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Nasdaq · USD

AIRG

AIRGAIN INC

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552
SEC CIK
0001272842
Parsed reports
301

Last 12 months

Inside the activity.

3 purchase rows · 26 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202503
Dec 202500
Jan 202603
Feb 202605
Mar 202607
Apr 202602
May 202604
Jun 202601
Jul 202600
Aug 202610
Sep 202611
Oct 202610

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
November 13, 2017 Filed Nov 16, 2017 02:29 UTC Exercise / conversionCommon Stock 2,000 $2.20 $4,400.00
Disclosure

SEC source: 0000899243-17-026452 · doc4.xml · nonDerivative · entry 1

Toscanini Arthur M. · CIK 0001681317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,587

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
September 12, 2017 Filed Sep 14, 2017 21:01 UTC
Selbo GlennChief Operating Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 9,000 $0.00 Strike: $2.20 $0.00
Disclosure

SEC source: 0001209191-17-052831 · doc4.xml · derivative · entry 2

Selbo Glenn · CIK 0001681315 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,000 shares

Expires 2017-09-19

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 option is fully vested.

Read SEC document
September 12, 2017 Filed Sep 14, 2017 21:01 UTC
Selbo GlennChief Operating Officer
Exercise / conversionCommon Stock 9,000 $2.20 $19,800.00
Disclosure

SEC source: 0001209191-17-052831 · doc4.xml · nonDerivative · entry 1

Selbo Glenn · CIK 0001681315 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,575

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
September 11, 2017 Filed Sep 13, 2017 20:33 UTC PurchaseCommon Stock 10,276 $8.99 $92,405.90
Disclosure

SEC source: 0001209191-17-052613 · doc4.xml · nonDerivative · entry 1

Egan Francis X · CIK 0001682030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $8.90 to $9.08. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

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July 24, 2017 Filed Jul 26, 2017 20:11 UTC OtherCommon Stock 11,235 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019085 · doc4.xml · nonDerivative · entry 1

GEN3 Capital Partners, LLC · CIK 0001681392 · 10% owner

GEN3 Capital I L P · CIK 0001324643 · 10% owner

GEN 3 PARTNERS INC · CIK 0001102545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,070,771

F1 · kind: Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.

F2 · ownership.nature: Represents 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 27,307 shares of common stock held by Gen 3 Partners.

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and Jim K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims, Francis X. Egan, Arthur M. Toscanini and Michael Treacy may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in their capacity as directors of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

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July 24, 2017 Filed Jul 27, 2017 00:09 UTC
SIMS JAMES KDirector · 10% owner
OtherCommon Stock 11,235 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019083 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,070,771

F1 · kind: Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.

F2 · ownership.nature: Represents 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 27,307 shares of common stock held by Gen 3 Partners.

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims, Francis X. Egan, Arthur M. Toscanini and Michael Treacy may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in their capacity as directors of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

Read SEC document
July 24, 2017 Filed Jul 27, 2017 00:09 UTC OtherCommon Stock 11,235 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019082 · doc4.xml · nonDerivative · entry 1

Toscanini Arthur M. · CIK 0001681317 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 27,307

F1 · kind: Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.

F2 · ownership.nature: Represents shares held by Gen 3 Partners. Mr. Toscanini may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Mr. Toscanini disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

Read SEC document
June 15, 2017 Filed Jun 20, 2017 01:14 UTC GrantStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $14.09 $0.00
Disclosure

SEC source: 0001209191-17-040976 · doc4.xml · derivative · entry 1

Toscanini Arthur M. · CIK 0001681317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-06-14

F1 · derivative.exercise_date: This option is exercisable on the first to occur of the first anniversary of the date of grant (6/15/2018) or the next occurring annual meeting of stockholders.

Read SEC document
June 15, 2017 Filed Jun 20, 2017 01:13 UTC
SIMS JAMES KDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 7,500 $0.00 Strike: $14.09 $0.00
Disclosure

SEC source: 0001209191-17-040975 · doc4.xml · derivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2027-06-14

F1 · derivative.exercise_date: This option is exercisable on the first to occur of the first anniversary of the date of grant (6/15/2018) or the next occurring annual meeting of stockholders.

Read SEC document
June 15, 2017 Filed Jun 20, 2017 01:12 UTC GrantStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $14.09 $0.00
Disclosure

SEC source: 0001209191-17-040974 · doc4.xml · derivative · entry 1

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-06-14

F1 · derivative.exercise_date: This option is exercisable on the first to occur of the first anniversary of the date of grant (6/15/2018) or the next occurring annual meeting of stockholders.

Read SEC document
June 15, 2017 Filed Jun 20, 2017 01:11 UTC GrantStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $14.09 $0.00
Disclosure

SEC source: 0001209191-17-040973 · doc4.xml · derivative · entry 1

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-06-14

F1 · derivative.exercise_date: This option is exercisable on the first to occur of the first anniversary of the date of grant (6/15/2018) or the next occurring annual meeting of stockholders.

