Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 06, 2021 Filed Apr 8, 2021 21:23 UTC |
TAGLICH ROBERTDirector · 10% owner
|
OtherCommon Stock | 11,377 | $1.39 | $15,814.03 |
DisclosureSEC source: 0001213900-21-020838 · ownership.xml · nonDerivative · entry 1 TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,254,539 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| April 06, 2021 Filed Apr 8, 2021 21:22 UTC |
Rettaliata PeterDirector
|
OtherCommon Stock | 6,132 | $1.39 | $8,523.48 |
DisclosureSEC source: 0001213900-21-020836 · ownership.xml · nonDerivative · entry 1 Rettaliata Peter · CIK 0001344959 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,470 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| April 06, 2021 Filed Apr 8, 2021 21:21 UTC |
PORCELAIN MICHAELDirector
|
OtherCommon Stock | 8,506 | $1.39 | $11,823.34 |
DisclosureSEC source: 0001213900-21-020833 · ownership.xml · nonDerivative · entry 1 PORCELAIN MICHAEL · CIK 0001210707 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,224 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| April 06, 2021 Filed Apr 8, 2021 21:20 UTC |
TAGLICH MICHAEL NDirector
|
OtherCommon Stock | 11,377 | $1.39 | $15,814.03 |
DisclosureSEC source: 0001213900-21-020830 · ownership.xml · nonDerivative · entry 1 TAGLICH MICHAEL N · CIK 0001024533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,927,948 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| March 24, 2021 Filed Apr 9, 2021 16:49 UTC |
RECCA MICHAEL EChief Financial Officer
|
GrantStock options · Derivative | 75,000 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001213900-21-021043 · ownership.xml · derivative · entry 2 RECCA MICHAEL E · CIK 0000923781 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2026-03-31 F1 · derivative.exercise_date: Vests in equal annual installments of 25,000 shares commencing March 24, 2021. Read SEC document |
| March 24, 2021 Filed Apr 9, 2021 20:51 UTC |
Melluzzo Luciano MPresident
|
GrantStock options · Derivative | 150,000 | $0.00 Strike: $1.39 | $0.00 |
DisclosureSEC source: 0001213900-21-021048 · ownership.xml · derivative · entry 2 Melluzzo Luciano M · CIK 0001344076 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common stock · 150,000 shares Expires 2026-03-31 F1 · derivative.exercise_date: Vests in equal annual installments of 50,000 shares commencing March 24, 2021. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 21:28 UTC |
TAGLICH MICHAEL NDirector
|
GrantStock Options · Derivative | 10,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001213900-21-001974 · ownership.xml · derivative · entry 3 TAGLICH MICHAEL N · CIK 0001024533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-31 F2 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 21:27 UTC |
SCHROEDER ROBERT CDirector
|
GrantStock Options (right to purchase) · Derivative | 10,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001213900-21-001970 · ownership.xml · derivative · entry 2 SCHROEDER ROBERT C · CIK 0001268331 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-31 F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, and an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 21:24 UTC |
PORCELAIN MICHAELDirector
|
GrantStock Options (right to purchase) · Derivative | 10,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001213900-21-001962 · ownership.xml · derivative · entry 2 PORCELAIN MICHAEL · CIK 0001210707 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-31 F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 21:26 UTC |
Rettaliata PeterDirector
|
GrantStock Options (right to purchase) · Derivative | 10,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001213900-21-001966 · ownership.xml · derivative · entry 2 Rettaliata Peter · CIK 0001344959 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-31 F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 21:23 UTC |
BUONANNO DAVIDDirector
|
GrantStock Options (right to purchase) · Derivative | 10,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001213900-21-001959 · ownership.xml · derivative · entry 2 BUONANNO DAVID · CIK 0001411333 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-31 F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 21:20 UTC |
Brand MichaelDirector
|
GrantStock Options (right to purchase) · Derivative | 10,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001213900-21-001956 · ownership.xml · derivative · entry 3 Brand Michael · CIK 0001562757 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-31 F1 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, and an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 21:18 UTC |
