	$4.35	Aug. 17, 2025	18,500	Acquired
June 23, 2016	XNCR	Stock Option (Right to Buy)	Common Stock (7,500)	$14.83	June 22, 2026	7,500	Acquired
Aug. 20, 2015	VIVS	Stock Option (Right to Buy)	Common Stock	$2.09	Aug. 20, 2025	37,000	Acquired
June 9, 2015	XNCR	Stock Option (Right to Buy)	Common Stock (7,500)	$20.00	June 8, 2025	7,500	Acquired
Aug. 20, 2014	VIVS	Stock Option (Right to Buy)	Common Stock (31,500)	$7.62	Aug. 20, 2024	31,500	Acquired
June 12, 2014	XNCR	Stock Option (Right to Buy)	Common Stock (7,500)	$11.46	June 11, 2024	7,500	Acquired
June 6, 2014	VIVS	Warrant (Right to Buy)	Common Stock (3,000)	$1.00	Feb. 8, 2017	3,000	Disposed
Aug. 21, 2013	VIVS	Stock Option (Right to Buy)	Common Stock (30,500)	$5.86	Aug. 21, 2023	30,500	Acquired
Dec. 21, 2012	VIVS	Warrant (Right to Buy)	Common Stock (25,000)	$0.80	Feb. 28, 2017	25,000	Disposed
Dec. 21, 2012	VIVS	Warrant (Right to Buy)	Common Stock (25,000)	$0.80	Feb. 28, 2017	25,000	Acquired
Dec. 21, 2012	VIVS	Warrant (Right to Buy)	Common Stock (25,000)	$1.00	Feb. 28, 2017	25,000	Disposed
Oct. 18, 2012	VIVS	Stock Option (Right to Buy)	Common Stock (17,500)	$2.54	Oct. 18, 2022	17,500	Acquired
Sept. 5, 2012	VIVS	Stock Option (Right to Buy)	Common Stock (31,500)	$2.23	Sept. 5, 2022	31,500	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 5 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Dec. 2, 2013	XNCR	Stock Option (Right to Buy)→ Common Stock (15,000)	15,000	Direct
March 20, 2012	VIVS	Common Stock	116,506	Direct
March 20, 2012	VIVS	Warrants (Right to Buy)→ Common Stock	—	Direct
March 13, 2012	VIVS	Common Stock	91,506	Direct
March 13, 2012	VIVS	Warrants (Right to Buy)→ Common Stock (3,000)	3,000	Direct