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Nasdaq · USD

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Arteris, Inc.

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Tapewire entity
2399
SEC CIK
0001667011
Parsed reports
448

Last 12 months

Inside the activity.

0 purchase rows · 223 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202504
Dec 2025020
Jan 2026024
Feb 202608
Mar 2026010
Apr 2026029
May 2026013
Jun 2026015
Jul 2026060
Aug 2026017
Sep 202605
Oct 2026018

Latest available

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
July 13, 2023 Filed Jul 17, 2023 21:29 UTC
Alpern Paul LVP and General Counsel
Exercise / conversionCommon Stock 1,532 $0.60 $919.20
Disclosure

SEC source: 0001562180-23-005916 · primarydocument.xml · nonDerivative · entry 1

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,762

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: Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on March 10, 2023.

F2 · shares: 25% of the total shares shall vest on July 23 2021; thereafter, 1/48th of the total shares shall vest monthly for 3 years beginning on August 23, 2021.

Read SEC document
July 05, 2023 Filed Jul 6, 2023 20:24 UTC
JANAC K CHARLESDirector · President and CEO · 10% owner
SaleCommon Stock 4,804 $7.03 $33,762.99
Disclosure

SEC source: 0001562180-23-005772 · primarydocument.xml · nonDerivative · entry 2

JANAC K CHARLES · CIK 0001068987 · Director · President and CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 235,844

F2 · shares: Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on March 12, 2023.

F3 · price: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.88 to $7.23 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · balance_after: Includes 135,844 restricted stock units.

Read SEC document
July 05, 2023 Filed Jul 6, 2023 20:24 UTC GrantCommon Stock 2,016 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005775 · primarydocument.xml · nonDerivative · entry 1

Munce Claudia F. · CIK 0001668897 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,196

F1 · shares: Fully vested restricted stock. The restricted stock represents retainer fees that the Reporting Person elected to receive in the form of shares of common stock in lieu of cash.

Read SEC document
July 05, 2023 Filed Jul 6, 2023 20:24 UTC GrantCommon Stock 2,291 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005773 · primarydocument.xml · nonDerivative · entry 1

RAZA SAIYED ATIQ · CIK 0001184563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,318

F1 · shares: Fully vested restricted stock. The restricted stock represents retainer fees that the Reporting Person elected to receive in the form of shares of common stock in lieu of cash.

Read SEC document
July 05, 2023 Filed Jul 6, 2023 20:23 UTC
Moll Laurent RChief Operating Officer
SaleCommon Stock 668 $7.02 $4,688.22
Disclosure

SEC source: 0001562180-23-005771 · primarydocument.xml · nonDerivative · entry 2

Moll Laurent R · CIK 0001888601 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 602,802

F2 · shares: Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on March 16, 2023.

F3 · price: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.90 to $7.18 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · balance_after: Includes 518,711 restricted stock units.

Read SEC document
July 05, 2023 Filed Jul 6, 2023 20:23 UTC
Alpern Paul LVP and General Counsel
SaleCommon Stock 1,748 $7.02 $12,276.20
Disclosure

SEC source: 0001562180-23-005768 · primarydocument.xml · nonDerivative · entry 2

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 44,230

F2 · shares: Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on March 10, 2023.

F3 · price: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.90 to $7.18 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · balance_after: Includes 44,230 restricted stock units.

Read SEC document
July 03, 2023 Filed Jul 6, 2023 20:24 UTC
JANAC K CHARLESDirector · President and CEO · 10% owner
Tax withholdingCommon Stock 2,540 $6.82 $17,322.80
Disclosure

SEC source: 0001562180-23-005772 · primarydocument.xml · nonDerivative · entry 1

JANAC K CHARLES · CIK 0001068987 · Director · President and CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 240,648

F1 · shares: The reported transaction involved the withholding of 2,540 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

Read SEC document
July 03, 2023 Filed Jul 6, 2023 20:23 UTC
Moll Laurent RChief Operating Officer
Tax withholdingCommon Stock 1,768 $6.82 $12,057.76
Disclosure

SEC source: 0001562180-23-005771 · primarydocument.xml · nonDerivative · entry 1

Moll Laurent R · CIK 0001888601 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 603,470

F1 · shares: The reported transaction involved the withholding of 1,768 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

Read SEC document
July 03, 2023 Filed Jul 6, 2023 20:23 UTC
Hawkins Nicholas B.VP and Chief Financial Officer
Tax withholdingCommon Stock 1,365 $6.82 $9,309.30
Disclosure

SEC source: 0001562180-23-005770 · primarydocument.xml · nonDerivative · entry 1

Hawkins Nicholas B. · CIK 0001549550 · VP and Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 341,856

F1 · shares: The reported transaction involved the withholding of 1,365 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 66,833 restricted stock units.