TAGLICH ROBERTDirector · 10% owner
|
GrantStock Options · Derivative | 10,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001213900-21-001951 · ownership.xml · derivative · entry 4 TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-12-31 F3 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2021, an additional 2,500 shares on each of June 30, 2021, September 30, 2021 and December 31, 2021. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 20:18 UTC |
TAGLICH ROBERTDirector · 10% owner
|
OtherCommon Stock | 12,857 | $1.23 | $15,814.11 |
DisclosureSEC source: 0001213900-21-000644 · ownership.xml · nonDerivative · entry 1 TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,243,162 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 20:19 UTC |
TAGLICH MICHAEL NDirector · 10% owner
|
OtherCommon Stock | 12,857 | $1.23 | $15,814.11 |
DisclosureSEC source: 0001213900-21-000646 · ownership.xml · nonDerivative · entry 1 TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,916,571 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 20:16 UTC |
Rettaliata PeterDirector
|
OtherCommon Stock | 6,930 | $1.23 | $8,523.90 |
DisclosureSEC source: 0001213900-21-000641 · ownership.xml · nonDerivative · entry 1 Rettaliata Peter · CIK 0001344959 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,338 F1 · kind: Represents shares issued in lieu of cash payment of directors' fees. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 20:15 UTC |
PORCELAIN MICHAELDirector
|
OtherCommon Stock | 9,613 | $1.23 | $11,823.99 |
DisclosureSEC source: 0001213900-21-000639 · ownership.xml · nonDerivative · entry 1 PORCELAIN MICHAEL · CIK 0001210707 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,718 F1 · kind: Represents shares issued in lieu of cash payment of directors' fees. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 00:01 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
SaleCommon Stock | 34,662 | $1.19 | $41,372.56 |
DisclosureSEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: RBI Private Investment III, LLC Disclosed balance after: 711,408 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F9 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.215. The Reporting Persons undertake to provide to 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 ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 00:01 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
SaleCommon Stock | 18,471 | $1.20 | $22,111.63 |
DisclosureSEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: RBI Private Investment III, LLC Disclosed balance after: 746,070 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F8 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.21. The Reporting Persons undertake to provide to 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 ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Read SEC document |
| December 14, 2020 Filed Dec 17, 2020 00:01 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
SaleCommon Stock | 34,129 | $1.20 | $40,893.37 |
DisclosureSEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: RBI Private Investment III, LLC Disclosed balance after: 764,541 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F7 · price: The price in column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.22. The Reporting Persons undertake to provide to 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 ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Read SEC document |
| December 11, 2020 Filed Dec 17, 2020 00:01 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
SaleCommon Stock | 1,330 | $1.26 | $1,670.48 |
DisclosureSEC source: 0001193805-20-001552 · e620141_4-airi.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: RBI Private Investment III, LLC Disclosed balance after: 798,670 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F6 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.26. The Reporting Persons undertake to provide to 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 ranges set forth in footnotes 6, 7, 8 and 9 to this Form 4. F3 · ownership.nature: Represents securities directly owned by RBI PIII. RBI Manager, as the manager of RBI PIII, may be deemed to beneficially own the securities owned directly by RBI PIII. Mr. Richmond, as the manager of RBI Manager, may be deemed to beneficially own the securities owned directly by RBI PIII. Read SEC document |
| October 05, 2020 Filed Oct 6, 2020 19:13 UTC |
TAGLICH MICHAEL NDirector · 10% owner
|
OtherCommon Stock | 13,872 | $1.14 | $15,814.08 |
