Last 12 months
Inside the activity.
1 purchase rows · 41 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 8 |
| Jan 2026 | 0 | 2 |
| Feb 2026 | 0 | 2 |
| Mar 2026 | 0 | 17 |
| Apr 2026 | 0 | 1 |
| May 2026 | 1 | 4 |
| Jun 2026 | 0 | 3 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 1 |
| Sep 2026 | 0 | 3 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 08, 2020 Filed Mar 16, 2022 19:35 UTC Amendment |
Marino Michael JosephChief Commerical Officer
|
GrantRestricted Stock Units (RSU) · Derivative | 320,297 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-006454 · wf-form4a_164747368623854.xml · derivative · entry 1 Marino Michael Joseph · CIK 0001806543 · Chief Commerical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,927 Underlying: Class A-1 Common Stock · 320,297 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 1/4 of the RSUs will vest on March 8, 2022, and the remainder will vest as to 1/12 of the remaining award quarterly thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. F2 · derivative.expiration_date: 1/4 of the RSUs will vest on March 8, 2022, and the remainder will vest as to 1/12 of the remaining award quarterly thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. F3 · derivative.underlying_shares: On March 13, 2020, the Reporting Person filed a Form 4 that inadvertently reported that he beneficially owned 320,927 restricted stock units and 320,927 employee stock options when he in fact beneficially owned 320,297 restricted stock units and 320,297 employee stock options. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 18:14 UTC |
Hammer RyanPresident, Gaming Operations
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 266,982 | $0.00 Strike: $10.78 | $0.00 |
DisclosureSEC source: 0001209191-20-017840 · doc4.xml · derivative · entry 2 Hammer Ryan · CIK 0001806025 · President, Gaming Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,982 Underlying: Class A-1 Common Stock · 266,982 shares Expires 2030-03-06 F3 · derivative.exercise_date: 1/4 of the total shares underlying the option will vest on March 6, 2022, and the remainder will vest as to 1/12 of the remaining shares quarterly thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| March 06, 2020 Filed Mar 10, 2020 18:14 UTC |
Hammer RyanPresident, Gaming Operations
|
GrantRestricted Stock Units (RSU) · Derivative | 177,990 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-017840 · doc4.xml · derivative · entry 1 Hammer Ryan · CIK 0001806025 · President, Gaming Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,990 Underlying: Class A-1 Common Stock · 177,990 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 1/4 of the RSUs will vest on March 6, 2022, and the remainder will vest as to 1/12 of the remaining award quarterly thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. F2 · derivative.expiration_date: 1/4 of the RSUs will vest on March 6, 2022, and the remainder will vest as to 1/12 of the remaining award quarterly thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 17:18 UTC |
Godsoe EdenDirector
|
GrantRestricted Stock Units (RSU) · Derivative | 15,510 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014613 · doc4.xml · derivative · entry 1 Godsoe Eden · CIK 0001797181 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,510 Underlying: Class A-1 Common Stock · 15,510 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 100% of the RSUs will vest on December 31, 2020, subject to the Reporting Person's continuing service to the Issuer on the vesting date. F2 · derivative.expiration_date: 100% of the RSUs will vest on December 31, 2020, subject to the Reporting Person's continuing service to the Issuer on the vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 17:04 UTC |
Peterson Karl Mr.Director
|
GrantRestricted Stock Unit · Derivative | 13,877 | $0.00 | $0.00 |
DisclosureSEC source: 0001387131-20-002397 · acel-form4_022720.xml · derivative · entry 1 Peterson Karl Mr. · CIK 0001425873 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,877 Underlying: Class A-1 Common Stock · 13,877 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Class A-1 Common Stock of Accel Entertainment, Inc. (the "Issuer") upon settlement for no consideration. Each Restricted Stock Unit will vest on December 31, 2020, subject to Mr. Karl Peterson's continuing service to the Issuer on the vesting date. F1 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive one share of Class A-1 Common Stock of Accel Entertainment, Inc. (the "Issuer") upon settlement for no consideration. Each Restricted Stock Unit will vest on December 31, 2020, subject to Mr. Karl Peterson's continuing service to the Issuer on the vesting date. F1 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive one share of Class A-1 Common Stock of Accel Entertainment, Inc. (the "Issuer") upon settlement for no consideration. Each Restricted Stock Unit will vest on December 31, 2020, subject to Mr. Karl Peterson's continuing service to the Issuer on the vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 17:39 UTC |
Philips KathleenDirector
|
GrantRestricted Stock Unit · Derivative | 15,510 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-006548 · doc4.xml · derivative · entry 1 Philips Kathleen · CIK 0001524268 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,510 Underlying: Class A-1 Common Stock · 15,510 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Class A-1 Common Stock of Accel Entertainment, Inc. (the "Issuer") upon settlement for no consideration. Each Restricted Stock Unit will vest on December 31, 2020, subject to Ms. Kathleen Philips' continuing service to the Issuer on the vesting date. F1 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive one share of Class A-1 Common Stock of Accel Entertainment, Inc. (the "Issuer") upon settlement for no consideration. Each Restricted Stock Unit will vest on December 31, 2020, subject to Ms. Kathleen Philips' continuing service to the Issuer on the vesting date. F1 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive one share of Class A-1 Common Stock of Accel Entertainment, Inc. (the "Issuer") upon settlement for no consideration. Each Restricted Stock Unit will vest on December 31, 2020, subject to Ms. Kathleen Philips' continuing service to the Issuer on the vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:36 UTC |