Read SEC document
July 03, 2023 Filed Jul 6, 2023 20:23 UTC
Alpern Paul LVP and General Counsel
Tax withholdingCommon Stock 924 $6.82 $6,301.68
Disclosure

SEC source: 0001562180-23-005768 · primarydocument.xml · nonDerivative · entry 1

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,978

F1 · shares: The reported transaction involved the withholding of 924 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

Read SEC document
June 22, 2023 Filed Jun 26, 2023 22:51 UTC GiftCommon Stock 72,277 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005505 · primarydocument.xml · nonDerivative · entry 2

RAZA SAIYED ATIQ · CIK 0001184563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,027

F1 · shares: The shares are transferred to Saiyed Atiq Raza and Nandini Saraiya 2012 Revocable Trust for which the reporting person is the trustee.

F2 · balance_after: Includes 29,027 restricted stock units.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 20:59 UTC SaleCommon Stock 16,464 $6.94 $114,195.95
Disclosure

SEC source: 0001562180-23-005373 · primarydocument.xml · nonDerivative · entry 3

Viana Antonio J · CIK 0001888686 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · Viana Family Trust

Disclosed balance after: 198,750

F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 5, 2022.

F4 · price: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.79 to $7.37 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 20:59 UTC GrantCommon Stock 16,464 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005373 · primarydocument.xml · nonDerivative · entry 2

Viana Antonio J · CIK 0001888686 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · Viana Family Trust

Disclosed balance after: 215,214

F1 · shares: The shares were transferred to the Viana Family Trust for which the reporting person is the trustee.

Read SEC document
June 16, 2023 Filed Jun 20, 2023 20:59 UTC GiftCommon Stock 16,464 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-005373 · primarydocument.xml · nonDerivative · entry 1

Viana Antonio J · CIK 0001888686 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 29,028

F1 · shares: The shares were transferred to the Viana Family Trust for which the reporting person is the trustee.

F2 · balance_after: Includes 29,027 restricted stock units.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 20:59 UTC Exercise / conversionCommon Stock · Derivative 2,083 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001562180-23-005372 · primarydocument.xml · derivative · entry 3

RAZA SAIYED ATIQ · CIK 0001184563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,083 shares

Expires 2030-04-22

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: The shares subject to the stock option vest and become exercisable in 36 substantially equal installments commencing on May 23, 2020. They have fully vested as of the Transaction Date.

Read SEC document
June 15, 2023 Filed Jun 20, 2023 20:59 UTC Exercise / conversionCommon Stock 2,083 $0.60 $1,249.80
Disclosure

SEC source: 0001562180-23-005372 · primarydocument.xml · nonDerivative · entry 1

RAZA SAIYED ATIQ · CIK 0001184563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,137

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
June 15, 2023 Filed Jun 20, 2023 20:58 UTC
Moll Laurent RChief Operating Officer
SaleCommon Stock 885 $7.50 $6,637.50
Disclosure

SEC source: 0001562180-23-005371 · primarydocument.xml · nonDerivative · entry 1

Moll Laurent R · CIK 0001888601 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 605,238

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on March 16, 2023.

F2 · balance_after: Includes 523,821 restricted stock units.

Read SEC document
June 12, 2023 Filed Jun 13, 2023 20:25 UTC
JANAC K CHARLESDirector · President and CEO · 10% owner
SaleCommon Stock 13,764 $7.04 $96,957.75
Disclosure

SEC source: 0001562180-23-005107 · primarydocument.xml · nonDerivative · entry 1

JANAC K CHARLES · CIK 0001068987 · Director · President and CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 243,188

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.86 to $7.19 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes 143,188 restricted stock units.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 20:25 UTC SaleCommon Stock 17,359 $7.33 $127,319.59
Disclosure

SEC source: 0001562180-23-005106 · primarydocument.xml · nonDerivative · entry 1

Cantwell Wayne C · CIK 0001888679 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 226,623

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.85 to $7.53 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes 48,378 restricted stock units.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 20:24 UTC
Alpern Paul LVP and General Counsel
Exercise / conversionStock Options (Right to Buy) · Derivative 40,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001562180-23-005105 · primarydocument.xml · derivative · entry 3

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 40,000 shares

Expires 2030-07-22

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: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · derivative.exercise_date: 25% of the total shares shall vest on July 23 2021; thereafter, 1/48th of the total shares shall vest monthly for 3 years. beginning on August 23, 2021.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 20:24 UTC
Alpern Paul LVP and General Counsel
SaleCommon Stock 42,051 $7.33 $308,418.85
Disclosure

SEC source: 0001562180-23-005105 · primarydocument.xml · nonDerivative · entry 2

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 46,902

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.86 to $7.55 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes 46,902 restricted stock units.

