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Nasdaq · USD

ACRS

Aclaris Therapeutics, Inc.

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Tapewire entity
5041
SEC CIK
0001557746
Parsed reports
365

Last 12 months

Inside the activity.

0 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202601
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Insider transactions

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 02, 2024 Filed Dec 3, 2024 17:42 UTC
Davis Hugh M.Director · President and COO
GrantEmployee Stock Option (Right to Buy) · Derivative 375,000 $0.00 Strike: $3.96 $0.00
Disclosure

SEC source: 0001415889-24-028178 · form4-12032024_101234.xml · derivative · entry 1

Davis Hugh M. · CIK 0002045027 · Director · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,000

Underlying: Common Stock · 375,000 shares

Expires 2034-12-01

F1 · shares: The securities were granted pursuant to the Issuer's 2024 Inducement Plan (the "Plan") as a material inducement to the Reporting Person's acceptance of employment with the Issuer in accordance with Nasdaq Listing Rule 5635(c)(4).

F2 · derivative.exercise_date: Exercisable with respect to 25% of the shares subject to the option vesting on each of the first, second, third and fourth anniversaries of December 2, 2024 (in each case rounded down to the nearest whole share, except for the last vesting installment), subject to recipient's Continuous Service (as defined in the Plan) through each such date.

Read SEC document
December 01, 2024 Filed Dec 3, 2024 21:15 UTC
Walker NealDirector · INTERIM CEO
Exercise / conversionRestricted Stock Units · Derivative 9,466 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-028074 · form4-12032024_041203.xml · derivative · entry 3

Walker Neal · CIK 0001604457 · Director · INTERIM CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,334

Underlying: Common Stock · 9,466 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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

F3 · derivative.exercise_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

F3 · derivative.expiration_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

Read SEC document
December 01, 2024 Filed Dec 3, 2024 21:15 UTC
Walker NealDirector · INTERIM CEO
Tax withholdingCommon Stock 2,721 $4.07 $11,074.47
Disclosure

SEC source: 0001415889-24-028074 · form4-12032024_041203.xml · nonDerivative · entry 2

Walker Neal · CIK 0001604457 · Director · INTERIM CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,383,133

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of restricted stock units described in this Form 4.

Read SEC document
December 01, 2024 Filed Dec 3, 2024 21:15 UTC
Walker NealDirector · INTERIM CEO
Exercise / conversionCommon Stock 9,466 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-028074 · form4-12032024_041203.xml · nonDerivative · entry 1

Walker Neal · CIK 0001604457 · Director · INTERIM CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,385,854

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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

Read SEC document
November 19, 2024 Filed Nov 20, 2024 21:20 UTC
Mehra AnandDirector
PurchaseCommon Stock 666,666 $2.25 $1,499,998.50
Disclosure

SEC source: 0001415889-24-027348 · form4-11202024_041101.xml · nonDerivative · entry 1

Mehra Anand · CIK 0001590102 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 710,030

F1 · shares: Represents shares of Common Stock of the Issuer acquired from the Issuer pursuant to Rule 16b-3(d).

Read SEC document
November 01, 2024 Filed Nov 5, 2024 21:20 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 9,467 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-026138 · form4-11052024_041101.xml · derivative · entry 3

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,800

Underlying: Common Stock · 9,467 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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

F3 · derivative.exercise_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

F3 · derivative.expiration_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

Read SEC document
November 01, 2024 Filed Nov 5, 2024 21:20 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Tax withholdingCommon Stock 2,721 $2.09 $5,686.89
Disclosure

SEC source: 0001415889-24-026138 · form4-11052024_041101.xml · nonDerivative · entry 2

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,376,388

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of restricted stock units described in this Form 4.

Read SEC document
November 01, 2024 Filed Nov 5, 2024 21:20 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionCommon Stock 9,467 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-026138 · form4-11052024_041101.xml · nonDerivative · entry 1

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,379,109

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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 9,467 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-024608 · form4-10032024_041004.xml · derivative · entry 3

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,267

Underlying: Common Stock · 9,467 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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

F3 · derivative.exercise_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

F3 · derivative.expiration_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Tax withholdingCommon Stock 2,722 $1.18 $3,211.96
Disclosure

SEC source: 0001415889-24-024608 · form4-10032024_041004.xml · nonDerivative · entry 2

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,369,642

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of restricted stock units described in this Form 4.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionCommon Stock 9,467 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-024608 · form4-10032024_041004.xml · nonDerivative · entry 1

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,372,364

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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

Read SEC document
September 01, 2024 Filed Sep 4, 2024 21:08 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 9,466 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-022794 · form4-09042024_080935.xml · derivative · entry 3

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,734

Underlying: Common Stock · 9,466 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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

F3 · derivative.exercise_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

F3 · derivative.expiration_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

Read SEC document
September 01, 2024 Filed Sep 4, 2024 21:08 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Tax withholdingCommon Stock 2,722 $1.18 $3,211.96
Disclosure

SEC source: 0001415889-24-022794 · form4-09042024_080935.xml · nonDerivative · entry 2

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,362,897

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of restricted stock units described in this Form 4.