Phelan Mark T.Chief Revenue Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 49,500 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0001209191-20-014662 · doc4.xml · derivative · entry 2 Phelan Mark T. · CIK 0001794567 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,500 Underlying: Class A-1 Common Stock · 49,500 shares Expires 2030-02-27 F3 · derivative.exercise_date: 1/3 of the total shares underlying the option will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total shares annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:36 UTC |
Phelan Mark T.Chief Revenue Officer
|
GrantRestricted Stock Units (RSU) · Derivative | 33,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014662 · doc4.xml · derivative · entry 1 Phelan Mark T. · CIK 0001794567 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,000 Underlying: Class A-1 Common Stock · 33,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. F2 · derivative.expiration_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 3, 2020 00:43 UTC |
Rotman KennethDirector
|
GrantRestricted Stock Units (RSU) · Derivative | 13,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014815 · doc4.xml · derivative · entry 1 Rotman Kenneth · CIK 0001794662 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,061 Underlying: Class A-1 Common Stock · 13,061 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 100% of the RSUs will vest on December 31, 2020, subject to the Reporting Person's continuing service to the Issuer on the vesting date. F2 · derivative.expiration_date: 100% of the RSUs will vest on December 31, 2020, subject to the Reporting Person's continuing service to the Issuer on the vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:32 UTC |
Carroll Brian M.Chief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 54,000 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0001209191-20-014647 · doc4.xml · derivative · entry 2 Carroll Brian M. · CIK 0001794304 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,000 Underlying: Class A-1 Common Stock · 54,000 shares Expires 2030-02-27 F3 · derivative.exercise_date: 1/3 of the total shares underlying the option will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total shares annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:32 UTC |
Carroll Brian M.Chief Financial Officer
|
GrantRestricted Stock Units (RSU) · Derivative | 36,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014647 · doc4.xml · derivative · entry 1 Carroll Brian M. · CIK 0001794304 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Underlying: Class A-1 Common Stock · 36,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. F2 · derivative.expiration_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:28 UTC |
Harmer DerekSecretary
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 63,000 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0001209191-20-014637 · doc4.xml · derivative · entry 2 Harmer Derek · CIK 0001794002 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,000 Underlying: Class A-1 Common Stock · 63,000 shares Expires 2030-02-27 F3 · derivative.exercise_date: 1/3 of the total shares underlying the option will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total shares annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:28 UTC |
Harmer DerekSecretary
|
GrantRestricted Stock Units (RSU) · Derivative | 42,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014637 · doc4.xml · derivative · entry 1 Harmer Derek · CIK 0001794002 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Class A-1 Common Stock · 42,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. F2 · derivative.expiration_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:24 UTC |
Rubenstein Andrew H.Director · CEO and President · 10% owner
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 165,000 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0001209191-20-014632 · doc4.xml · derivative · entry 2 Rubenstein Andrew H. · CIK 0001794156 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,000 Underlying: Class A-1 Common Stock · 165,000 shares Expires 2030-02-27 F3 · derivative.exercise_date: 1/3 of the total shares underlying the option will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total shares annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:24 UTC |
Rubenstein Andrew H.Director · CEO and President · 10% owner
|
GrantRestricted Stock Units (RSU) · Derivative | 110,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014632 · doc4.xml · derivative · entry 1 Rubenstein Andrew H. · CIK 0001794156 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Class A-1 Common Stock · 110,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. F2 · derivative.expiration_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:20 UTC |
Ruttenberg David W.Director
|
GrantRestricted Stock Units (RSU) · Derivative | 15,102 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014621 · doc4.xml · derivative · entry 1 Ruttenberg David W. · CIK 0001794305 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,102 Underlying: Class A-1 Common Stock · 15,102 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 100% of the RSUs will vest on December 31, 2020, subject to the Reporting Person's continuing service to the Issuer on the vesting date. F2 · derivative.expiration_date: 100% of the RSUs will vest on December 31, 2020, subject to the Reporting Person's continuing service to the Issuer on the vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:12 UTC |