Read SEC document
June 09, 2023 Filed Jun 13, 2023 20:24 UTC
Alpern Paul LVP and General Counsel
Exercise / conversionCommon Stock 40,000 $0.60 $24,000.00
Disclosure

SEC source: 0001562180-23-005105 · primarydocument.xml · nonDerivative · entry 1

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 88,953

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: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · shares: 25% of the total shares shall vest on July 23 2021; thereafter, 1/48th of the total shares shall vest monthly for 3 years. beginning on August 23, 2021.

F3 · balance_after: Includes 46,902 restricted stock units.

Read SEC document
June 06, 2023 Filed Jun 8, 2023 21:07 UTC GrantCommon Stock 29,027 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-004987 · primarydocument.xml · nonDerivative · entry 1

Chitkara Raman · CIK 0001748459 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,741

F1 · shares: Includes 29,027 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date, subject to the reporting person continuing to provide services to Issuer's Board through such vesting date. The RSUs have no expiration date.

Read SEC document
June 06, 2023 Filed Jun 8, 2023 21:07 UTC GrantCommon Stock 29,027 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-004988 · primarydocument.xml · nonDerivative · entry 1

Munce Claudia F. · CIK 0001668897 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,180

F1 · shares: Includes 29,027 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date, subject to the reporting person continuing to provide services to Issuer's Board through such vesting date. The RSUs have no expiration date.

Read SEC document
June 06, 2023 Filed Jun 8, 2023 21:08 UTC GrantCommon Stock 29,027 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-004990 · primarydocument.xml · nonDerivative · entry 1

Geday Isabelle F · CIK 0001888675 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,476

F1 · shares: Includes 29,027 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date, subject to the reporting person continuing to provide services to Issuer's Board through such vesting date. The RSUs have no expiration date.

Read SEC document
June 06, 2023 Filed Jun 8, 2023 21:07 UTC GrantCommon Stock 29,027 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-004989 · primarydocument.xml · nonDerivative · entry 1

Viana Antonio J · CIK 0001888686 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,492

F1 · shares: Includes 29,027 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date, subject to the reporting person continuing to provide services to Issuer's Board through such vesting date. The RSUs have no expiration date.

Read SEC document
June 06, 2023 Filed Jun 8, 2023 21:06 UTC GrantCommon Stock 29,027 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-004986 · primarydocument.xml · nonDerivative · entry 1

RAZA SAIYED ATIQ · CIK 0001184563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,054

F1 · shares: Includes 29,027 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date, subject to the reporting person continuing to provide services to Issuer's Board through such vesting date. The RSUs have no expiration date.

Read SEC document
June 06, 2023 Filed Jun 8, 2023 21:06 UTC GrantCommon Stock 48,378 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-004985 · primarydocument.xml · nonDerivative · entry 1

Cantwell Wayne C · CIK 0001888679 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,982

F1 · shares: Includes 48,378 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date, subject to the reporting person continuing to provide services to Issuer's Board through such vesting date. The RSUs have no expiration date.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 21:13 UTC
JANAC K CHARLESDirector · President and CEO · 10% owner
Tax withholdingCommon Stock 1,143 $6.65 $7,600.95
Disclosure

SEC source: 0001562180-23-004829 · primarydocument.xml · nonDerivative · entry 1

JANAC K CHARLES · CIK 0001068987 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 256,952

F1 · shares: The reported transaction involved the withholding of 1,143 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 143,188 restricted stock units.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 21:12 UTC
Moll Laurent RChief Operating Officer
Tax withholdingCommon Stock 561 $6.65 $3,730.65
Disclosure

SEC source: 0001562180-23-004827 · primarydocument.xml · nonDerivative · entry 1

Moll Laurent R · CIK 0001888601 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 606,123

F1 · shares: The reported transaction involved the withholding of 561 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 523,821 restricted stock units.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 21:13 UTC
Alpern Paul LVP and General Counsel
Tax withholdingCommon Stock 236 $6.65 $1,569.40
Disclosure

SEC source: 0001562180-23-004831 · primarydocument.xml · nonDerivative · entry 1

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,953

F1 · shares: The reported transaction involved the withholding of 236 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 46,902 restricted stock units.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 21:12 UTC
Hawkins Nicholas B.VP and Chief Financial Officer
Tax withholdingCommon Stock 401 $6.65 $2,666.65
Disclosure

SEC source: 0001562180-23-004826 · primarydocument.xml · nonDerivative · entry 1

Hawkins Nicholas B. · CIK 0001549550 · VP and Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 343,221

F1 · shares: The reported transaction involved the withholding of 401 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 70,779 restricted stock units.