Read SEC document
September 01, 2024 Filed Sep 4, 2024 21:08 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionCommon Stock 9,466 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-022794 · form4-09042024_080935.xml · nonDerivative · entry 1

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,365,619

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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

Read SEC document
September 01, 2024 Filed Sep 4, 2024 23:52 UTC
Balthaser KevinChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-022825 · form4-09042024_100921.xml · derivative · entry 3

Balthaser Kevin · CIK 0001957554 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 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: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F3 · derivative.exercise_date: The shares underlying these restricted stock units vested on September 1, 2024, subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

F3 · derivative.expiration_date: The shares underlying these restricted stock units vested on September 1, 2024, subject to the reporting person's continuous service with the issuer as of the applicable vesting date.

Read SEC document
September 01, 2024 Filed Sep 4, 2024 23:52 UTC
Balthaser KevinChief Financial Officer
Tax withholdingCommon Stock 286 $1.18 $337.48
Disclosure

SEC source: 0001415889-24-022825 · form4-09042024_100921.xml · nonDerivative · entry 2

Balthaser Kevin · CIK 0001957554 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,697

F2 · kind: The transaction reported represents the withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of restricted stock units described in this Form 4.

Read SEC document
September 01, 2024 Filed Sep 4, 2024 23:52 UTC
Balthaser KevinChief Financial Officer
Exercise / conversionCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-022825 · form4-09042024_100921.xml · nonDerivative · entry 1

Balthaser Kevin · CIK 0001957554 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,983

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: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
August 09, 2024 Filed Aug 13, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 43,548 $0.00 Strike: $0.72 $0.00
Disclosure

SEC source: 0001415889-24-021154 · form4-08132024_040801.xml · derivative · entry 2

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 43,548 shares

Expires 2024-08-12

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_date: Fully vested and exercisable.

Read SEC document
August 09, 2024 Filed Aug 13, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionCommon Stock 43,548 $0.72 $31,354.56
Disclosure

SEC source: 0001415889-24-021154 · form4-08132024_040801.xml · nonDerivative · entry 1

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,356,153

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.

Read SEC document
August 05, 2024 Filed Aug 5, 2024 19:57 UTC PurchaseCommon Stock 206,025 $1.24 $256,356.91
Disclosure

SEC source: 0001373604-24-000060 · form4.xml · nonDerivative · entry 2

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 14,250,000

F3 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.2443 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
August 02, 2024 Filed Aug 5, 2024 19:57 UTC PurchaseCommon Stock 167,544 $1.29 $216,399.83
Disclosure

SEC source: 0001373604-24-000060 · form4.xml · nonDerivative · entry 1

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 14,043,975

F2 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.2916 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
August 01, 2024 Filed Aug 5, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 9,467 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-020740 · form4-08052024_040814.xml · derivative · entry 3

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,200

Underlying: Common Stock · 9,467 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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

F3 · derivative.exercise_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

F3 · derivative.expiration_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

Read SEC document
August 01, 2024 Filed Aug 5, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Tax withholdingCommon Stock 2,722 $1.32 $3,593.04
Disclosure

SEC source: 0001415889-24-020740 · form4-08052024_040814.xml · nonDerivative · entry 2

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,312,605

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of restricted stock units described in this Form 4.

Read SEC document
August 01, 2024 Filed Aug 5, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionCommon Stock 9,467 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-020740 · form4-08052024_040814.xml · nonDerivative · entry 1

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,315,327

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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

Read SEC document
July 31, 2024 Filed Jul 31, 2024 20:10 UTC PurchaseCommon Stock 100,000 $1.33 $132,640.00
Disclosure

SEC source: 0001373604-24-000056 · form4.xml · nonDerivative · entry 2

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 13,876,421

F3 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.3264 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
July 30, 2024 Filed Jul 31, 2024 20:10 UTC PurchaseCommon Stock 173,730 $1.30 $226,370.19
Disclosure

SEC source: 0001373604-24-000056 · form4.xml · nonDerivative · entry 1

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 13,776,421

F2 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.303 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
July 22, 2024 Filed Jul 22, 2024 20:03 UTC PurchaseCommon Stock 17,716 $1.33 $23,556.97
Disclosure

SEC source: 0001373604-24-000052 · form4.xml · nonDerivative · entry 3

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 13,602,691

F4 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.3297per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
July 19, 2024 Filed Jul 22, 2024 20:03 UTC PurchaseCommon Stock 6,689 $1.30 $8,695.70
Disclosure