Rubenstein GordonDirector
|
GrantDirector Stock Option (Right to Buy) · Derivative | 90,000 | $0.00 Strike: $12.25 | $0.00 |
DisclosureSEC source: 0001209191-20-014595 · doc4.xml · derivative · entry 3 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Class A-1 Common Stock · 90,000 shares Expires 2030-02-27 F4 · derivative.exercise_date: 1/3 of the total shares underlying the option will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total shares annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:12 UTC |
Rubenstein GordonDirector
|
GrantRestricted Stock Units (RSU) · Derivative | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014595 · doc4.xml · derivative · entry 2 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Class A-1 Common Stock · 60,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F3 · derivative.exercise_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. F3 · derivative.expiration_date: 1/3 of the RSUs will vest on January 1, 2023, and the remainder will vest as to 1/3 of the total award annually thereafter, subject to the Reporting Person's continuing service to the Issuer on each vesting date. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 22:12 UTC |
Rubenstein GordonDirector
|
GrantRestricted Stock Units (RSU) · Derivative | 24,489 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-014595 · doc4.xml · derivative · entry 1 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,489 Underlying: Class A-1 Common Stock · 24,489 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A-1 Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: 100% of the RSUs will vest on December 31, 2020, subject to the Reporting Person's continuing service to the Issuer on the vesting date. F2 · derivative.expiration_date: 100% of the RSUs will vest on December 31, 2020, subject to the Reporting Person's continuing service to the Issuer on the vesting date. Read SEC document |
| January 14, 2020 Filed Jan 15, 2020 17:18 UTC |
CLAIRVEST GROUP INC10% owner
|
ConversionClass A-2 Common Stock · Derivative | 407,788 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003498 · doc4.xml · derivative · entry 2 CLAIRVEST GROUP INC · CIK 0001117988 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 815,580 Underlying: Class A-1 Common Stock · 407,788 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: No consideration was required in connection with the conversion. F4 · shares: Represents the disposition of shares of Class A-2 Common Stock upon conversion of such shares into an equal number of shares of Class A-1 Common Stock, as reported in Table I. F5 · price: The Issuer's Class A-2 Common Stock will be eligible to convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer and the other persons party thereto. If the Issuer undergoes an Acceleration Event (as defined therein) and the satisfaction of the applicable stock price or earnings thresholds cannot be determined at that time, then each share of Class A-2 Common Stock not previously converted into Class A-1 Common Stock will convert into Class A-1 Common Stock immediately prior to the consummation of such Acceleration Event. As of the date hereof, the first tranche of the Class A-2 Common Shares have been converted into Class A-1 Common Shares and two tranches of the Class A-2 Common Shares remain unconverted. The Class A-2 Common Stock has no expiration date. F5 · derivative.exercise_date: The Issuer's Class A-2 Common Stock will be eligible to convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer and the other persons party thereto. If the Issuer undergoes an Acceleration Event (as defined therein) and the satisfaction of the applicable stock price or earnings thresholds cannot be determined at that time, then each share of Class A-2 Common Stock not previously converted into Class A-1 Common Stock will convert into Class A-1 Common Stock immediately prior to the consummation of such Acceleration Event. As of the date hereof, the first tranche of the Class A-2 Common Shares have been converted into Class A-1 Common Shares and two tranches of the Class A-2 Common Shares remain unconverted. The Class A-2 Common Stock has no expiration date. F5 · derivative.expiration_date: The Issuer's Class A-2 Common Stock will be eligible to convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer and the other persons party thereto. If the Issuer undergoes an Acceleration Event (as defined therein) and the satisfaction of the applicable stock price or earnings thresholds cannot be determined at that time, then each share of Class A-2 Common Stock not previously converted into Class A-1 Common Stock will convert into Class A-1 Common Stock immediately prior to the consummation of such Acceleration Event. As of the date hereof, the first tranche of the Class A-2 Common Shares have been converted into Class A-1 Common Shares and two tranches of the Class A-2 Common Shares remain unconverted. The Class A-2 Common Stock has no expiration date. F3 · ownership.nature: The securities reported in this row are indirectly owned by the Reporting Person through Clairvest Equity Partners V Limited Partnership, an Ontario limited partnership ("CEP V"), Clairvest Equity Partners V-A Limited Partnership, an Ontario limited partnership ("CEP V-A"), and CEP V Co-Investment Limited Partnership, a Manitoba limited partnership ("CEP Co-Invest", and together with CEP V and CEP V-A, the "Clairvest Investors"), each of which is a wholly-owned indirect subsidiary of the Reporting Person. Read SEC document |
| January 14, 2020 Filed Jan 15, 2020 17:18 UTC |
CLAIRVEST GROUP INC10% owner
|