Read SEC document
May 17, 2023 Filed May 19, 2023 21:00 UTC GrantCommon Stock 12,045 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-004316 · primarydocument.xml · nonDerivative · entry 1

Cantwell Wayne C · CIK 0001888679 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 195,604

F1 · shares: Fully vested restricted stock.

Read SEC document
April 20, 2023 Filed Apr 24, 2023 20:55 UTC Exercise / conversionCommon Stock · Derivative 8,334 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001562180-23-003665 · primarydocument.xml · derivative · entry 3

RAZA SAIYED ATIQ · CIK 0001184563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,083

Underlying: Common Stock · 8,334 shares

Expires 2030-04-22

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: The shares subject to the stock option will vest and become exercisable in 36 substantially equal installments commencing on May 23, 2020.

Read SEC document
April 20, 2023 Filed Apr 24, 2023 20:55 UTC Exercise / conversionCommon Stock 8,334 $0.60 $5,000.40
Disclosure

SEC source: 0001562180-23-003665 · primarydocument.xml · nonDerivative · entry 1

RAZA SAIYED ATIQ · CIK 0001184563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,027

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: The shares subject to the stock option will vest and become exercisable in 36 substantially equal installments commencing on May 23, 2020.

Read SEC document
April 05, 2023 Filed Apr 7, 2023 18:56 UTC GrantCommon Stock 2,839 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-003493 · primarydocument.xml · nonDerivative · entry 1

Munce Claudia F. · CIK 0001668897 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,153

F1 · shares: Fully vested restricted stock. The restricted stock represents retainer fees that the Reporting Person elected to receive in the form of shares of common stock in lieu of cash.

Read SEC document
April 05, 2023 Filed Apr 7, 2023 18:56 UTC GrantCommon Stock 3,226 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-003492 · primarydocument.xml · nonDerivative · entry 1

RAZA SAIYED ATIQ · CIK 0001184563 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,693

F1 · shares: Fully vested restricted stock. The restricted stock represents retainer fees that the Reporting Person elected to receive in the form of shares of common stock in lieu of cash.

Read SEC document
April 01, 2023 Filed Apr 4, 2023 21:01 UTC
JANAC K CHARLESDirector · President and CEO · 10% owner
Tax withholdingCommon Stock 2,540 $4.23 $10,744.20
Disclosure

SEC source: 0001562180-23-003383 · primarydocument.xml · nonDerivative · entry 1

JANAC K CHARLES · CIK 0001068987 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 258,095

F1 · shares: The reported transaction involved the withholding of 2,540 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 146,491 restricted stock units.

Read SEC document
April 01, 2023 Filed Apr 4, 2023 21:01 UTC
Alpern Paul LVP and General Counsel
Tax withholdingCommon Stock 1,066 $4.23 $4,509.18
Disclosure

SEC source: 0001562180-23-003384 · primarydocument.xml · nonDerivative · entry 1

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,189

F1 · shares: The reported transaction involved the withholding of 1,066 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 47,584 restricted stock units.

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April 01, 2023 Filed Apr 4, 2023 21:00 UTC
Moll Laurent RChief Operating Officer
Tax withholdingCommon Stock 1,744 $4.23 $7,377.12
Disclosure

SEC source: 0001562180-23-003380 · primarydocument.xml · nonDerivative · entry 1

Moll Laurent R · CIK 0001888601 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 606,684

F1 · shares: The reported transaction involved the withholding of 1,744 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 525,442 restricted stock units.

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April 01, 2023 Filed Apr 4, 2023 21:00 UTC
Hawkins Nicholas B.VP and Chief Financial Officer
Tax withholdingCommon Stock 1,365 $4.23 $5,773.95
Disclosure

SEC source: 0001562180-23-003379 · primarydocument.xml · nonDerivative · entry 1

Hawkins Nicholas B. · CIK 0001549550 · VP and Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 343,622

F1 · shares: The reported transaction involved the withholding of 1,365 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F2 · balance_after: Includes 71,937 restricted stock units.