SEC source: 0001373604-24-000052 · form4.xml · nonDerivative · entry 2

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 13,584,975

F3 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.30 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

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July 18, 2024 Filed Jul 22, 2024 20:03 UTC PurchaseCommon Stock 130,317 $1.30 $169,555.45
Disclosure

SEC source: 0001373604-24-000052 · form4.xml · nonDerivative · entry 1

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 13,578,286

F2 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.3011 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

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July 05, 2024 Filed Jul 5, 2024 18:46 UTC PurchaseCommon Stock 123,017 $1.15 $141,334.23
Disclosure

SEC source: 0001373604-24-000045 · form4.xml · nonDerivative · entry 3

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 13,447,969

F4 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.1489per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

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July 03, 2024 Filed Jul 5, 2024 18:46 UTC PurchaseCommon Stock 143,288 $1.16 $166,070.79
Disclosure

SEC source: 0001373604-24-000045 · form4.xml · nonDerivative · entry 2

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 13,324,952

F3 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.159 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

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July 02, 2024 Filed Jul 5, 2024 18:46 UTC PurchaseCommon Stock 86,092 $1.14 $98,489.25
Disclosure

SEC source: 0001373604-24-000045 · form4.xml · nonDerivative · entry 1

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 13,181,664

F2 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.144 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

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July 01, 2024 Filed Jul 1, 2024 17:39 UTC PurchaseCommon Stock 107,434 $1.14 $122,184.69
Disclosure

SEC source: 0001373604-24-000042 · form4.xml · nonDerivative · entry 4

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 13,095,572

F4 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.1373per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

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July 01, 2024 Filed Jul 3, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionRestricted Stock Units · Derivative 9,467 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019172 · form4-07032024_040707.xml · derivative · entry 3

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,667

Underlying: Common Stock · 9,467 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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

F3 · derivative.exercise_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

F3 · derivative.expiration_date: The shares vest in equal monthly installments over 15 months beginning February 1, 2024, subject to the Continuous Service (as defined in the Plan) of the Reporting Person as the Interim CEO to the Company as of each such vesting date, provided that in the event he ceases to be Interim CEO but continues to provide Continuous Service in any capacity, such awards will continue to vest in the event that the Issuer's Board of Directors determines in its sole discretion that he achieved the Performance Goals (as defined in his letter agreement of employment as Interim CEO) prior to the cessation of his employment as Interim CEO.

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July 01, 2024 Filed Jul 3, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Tax withholdingCommon Stock 2,722 $1.15 $3,130.30
Disclosure

SEC source: 0001415889-24-019172 · form4-07032024_040707.xml · nonDerivative · entry 2

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,305,860

F2 · kind: The transaction reported represents the withholding of shares by the issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of restricted stock units described in this Form 4.

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July 01, 2024 Filed Jul 3, 2024 20:15 UTC
Walker NealDirector · INTERIM PRESIDENT AND CEO
Exercise / conversionCommon Stock 9,467 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-019172 · form4-07032024_040707.xml · nonDerivative · entry 1

Walker Neal · CIK 0001604457 · Director · INTERIM PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,308,582

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: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

Read SEC document
June 28, 2024 Filed Jul 1, 2024 17:39 UTC PurchaseCommon Stock 400,000 $1.13 $452,000.00
Disclosure

SEC source: 0001373604-24-000042 · form4.xml · nonDerivative · entry 3

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 12,988,134

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 28, 2024 Filed Jul 1, 2024 17:39 UTC PurchaseCommon Stock 801,000 $1.12 $896,559.30
Disclosure

SEC source: 0001373604-24-000042 · form4.xml · nonDerivative · entry 2

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 12,588,134

F3 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.1193 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 17:39 UTC PurchaseCommon Stock 235,000 $1.15 $271,331.00
Disclosure

SEC source: 0001373604-24-000042 · form4.xml · nonDerivative · entry 1

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 11,787,134

F2 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.1546 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 18, 2024 Filed Jun 18, 2024 20:04 UTC PurchaseCommon Stock 50,000 $1.13 $56,505.00
Disclosure

SEC source: 0001373604-24-000037 · form4.xml · nonDerivative · entry 3

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 11,552,134

F4 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.1301per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 17, 2024 Filed Jun 18, 2024 20:04 UTC PurchaseCommon Stock 150,000 $1.13 $169,500.00
Disclosure

SEC source: 0001373604-24-000037 · form4.xml · nonDerivative · entry 2

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P

Disclosed balance after: 11,502,134

F3 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.13 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 14, 2024 Filed Jun 18, 2024 20:04 UTC PurchaseCommon Stock 345,000 $1.17 $402,201.00
Disclosure