Read SEC document
June 15, 2017 Filed Jun 20, 2017 01:10 UTC GrantStock Option (Right to Buy) · Derivative 2,500 $0.00 Strike: $14.09 $0.00
Disclosure

SEC source: 0001209191-17-040972 · doc4.xml · derivative · entry 1

Gillman Joan H · CIK 0001577360 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2027-06-14

F1 · derivative.exercise_date: This option is exercisable on the first to occur of the first anniversary of the date of grant (6/15/2018) or the next occurring annual meeting of stockholders.

Read SEC document
June 15, 2017 Filed Jun 20, 2017 01:09 UTC GrantStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $14.09 $0.00
Disclosure

SEC source: 0001209191-17-040970 · doc4.xml · derivative · entry 1

Egan Francis X · CIK 0001682030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-06-14

F1 · derivative.exercise_date: This option is exercisable on the first to occur of the first anniversary of the date of grant (6/15/2018) or the next occurring annual meeting of stockholders.

Read SEC document
June 12, 2017 Filed Jun 14, 2017 21:30 UTC OtherCommon Stock 324,035 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-016418 · doc4.xml · nonDerivative · entry 1

GEN3 Capital Partners, LLC · CIK 0001681392 · 10% owner

GEN3 Capital I L P · CIK 0001324643 · 10% owner

GEN 3 PARTNERS INC · CIK 0001102545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,082,006

F1 · kind: Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.

F2 · ownership.nature: Represents 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 38,542 shares of common stock held by Gen 3 Partners.

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and Jim K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims, Francis X. Egan, Arthur M. Toscanini and Michael Treacy may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in their capacity as directors of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

Read SEC document
June 12, 2017 Filed Jun 15, 2017 01:30 UTC OtherCommon Stock 324,035 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-016416 · doc4.xml · nonDerivative · entry 1

Toscanini Arthur M. · CIK 0001681317 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 38,542

F1 · kind: Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.

F2 · ownership.nature: Represents shares held by Gen 3 Partners. Mr. Toscanini may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Mr. Toscanini disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

Read SEC document
June 12, 2017 Filed Jun 15, 2017 01:30 UTC
SIMS JAMES KDirector · 10% owner
OtherCommon Stock 324,035 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-016417 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,082,006

F1 · kind: Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.

F2 · ownership.nature: Represents 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 38,542 shares of common stock held by Gen 3 Partners.

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims, Francis X. Egan, Arthur M. Toscanini and Michael Treacy may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in their capacity as directors of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

Read SEC document
May 08, 2017 Filed May 10, 2017 20:50 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 9,333 $0.00 Strike: $1.60 $0.00
Disclosure

SEC source: 0001209191-17-031347 · doc4.xml · derivative · entry 3

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,148

Underlying: Common Stock · 37,481 shares

Expires 2025-06-10

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.

F3 · derivative.exercise_date: As of May 8, 2017 and prior to this transaction, the option fully vested.

Read SEC document
May 08, 2017 Filed May 10, 2017 20:50 UTC SaleCommon Stock 9,333 $13.49 $125,915.24
Disclosure

SEC source: 0001209191-17-031347 · doc4.xml · nonDerivative · entry 2

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $13.09 to $13.99 per share, inclusive. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
May 08, 2017 Filed May 10, 2017 20:50 UTC Exercise / conversionCommon Stock 9,333 $1.60 $14,932.80
Disclosure

SEC source: 0001209191-17-031347 · doc4.xml · nonDerivative · entry 1

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,333

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
April 25, 2017 Filed Apr 28, 2017 00:15 UTC
SUEN JACOBSr. VP, Worldwide Sales
GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $15.20 $0.00
Disclosure

SEC source: 0001209191-17-028526 · doc4.xml · derivative · entry 1

SUEN JACOB · CIK 0001705078 · Sr. VP, Worldwide Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-04-24

F1 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on April 25, 2018, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the reporting person's continued service to the Issuer through each such vesting date. The option may accelerate under certain conditions pursuant to the reporting person's employment agreement.

Read SEC document
April 25, 2017 Filed Apr 28, 2017 00:13 UTC
Selbo GlennChief Operating Officer
GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $15.20 $0.00
Disclosure

SEC source: 0001209191-17-028524 · doc4.xml · derivative · entry 1

Selbo Glenn · CIK 0001681315 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-04-24

F1 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on April 25, 2018, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the reporting person's continued service to the Issuer through each such vesting date. The option may accelerate under certain conditions pursuant to the reporting person's employment agreement.

Read SEC document
April 25, 2017 Filed Apr 28, 2017 00:12 UTC
Johnson LeonardChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $15.20 $0.00
Disclosure

SEC source: 0001209191-17-028522 · doc4.xml · derivative · entry 1

Johnson Leonard · CIK 0001681307 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-04-24

F1 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on April 25, 2018, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the reporting person's continued service to the Issuer through each such vesting date. The option may accelerate under certain conditions pursuant to the reporting person's employment agreement.