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March 16, 2023 Filed Mar 20, 2023 22:28 UTC GiftCommon Stock 198,750 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-009133 · doc4.xml · nonDerivative · entry 1

Viana Antonio J · CIK 0001888686 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,465

F1 · shares: The shares are transferred to Viana Family Trust for which the reporting person is the trustee.

F2 · balance_after: Includes 16,464 restricted stock units.

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March 07, 2023 Filed Mar 9, 2023 21:33 UTC
JANAC K CHARLESDirector · President and CEO · 10% owner
GrantCommon Stock 117,500 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002664 · primarydocument.xml · nonDerivative · entry 1

JANAC K CHARLES · CIK 0001068987 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,635

F1 · shares: Includes 117,500 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest with respect to 1/16th of the total RSUs on 4/1/2023 and in equal quarterly installments thereafter. The RSUs have no expiration date.

F2 · balance_after: Includes 153,834 restricted stock units.

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March 07, 2023 Filed Mar 9, 2023 21:35 UTC
Alpern Paul LVP and General Counsel
GrantCommon Stock 42,750 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002666 · primarydocument.xml · nonDerivative · entry 1

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,255

F1 · shares: Includes 42,750 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest with respect to 1/16th of the total RSUs on 4/1/2023 and in equal quarterly installments thereafter. The RSUs have no expiration date.

F2 · balance_after: Includes 50,255 restricted stock units.

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March 07, 2023 Filed Mar 9, 2023 21:36 UTC
Moll Laurent RChief Operating Officer
GrantCommon Stock 81,760 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002667 · primarydocument.xml · nonDerivative · entry 1

Moll Laurent R · CIK 0001888601 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 608,428

F1 · shares: Includes 81,760 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest with respect to 1/16th of the total RSUs on 4/1/2023 and in equal quarterly installments thereafter. The RSUs have no expiration date.

F2 · balance_after: Includes 530,552 restricted stock units.

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March 07, 2023 Filed Mar 9, 2023 21:33 UTC
Hawkins Nicholas B.VP and Chief Financial Officer
GrantCommon Stock 63,140 $0.00 $0.00
Disclosure

SEC source: 0001562180-23-002665 · primarydocument.xml · nonDerivative · entry 1

Hawkins Nicholas B. · CIK 0001549550 · VP and Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,987

F1 · shares: Includes 63,140 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest with respect to 1/16th of the total RSUs on 4/1/2023 and in equal quarterly installments thereafter. The RSUs have no expiration date.

F2 · balance_after: Includes 75,883 restricted stock units.

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March 03, 2023 Filed Mar 7, 2023 21:06 UTC
Hawkins Nicholas B.VP and Chief Financial Officer
SaleCommon Stock 768 $5.22 $4,008.96
Disclosure

SEC source: 0001562180-23-002549 · primarydocument.xml · nonDerivative · entry 1

Hawkins Nicholas B. · CIK 0001549550 · VP and Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,847

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · balance_after: Includes 12,743 restricted stock units.

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March 03, 2023 Filed Mar 7, 2023 21:06 UTC
Moll Laurent RChief Operating Officer
SaleCommon Stock 390 $5.22 $2,035.80
Disclosure

SEC source: 0001562180-23-002547 · primarydocument.xml · nonDerivative · entry 1

Moll Laurent R · CIK 0001888601 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,668

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · balance_after: Includes 448,792 restricted stock units.

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March 03, 2023 Filed Mar 7, 2023 21:05 UTC
Alpern Paul LVP and General Counsel
SaleCommon Stock 403 $5.13 $2,067.39
Disclosure

SEC source: 0001562180-23-002545 · primarydocument.xml · nonDerivative · entry 1

Alpern Paul L · CIK 0001888542 · VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,505

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $5.05 to $5.25 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: The reported transaction involved the withholding of 7,505 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

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March 01, 2023 Filed Mar 3, 2023 21:18 UTC
JANAC K CHARLESDirector · President and CEO · 10% owner
Tax withholdingCommon Stock 1,143 $5.46 $6,240.78
Disclosure

SEC source: 0001562180-23-002378 · primarydocument.xml · nonDerivative · entry 2

JANAC K CHARLES · CIK 0001068987 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,135

F2 · shares: The reported transaction involved the withholding of 1,143 shares of stock issuable upon the vesting of restricted stock units to pay taxes.

F3 · balance_after: Includes 36,334 restricted stock units.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.