ConversionClass A-1 Common Stock | 407,788 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003498 · doc4.xml · nonDerivative · entry 1 CLAIRVEST GROUP INC · CIK 0001117988 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 16,649,659 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents the issuance of shares of Class A-1 Common Stock upon conversion of an equal number of shares of Class A-2 Common Stock upon the satisfaction of certain conditions as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer and the other persons party thereto. F2 · price: No consideration was required in connection with the conversion. F3 · ownership.nature: The securities reported in this row are indirectly owned by the Reporting Person through Clairvest Equity Partners V Limited Partnership, an Ontario limited partnership ("CEP V"), Clairvest Equity Partners V-A Limited Partnership, an Ontario limited partnership ("CEP V-A"), and CEP V Co-Investment Limited Partnership, a Manitoba limited partnership ("CEP Co-Invest", and together with CEP V and CEP V-A, the "Clairvest Investors"), each of which is a wholly-owned indirect subsidiary of the Reporting Person. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 16:04 UTC |
Peterson Karl Mr.Director
|
ConversionClass A-2 Common Stock · Derivative | 207,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-20-000302 · acel-form4_011420.xml · derivative · entry 2 Peterson Karl Mr. · CIK 0001425873 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 414,400 Underlying: Class A-1 Common Stock · 207,200 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 14, 2020, pursuant to the Amended and Restated Certificate of Incorporation of Accel Entertainment, Inc. (the "Issuer") and the Restricted Stock Agreement, dated as of November 20, 2019, the first tranche of shares of Class A-2 Common Stock ("Class A-2 Common Stock") of the Issuer held by Mr. Karl Peterson converted into an equal number of shares of Class A-1 Common Stock ("Class A-1 Common Stock") of the Issuer. The shares of Class A-2 Common Stock are convertible into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F1 · kind: On January 14, 2020, pursuant to the Amended and Restated Certificate of Incorporation of Accel Entertainment, Inc. (the "Issuer") and the Restricted Stock Agreement, dated as of November 20, 2019, the first tranche of shares of Class A-2 Common Stock ("Class A-2 Common Stock") of the Issuer held by Mr. Karl Peterson converted into an equal number of shares of Class A-1 Common Stock ("Class A-1 Common Stock") of the Issuer. The shares of Class A-2 Common Stock are convertible into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F1 · price: On January 14, 2020, pursuant to the Amended and Restated Certificate of Incorporation of Accel Entertainment, Inc. (the "Issuer") and the Restricted Stock Agreement, dated as of November 20, 2019, the first tranche of shares of Class A-2 Common Stock ("Class A-2 Common Stock") of the Issuer held by Mr. Karl Peterson converted into an equal number of shares of Class A-1 Common Stock ("Class A-1 Common Stock") of the Issuer. The shares of Class A-2 Common Stock are convertible into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F1 · derivative.exercise_date: On January 14, 2020, pursuant to the Amended and Restated Certificate of Incorporation of Accel Entertainment, Inc. (the "Issuer") and the Restricted Stock Agreement, dated as of November 20, 2019, the first tranche of shares of Class A-2 Common Stock ("Class A-2 Common Stock") of the Issuer held by Mr. Karl Peterson converted into an equal number of shares of Class A-1 Common Stock ("Class A-1 Common Stock") of the Issuer. The shares of Class A-2 Common Stock are convertible into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F1 · derivative.expiration_date: On January 14, 2020, pursuant to the Amended and Restated Certificate of Incorporation of Accel Entertainment, Inc. (the "Issuer") and the Restricted Stock Agreement, dated as of November 20, 2019, the first tranche of shares of Class A-2 Common Stock ("Class A-2 Common Stock") of the Issuer held by Mr. Karl Peterson converted into an equal number of shares of Class A-1 Common Stock ("Class A-1 Common Stock") of the Issuer. The shares of Class A-2 Common Stock are convertible into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F2 · ownership.nature: Held through personal vehicles. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 16:04 UTC |
Peterson Karl Mr.Director
|
ConversionClass A-1 Common Stock | 207,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-20-000302 · acel-form4_011420.xml · nonDerivative · entry 1 Peterson Karl Mr. · CIK 0001425873 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 2,775,646 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On January 14, 2020, pursuant to the Amended and Restated Certificate of Incorporation of Accel Entertainment, Inc. (the "Issuer") and the Restricted Stock Agreement, dated as of November 20, 2019, the first tranche of shares of Class A-2 Common Stock ("Class A-2 Common Stock") of the Issuer held by Mr. Karl Peterson converted into an equal number of shares of Class A-1 Common Stock ("Class A-1 Common Stock") of the Issuer. The shares of Class A-2 Common Stock are convertible into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F1 · price: On January 14, 2020, pursuant to the Amended and Restated Certificate of Incorporation of Accel Entertainment, Inc. (the "Issuer") and the Restricted Stock Agreement, dated as of November 20, 2019, the first tranche of shares of Class A-2 Common Stock ("Class A-2 Common Stock") of the Issuer held by Mr. Karl Peterson converted into an equal number of shares of Class A-1 Common Stock ("Class A-1 Common Stock") of the Issuer. The shares of Class A-2 Common Stock are convertible into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F2 · ownership.nature: Held through personal vehicles. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 22:00 UTC |