SEC source: 0001373604-24-000037 · form4.xml · nonDerivative · entry 1

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 11,352,134

F2 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.1658 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 13, 2024 Filed Jun 13, 2024 22:04 UTC PurchaseCommon Stock 500,000 $1.15 $575,000.00
Disclosure

SEC source: 0001373604-24-000035 · form4.xml · nonDerivative · entry 4

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 11,007,134

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 13, 2024 Filed Jun 13, 2024 22:04 UTC PurchaseCommon Stock 28,621 $1.14 $32,756.73
Disclosure

SEC source: 0001373604-24-000035 · form4.xml · nonDerivative · entry 3

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 10,507,134

F3 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.1445 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 12, 2024 Filed Jun 13, 2024 22:04 UTC PurchaseCommon Stock 82,579 $1.14 $94,140.06
Disclosure

SEC source: 0001373604-24-000035 · form4.xml · nonDerivative · entry 2

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 10,478,513

F2 · price: Represents shares purchased in multiple transactions resulting in a weighted average purchase price of $1.14 per share. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range.

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 11, 2024 Filed Jun 13, 2024 22:04 UTC PurchaseCommon Stock 1,000,000 $1.08 $1,080,000.00
Disclosure

SEC source: 0001373604-24-000035 · form4.xml · nonDerivative · entry 1

Leonard Braden Michael · CIK 0001373603 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Holding of BML Investment Partners, L.P.

Disclosed balance after: 10,395,934

F1 · ownership.nature: BML Capital Management, LLC ("BML Capital") serves as the general partner of BML Investment Partners, L.P., a Delaware limited partnership (the "Fund"), which is the direct owner of the subject shares. Mr. Leonard is the managing member of BML Capital, and exercises investment and voting control over the subject shares. Accordingly, shares owned directly by the Fund may be regarded as being beneficially owned by Mr. Leonard. Notwithstanding, Mr. Leonard disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
June 06, 2024 Filed Jun 10, 2024 16:15 UTC GrantRestricted Stock Units · Derivative 4,793 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016193 · form4-06102024_040605.xml · derivative · entry 2

SCHIFF ANDREW N · CIK 0001172252 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,793

Underlying: Common Stock · 4,793 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

F4 · derivative.exercise_date: The shares underlying these restricted stock units will vest on June 6, 2025, subject to the Reporting Person's continuous service through such date.

F4 · derivative.expiration_date: The shares underlying these restricted stock units will vest on June 6, 2025, subject to the Reporting Person's continuous service through such date.

F2 · balance_after: This grant was made pursuant to the issuer's ninth amended and restated non-employee director compensation policy.

Read SEC document
June 06, 2024 Filed Jun 10, 2024 16:15 UTC GrantStock Option (Right to Buy) · Derivative 15,750 $0.00 Strike: $1.03 $0.00
Disclosure

SEC source: 0001415889-24-016193 · form4-06102024_040605.xml · derivative · entry 1

SCHIFF ANDREW N · CIK 0001172252 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,750

Underlying: Common Stock · 15,750 shares

Expires 2034-06-05

F1 · derivative.exercise_date: The shares subject to this option will vest in twelve equal monthly installments commencing July 6, 2024, subject to Reporting Person's continuous service through each such date.

F2 · balance_after: This grant was made pursuant to the issuer's ninth amended and restated non-employee director compensation policy.

Read SEC document
June 06, 2024 Filed Jun 10, 2024 20:15 UTC GrantRestricted Stock Units · Derivative 4,793 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-016197 · form4-06102024_040613.xml · derivative · entry 2

Humphries William D. · CIK 0001674278 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,793

Underlying: Common Stock · 4,793 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the issuer.

F4 · derivative.exercise_date: The shares underlying these restricted stock units will vest on June 6, 2025, subject to the Reporting Person's continuous service through such date.

F4 · derivative.expiration_date: The shares underlying these restricted stock units will vest on June 6, 2025, subject to the Reporting Person's continuous service through such date.

F2 · balance_after: This grant was made pursuant to the issuer's ninth amended and restated non-employee director compensation policy.

Read SEC document
June 06, 2024 Filed Jun 10, 2024 20:15 UTC GrantStock Option (Right to Buy) · Derivative 15,750 $0.00 Strike: $1.03 $0.00
Disclosure

SEC source: 0001415889-24-016197 · form4-06102024_040613.xml · derivative · entry 1

Humphries William D. · CIK 0001674278 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,750

Underlying: Common Stock · 15,750 shares

Expires 2034-06-05

F1 · derivative.exercise_date: The shares subject to this option will vest in twelve equal monthly installments commencing July 6, 2024, subject to Reporting Person's continuous service through each such date.

F2 · balance_after: This grant was made pursuant to the issuer's ninth amended and restated non-employee director compensation policy.

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.