Read SEC document
April 25, 2017 Filed Apr 28, 2017 00:10 UTC
Myers Charles A.Director · President and CEO
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $15.20 $0.00
Disclosure

SEC source: 0001209191-17-028520 · doc4.xml · derivative · entry 1

Myers Charles A. · CIK 0001681519 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-04-24

F1 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on April 25, 2018, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the reporting person's continued service to the Issuer through each such vesting date. The option may accelerate under certain conditions pursuant to the reporting person's employment agreement.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · derivative · entry 11

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2025-03-17

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.

F3 · derivative.exercise_date: As of April 17, 2017 and prior to this transaction, the option fully vested.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 4,000 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · derivative · entry 10

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2023-06-11

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.

F3 · derivative.exercise_date: As of April 17, 2017 and prior to this transaction, the option fully vested.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · derivative · entry 9

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2021-01-18

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.

F3 · derivative.exercise_date: As of April 17, 2017 and prior to this transaction, the option fully vested.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · derivative · entry 8

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2019-12-02

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.

F3 · derivative.exercise_date: As of April 17, 2017 and prior to this transaction, the option fully vested.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · derivative · entry 7

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2019-03-16

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.

F3 · derivative.exercise_date: As of April 17, 2017 and prior to this transaction, the option fully vested.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,000 $0.00 Strike: $2.20 $0.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · derivative · entry 6

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2017-12-10

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.

F3 · derivative.exercise_date: As of April 17, 2017 and prior to this transaction, the option fully vested.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:00 UTC SaleCommon Stock 22,000 $14.61 $321,468.40
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · nonDerivative · entry 5

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $14.30 to $15.04 per share, inclusive. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionCommon Stock 10,000 $2.00 $20,000.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · nonDerivative · entry 4

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

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
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionCommon Stock 4,000 $2.30 $9,200.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · nonDerivative · entry 3

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

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
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionCommon Stock 6,000 $2.60 $15,600.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · nonDerivative · entry 2

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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
April 17, 2017 Filed Apr 19, 2017 22:00 UTC Exercise / conversionCommon Stock 2,000 $2.20 $4,400.00
Disclosure

SEC source: 0001209191-17-027532 · doc4.xml · nonDerivative · entry 1

MUNRO THOMAS A · CIK 0001241233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

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
April 11, 2017 Filed Apr 12, 2017 20:23 UTC SaleCommon Stock 25,266 $15.25 $385,402.51
Disclosure

SEC source: 0001209191-17-026681 · doc4.xml · nonDerivative · entry 2

Toscanini Arthur M. · CIK 0001681317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,208

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $15.00 to $15.48 per share, inclusive. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
April 10, 2017 Filed Apr 12, 2017 20:23 UTC SaleCommon Stock 3,234 $15.00 $48,510.00
Disclosure

SEC source: 0001209191-17-026681 · doc4.xml · nonDerivative · entry 1

Toscanini Arthur M. · CIK 0001681317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,474

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

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April 03, 2017 Filed Apr 6, 2017 20:16 UTC SaleCommon Stock 1,500 $15.05 $22,579.05
Disclosure

SEC source: 0001209191-17-026081 · doc4.xml · nonDerivative · entry 1

Toscanini Arthur M. · CIK 0001681317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,708

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $15.00 to $15.14 per share, inclusive. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

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March 09, 2017 Filed Mar 11, 2017 01:21 UTC OtherCommon Stock 69,948 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-020005 · doc4.xml · nonDerivative · entry 1

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Represents a disposition of shares for no value by the Reporting Person to Northwater Intellectual Property Fund L.P. 1. Ms. Kordyback previously served as Managing Director of Northwater Capital Management Inc., a corporation formed under the laws of the Province Ontario, which is the manager of Northwater Intellectual Property Fund L.P. 1.

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March 07, 2017 Filed Mar 7, 2017 23:43 UTC
SIMS JAMES KDirector · 10% owner
PurchaseCommon Stock 5,990 $12.53 $75,054.70
Disclosure

SEC source: 0001209191-17-018970 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,147

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March 06, 2017 Filed Mar 7, 2017 02:51 UTC PurchaseCommon Stock 4,572 $12.48 $57,058.56
Disclosure

SEC source: 0001209191-17-018542 · doc4.xml · nonDerivative · entry 1

Egan Francis X · CIK 0001682030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,724

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 4,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 16

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2011-01-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 15

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2019-12-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,000 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 14

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2019-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,000 $0.00 Strike: $2.20 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 13

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2017-12-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 10,070 $0.00 Strike: $1.90 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 12

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,070 shares

Expires 2026-05-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 2,000 $0.00 Strike: $2.20 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 11

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2017-05-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 38,878 $0.00 Strike: $1.60 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 10

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,878 shares

Expires 2025-06-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 3,000 $0.00 Strike: $3.10 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 9

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2024-05-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 6,000 $0.00 Strike: $2.30 $0.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · derivative · entry 8

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2023-06-12

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.

F2 · derivative.exercise_date: The option is fully vested.

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March 06, 2017 Filed Mar 7, 2017 23:39 UTC Exercise / conversionCommon Stock 8,000 $2.60 $20,800.00
Disclosure

SEC source: 0001209191-17-018961 · doc4.xml · nonDerivative · entry 7

Kordyback Frances · CIK 0001682049 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,948

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

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