Ruttenberg David W.Director
|
ConversionClass A-2 Common Stock · Derivative | 4,693 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003719 · doc4.xml · derivative · entry 6 Ruttenberg David W. · CIK 0001794305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,388 Underlying: Class A-1 Common Stock · 4,693 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F4 · ownership.nature: Securities are held by Grant Place Fund LLC, of which the Reporting Person is the Manager. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 22:00 UTC |
Ruttenberg David W.Director
|
ConversionClass A-2 Common Stock · Derivative | 4,694 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003719 · doc4.xml · derivative · entry 5 Ruttenberg David W. · CIK 0001794305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,388 Underlying: Class A-1 Common Stock · 4,694 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F3 · ownership.nature: Securities are held by the Crilly Court Trust, of which the Reporting Person is a beneficiary. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 22:00 UTC |
Ruttenberg David W.Director
|
ConversionClass A-2 Common Stock · Derivative | 13,162 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003719 · doc4.xml · derivative · entry 4 Ruttenberg David W. · CIK 0001794305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 26,325 Underlying: Class A-1 Common Stock · 13,162 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F2 · ownership.nature: Securities are held by the David W. Ruttenberg Revocable Trust, of which the Reporting Person is the sole trustee. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 22:00 UTC |
Ruttenberg David W.Director
|
ConversionClass A-1 Common Stock | 4,693 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003719 · doc4.xml · nonDerivative · entry 3 Ruttenberg David W. · CIK 0001794305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 643,659 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F4 · ownership.nature: Securities are held by Grant Place Fund LLC, of which the Reporting Person is the Manager. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 22:00 UTC |
Ruttenberg David W.Director
|
ConversionClass A-1 Common Stock | 4,694 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003719 · doc4.xml · nonDerivative · entry 2 Ruttenberg David W. · CIK 0001794305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 643,677 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F3 · ownership.nature: Securities are held by the Crilly Court Trust, of which the Reporting Person is a beneficiary. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 22:00 UTC |
Ruttenberg David W.Director
|
ConversionClass A-1 Common Stock | 13,162 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003719 · doc4.xml · nonDerivative · entry 1 Ruttenberg David W. · CIK 0001794305 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 537,412 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F2 · ownership.nature: Securities are held by the David W. Ruttenberg Revocable Trust, of which the Reporting Person is the sole trustee. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:52 UTC |
Rubenstein Andrew H.Director · CEO and President · 10% owner
|
ConversionClass A-2 Common Stock · Derivative | 103,466 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003714 · doc4.xml · derivative · entry 4 Rubenstein Andrew H. · CIK 0001794156 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 206,932 Underlying: Class A-1 Common Stock · 103,466 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F2 · ownership.nature: Securities are held by Harry R, LLC, of which the Reporting Person is the sole Member. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:52 UTC |
Rubenstein Andrew H.Director · CEO and President · 10% owner
|
ConversionClass A-2 Common Stock · Derivative | 91,661 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003714 · doc4.xml · derivative · entry 3 Rubenstein Andrew H. · CIK 0001794156 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,324 Underlying: Class A-1 Common Stock · 91,661 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:52 UTC |
Rubenstein Andrew H.Director · CEO and President · 10% owner
|
ConversionClass A-1 Common Stock | 103,466 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003714 · doc4.xml · nonDerivative · entry 2 Rubenstein Andrew H. · CIK 0001794156 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,224,416 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F2 · ownership.nature: Securities are held by Harry R, LLC, of which the Reporting Person is the sole Member. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:52 UTC |
Rubenstein Andrew H.Director · CEO and President · 10% owner
|
ConversionClass A-1 Common Stock | 91,661 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003714 · doc4.xml · nonDerivative · entry 1 Rubenstein Andrew H. · CIK 0001794156 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,125,877 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:56 UTC |
Rubenstein GordonDirector
|
ConversionClass A-2 Common Stock · Derivative | 13,305 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003716 · doc4.xml · derivative · entry 8 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 26,612 Underlying: Class A-1 Common Stock · 13,305 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:56 UTC |
Rubenstein GordonDirector
|
ConversionClass A-2 Common Stock · Derivative | 42,530 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003716 · doc4.xml · derivative · entry 7 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 85,062 Underlying: Class A-1 Common Stock · 42,530 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F3 · ownership.nature: Securities are held by Fund Indy LLC, of which the Reporting Person is the sole Member. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:56 UTC |
Rubenstein GordonDirector
|
ConversionClass A-2 Common Stock · Derivative | 3,538 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003716 · doc4.xml · derivative · entry 6 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,076 Underlying: Class A-1 Common Stock · 3,538 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F2 · ownership.nature: Securities are held by the Gordon Rubenstein and Krista M. Ramonas Joint Revocable Trust, of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:56 UTC |
Rubenstein GordonDirector
|
ConversionClass A-2 Common Stock · Derivative | 8,749 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003716 · doc4.xml · derivative · entry 5 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Class A-1 Common Stock · 8,749 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:56 UTC |
Rubenstein GordonDirector
|
ConversionClass A-1 Common Stock | 13,305 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003716 · doc4.xml · nonDerivative · entry 4 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 543,261 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:56 UTC |
Rubenstein GordonDirector
|
ConversionClass A-1 Common Stock | 42,530 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003716 · doc4.xml · nonDerivative · entry 3 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,847,497 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F3 · ownership.nature: Securities are held by Fund Indy LLC, of which the Reporting Person is the sole Member. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:56 UTC |
Rubenstein GordonDirector
|
ConversionClass A-1 Common Stock | 3,538 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003716 · doc4.xml · nonDerivative · entry 2 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 255,453 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F2 · ownership.nature: Securities are held by the Gordon Rubenstein and Krista M. Ramonas Joint Revocable Trust, of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:56 UTC |
Rubenstein GordonDirector
|
ConversionClass A-1 Common Stock | 8,749 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003716 · doc4.xml · nonDerivative · entry 1 Rubenstein Gordon · CIK 0001794004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 357,246 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:49 UTC |
Phelan Mark T.Chief Revenue Officer
|
ConversionClass A-2 Common Stock · Derivative | 920 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003712 · doc4.xml · derivative · entry 2 Phelan Mark T. · CIK 0001794567 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,840 Underlying: Class A-1 Common Stock · 920 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:49 UTC |
Phelan Mark T.Chief Revenue Officer
|
ConversionClass A-1 Common Stock | 920 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003712 · doc4.xml · nonDerivative · entry 1 Phelan Mark T. · CIK 0001794567 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,565 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:46 UTC |
Harmer DerekSecretary
|
ConversionClass A-2 Common Stock · Derivative | 4,066 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003709 · doc4.xml · derivative · entry 2 Harmer Derek · CIK 0001794002 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,134 Underlying: Class A-1 Common Stock · 4,066 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:46 UTC |
Harmer DerekSecretary
|
ConversionClass A-1 Common Stock | 4,066 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003709 · doc4.xml · nonDerivative · entry 1 Harmer Derek · CIK 0001794002 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,473 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:42 UTC |
Carroll Brian M.Chief Financial Officer
|
ConversionClass A-2 Common Stock · Derivative | 7,642 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003700 · doc4.xml · derivative · entry 2 Carroll Brian M. · CIK 0001794304 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,285 Underlying: Class A-1 Common Stock · 7,642 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.exercise_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. F1 · derivative.expiration_date: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| January 14, 2020 Filed Jan 16, 2020 21:42 UTC |
Carroll Brian M.Chief Financial Officer
|
ConversionClass A-1 Common Stock | 7,642 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-003700 · doc4.xml · nonDerivative · entry 1 Carroll Brian M. · CIK 0001794304 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 322,982 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents the automatic conversion of a portion of the shares of the Issuer's Class A-2 Common Stock into shares of the Issuer's Class A-1 Common Stock. The Issuer's Class A-2 Common Stock will automatically convert into an equal number of the Issuer's Class A-1 Common Stock in three separate tranches, with no action required of the holder thereof, upon the satisfaction of certain predetermined stock price or earnings thresholds as set forth in the Restricted Stock Agreement dated as of November 20, 2019, by and among the Issuer, the Reporting Person and the other persons party thereto. The first stock price threshold was achieved on January 14, 2020. The Class A-2 Common Stock has no expiration date. Read SEC document |
| November 20, 2019 Filed Nov 22, 2019 18:22 UTC |
TPG Group Holdings (SBS) Advisors, Inc.Former Director and 10% Owner
BONDERMAN DAVIDFormer Director and 10% Owner
COULTER JAMES GFormer Director and 10% Owner
|
OtherWarrants (right to buy) · Derivative | 2,449,077 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001387131-19-008986 · tpg-form4_112019.xml · derivative · entry 11 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · Former Director and 10% Owner BONDERMAN DAVID · CIK 0000860866 · Former Director and 10% Owner COULTER JAMES G · CIK 0001099776 · Former Director and 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 2,439,812 Underlying: Class A-1 Common Stock · 2,449,077 shares Expires 2024-12-20 F6 · kind: Effective November 20, 2019, in connection with the Business Combination, Pace II Sponsor distributed, in accordance with its limited liability company agreement, all of its Class A-1 Common Stock, Class A-2 Common Stock and Warrants pro rata to its members, including TPG Pace Governance, LLC ("TPG Pace Governance"). F6 · price: Effective November 20, 2019, in connection with the Business Combination, Pace II Sponsor distributed, in accordance with its limited liability company agreement, all of its Class A-1 Common Stock, Class A-2 Common Stock and Warrants pro rata to its members, including TPG Pace Governance, LLC ("TPG Pace Governance"). F6 · ownership.nature: Effective November 20, 2019, in connection with the Business Combination, Pace II Sponsor distributed, in accordance with its limited liability company agreement, all of its Class A-1 Common Stock, Class A-2 Common Stock and Warrants pro rata to its members, including TPG Pace Governance, LLC ("TPG Pace Governance"). F9 · ownership.nature: Excluding shares of Class A-1 Common Stock directly held by TPG Pace Governance, Mr. Coulter holds directly or indirectly 97,848 shares of Class A-1 Common Stock. F11 · ownership.nature: Because of the relationship between the Reporting Persons, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of their respective direct or indirect pecuniary interests therein. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. F12 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. F13 · ownership.nature: The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. Read SEC document |
| November 20, 2019 Filed Nov 22, 2019 18:22 UTC |
TPG Group Holdings (SBS) Advisors, Inc.Former Director and 10% Owner
BONDERMAN DAVIDFormer Director and 10% Owner
COULTER JAMES GFormer Director and 10% Owner
|
OtherClass A-2 Common Stock · Derivative | 1,001,895 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001387131-19-008986 · tpg-form4_112019.xml · derivative · entry 10 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · Former Director and 10% Owner BONDERMAN DAVID · CIK 0000860866 · Former Director and 10% Owner COULTER JAMES G · CIK 0001099776 · Former Director and 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 998,105 Underlying: Class A-1 Common Stock · 1,001,895 shares Expires not disclosed F3 · derivative.exercise_price: On November 20, 2019 in connection with the Business Combination, Pace II Sponsor exchanged with the Issuer 2,000,000 shares of Class F Common Stock for an equal number of shares of Class A-2 Common Stock, par value $0.0001 per share ("Class A-2 Common Stock"), of the Issuer. Pursuant to the Certificate of Incorporation and the Restricted Stock Agreement, dated as of November 20, 2019, the shares of Class A-2 Common Stock are exchangeable into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F6 · kind: Effective November 20, 2019, in connection with the Business Combination, Pace II Sponsor distributed, in accordance with its limited liability company agreement, all of its Class A-1 Common Stock, Class A-2 Common Stock and Warrants pro rata to its members, including TPG Pace Governance, LLC ("TPG Pace Governance"). F6 · price: Effective November 20, 2019, in connection with the Business Combination, Pace II Sponsor distributed, in accordance with its limited liability company agreement, all of its Class A-1 Common Stock, Class A-2 Common Stock and Warrants pro rata to its members, including TPG Pace Governance, LLC ("TPG Pace Governance"). F3 · derivative.exercise_date: On November 20, 2019 in connection with the Business Combination, Pace II Sponsor exchanged with the Issuer 2,000,000 shares of Class F Common Stock for an equal number of shares of Class A-2 Common Stock, par value $0.0001 per share ("Class A-2 Common Stock"), of the Issuer. Pursuant to the Certificate of Incorporation and the Restricted Stock Agreement, dated as of November 20, 2019, the shares of Class A-2 Common Stock are exchangeable into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F3 · derivative.expiration_date: On November 20, 2019 in connection with the Business Combination, Pace II Sponsor exchanged with the Issuer 2,000,000 shares of Class F Common Stock for an equal number of shares of Class A-2 Common Stock, par value $0.0001 per share ("Class A-2 Common Stock"), of the Issuer. Pursuant to the Certificate of Incorporation and the Restricted Stock Agreement, dated as of November 20, 2019, the shares of Class A-2 Common Stock are exchangeable into shares of Class A-1 Common Stock on a one-for-one basis, subject to adjustment, in three separate tranches upon the satisfaction of certain triggers based on the Issuer's financial performance, or upon certain other events, subject to certain exceptions as set forth in the Restricted Stock Agreement. F6 · ownership.nature: Effective November 20, 2019, in connection with the Business Combination, Pace II Sponsor distributed, in accordance with its limited liability company agreement, all of its Class A-1 Common Stock, Class A-2 Common Stock and Warrants pro rata to its members, including TPG Pace Governance, LLC ("TPG Pace Governance"). F8 · ownership.nature: David Bonderman and James G. Coulter are the sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole shareholder of TPG Holdings III-A, Inc., which is the general partner of TPG Holdings III-A, L.P., which is the general partner of TPG Holdings III, L.P., which is the sole member of TPG Pace Governance, which, following the transactions described herein holds (i) 3,740,931 shares of Class A-1 Common Stock, (ii) 998,105 shares of Class A-2 Common Stock and (iii) 2,439,812 Warrants. F10 · ownership.nature: As a result of the transactions described herein, the Reporting Persons are no longer entitled to designate an individual for inclusion in the slate of nominees recommended by the Issuer's board of directors for election as a director. F11 · ownership.nature: Because of the relationship between the Reporting Persons, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of their respective direct or indirect pecuniary interests therein. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. F12 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
| November 20, 2019 Filed Nov 22, 2019 18:22 UTC |
TPG Group Holdings (SBS) Advisors, Inc.Former Director and 10% Owner
BONDERMAN DAVIDFormer Director and 10% Owner
COULTER JAMES GFormer Director and 10% Owner
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Disposition to issuerClass F Common Stock · Derivative | 7,800,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001387131-19-008986 · tpg-form4_112019.xml · derivative · entry 9 TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · Former Director and 10% Owner BONDERMAN DAVID · CIK 0000860866 · Former Director and 10% Owner COULTER JAMES G · CIK 0001099776 · Former Director and 10% Owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 Underlying: Class A-1 Common Stock · 7,800,000 shares Expires not disclosed F2 · derivative.exercise_price: On November 20, 2019 in connection with the acquisition by the Issuer of all of the issued and outstanding shares of common stock and preferred stock of Accel Entertainment, Inc. (the "Business Combination"), TPG Pace II Sponsor, LLC ("Pace II Sponsor") surrendered to the Issuer for cancellation at no cost 1,250,000 shares of Class F Common Stock. Pursuant to the Issuer's Amended and Restated Certificate of Incorporation (the "Certificate of Incorporation") (and previously the Issuer's Amended & Restated Memorandum and Articles of Association), the shares of Class F Common Stock had been automatically convertible into shares of Class A-1 Common Stock (previously Class A Ordinary Shares) of the Issuer at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment. F2 · derivative.exercise_date: On November 20, 2019 in connection with the acquisition by the Issuer of all of the issued and outstanding shares of common stock and preferred stock of Accel Entertainment, Inc. (the "Business Combination"), TPG Pace II Sponsor, LLC ("Pace II Sponsor") surrendered to the Issuer for cancellation at no cost 1,250,000 shares of Class F Common Stock. Pursuant to the Issuer's Amended and Restated Certificate of Incorporation (the "Certificate of Incorporation") (and previously the Issuer's Amended & Restated Memorandum and Articles of Association), the shares of Class F Common Stock had been automatically convertible into shares of Class A-1 Common Stock (previously Class A Ordinary Shares) of the Issuer at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment. F2 · derivative.expiration_date: On November 20, 2019 in connection with the acquisition by the Issuer of all of the issued and outstanding shares of common stock and preferred stock of Accel Entertainment, Inc. (the "Business Combination"), TPG Pace II Sponsor, LLC ("Pace II Sponsor") surrendered to the Issuer for cancellation at no cost 1,250,000 shares of Class F Common Stock. Pursuant to the Issuer's Amended and Restated Certificate of Incorporation (the "Certificate of Incorporation") (and previously the Issuer's Amended & Restated Memorandum and Articles of Association), the shares of Class F Common Stock had been automatically convertible into shares of Class A-1 Common Stock (previously Class A Ordinary Shares) of the Issuer at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment. F1 · ownership.nature: On November 20, 2019, TPG Pace Holdings Corp. (renamed as Accel Entertainment, Inc., the "Issuer") domesticated as a Delaware corporation whereupon (i) each Class F Ordinary Share, par value $0.0001 per share, of the Issuer became one share of Class F Common Stock, par value $0.0001 per share ("Class F Common Stock"), of the Issuer, and (ii) each warrant ("Warrant") exercisable for one Class A Ordinary Share, par value $0.0001 per share, of the Issuer entitled the holder to acquire a corresponding number of shares of Class A-1 Common Stock, par value $0.0001 per share ("Class A-1 Common Stock"), of the Issuer. F5 · ownership.nature: On November 20, 2019 in connection with the Business Combination, the remaining shares of Class F Common Stock held by Pace II Sponsor following the transactions described above were exchanged for an equal number of shares of Class A-1 Common Stock. F8 · ownership.nature: David Bonderman and James G. Coulter are the sole shareholders of TPG Group Holdings (SBS) Advisors, Inc. (together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole shareholder of TPG Holdings III-A, Inc., which is the general partner of TPG Holdings III-A, L.P., which is the general partner of TPG Holdings III, L.P., which is the sole member of TPG Pace Governance, which, following the transactions described herein holds (i) 3,740,931 shares of Class A-1 Common Stock, (ii) 998,105 shares of Class A-2 Common Stock and (iii) 2,439,812 Warrants. F10 · ownership.nature: As a result of the transactions described herein, the Reporting Persons are no longer entitled to designate an individual for inclusion in the slate of nominees recommended by the Issuer's board of directors for election as a director. F11 · ownership.nature: Because of the relationship between the Reporting Persons, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of their respective direct or indirect pecuniary interests therein. Each Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein, if any. F12 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.