DisclosureSEC source: 0001213900-20-030287 · ownership.xml · nonDerivative · entry 1 TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,903,714 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| October 05, 2020 Filed Oct 6, 2020 19:08 UTC |
TAGLICH ROBERTDirector · 10% owner
|
OtherCommon Stock | 13,872 | $1.14 | $15,814.08 |
DisclosureSEC source: 0001213900-20-030283 · ownership.xml · nonDerivative · entry 1 TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,230,305 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| October 05, 2020 Filed Oct 6, 2020 19:03 UTC |
PORCELAIN MICHAELDirector
|
OtherCommon Stock | 10,372 | $1.14 | $11,824.08 |
DisclosureSEC source: 0001213900-20-030279 · ownership.xml · nonDerivative · entry 1 PORCELAIN MICHAEL · CIK 0001210707 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,105 F1 · kind: Represents shares issued in lieu of cash payment of directors' fees. Read SEC document |
| October 05, 2020 Filed Oct 6, 2020 19:05 UTC |
Rettaliata PeterDirector
|
OtherCommon Stock | 7,477 | $1.14 | $8,523.78 |
DisclosureSEC source: 0001213900-20-030281 · ownership.xml · nonDerivative · entry 1 Rettaliata Peter · CIK 0001344959 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,408 F1 · kind: Represents shares issued in lieu of cash payment of directors' fees. Read SEC document |
| July 15, 2020 Filed Aug 18, 2020 22:19 UTC |
PORCELAIN MICHAELDirector
|
OtherCommon Stock | 9,535 | $1.24 | $11,823.40 |
DisclosureSEC source: 0001213900-20-022735 · ownership.xml · nonDerivative · entry 1 PORCELAIN MICHAEL · CIK 0001210707 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,733 F1 · kind: Represents shares issued in lieu of cash payment of directors' fees. Read SEC document |
| July 15, 2020 Filed Aug 18, 2020 22:16 UTC |
Rettaliata PeterDirector
|
OtherCommon Stock | 6,874 | $1.24 | $8,523.76 |
DisclosureSEC source: 0001213900-20-022733 · ownership.xml · nonDerivative · entry 1 Rettaliata Peter · CIK 0001344959 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,931 F1 · kind: Represents shares issued in lieu of cash payment of directors' fees. Read SEC document |
| July 15, 2020 Filed Aug 18, 2020 22:14 UTC |
TAGLICH ROBERTDirector · 10% owner
|
OtherCommon Stock | 12,753 | $1.24 | $15,813.72 |
DisclosureSEC source: 0001213900-20-022729 · ownership.xml · nonDerivative · entry 1 TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,216,433 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| July 15, 2020 Filed Aug 18, 2020 22:13 UTC |
TAGLICH MICHAEL NDirector · 10% owner
|
OtherCommon Stock | 12,753 | $1.24 | $15,813.72 |
DisclosureSEC source: 0001213900-20-022727 · ownership.xml · nonDerivative · entry 1 TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,889,842 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| April 13, 2020 Filed Apr 13, 2020 21:53 UTC |
Rettaliata PeterDirector
|
OtherCommon Stock | 7,382 | $1.07 | $7,898.74 |
DisclosureSEC source: 0001213900-20-009096 · ownership.xml · nonDerivative · entry 1 Rettaliata Peter · CIK 0001344959 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,057 F1 · kind: Represents shares issued in lieu of cash payment of directors' fees. Read SEC document |
| April 13, 2020 Filed Apr 13, 2020 21:52 UTC |
PORCELAIN MICHAELDirector
|
OtherCommon Stock | 10,186 | $1.07 | $10,899.02 |
DisclosureSEC source: 0001213900-20-009094 · ownership.xml · nonDerivative · entry 1 PORCELAIN MICHAEL · CIK 0001210707 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,198 F1 · kind: Represents shares issued in lieu of cash payment of directors' fees. Read SEC document |
| April 13, 2020 Filed Apr 13, 2020 21:49 UTC |
TAGLICH ROBERTDirector · 10% owner
|
OtherCommon Stock | 14,779 | $1.07 | $15,813.53 |
DisclosureSEC source: 0001213900-20-009090 · ownership.xml · nonDerivative · entry 1 TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,166,180 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| April 13, 2020 Filed Apr 13, 2020 21:48 UTC |
TAGLICH MICHAEL NDirector · 10% owner
|
OtherCommon Stock | 14,779 | $1.07 | $15,813.53 |
DisclosureSEC source: 0001213900-20-009088 · ownership.xml · nonDerivative · entry 1 TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,839,589 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| April 07, 2020 Filed Apr 8, 2020 21:35 UTC |
TAGLICH MICHAEL NDirector · 10% owner
|
PurchaseCommon Stock | 45,000 | $1.65 | $74,250.00 |
DisclosureSEC source: 0001213900-20-008847 · ownership.xml · nonDerivative · entry 1 TAGLICH MICHAEL N · CIK 0001024533 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,824,810 Read SEC document |
| March 27, 2020 Filed Mar 27, 2020 21:01 UTC |
Brand MichaelDirector
|
PurchaseCommon Stock | 6,000 | $1.10 | $6,600.00 |
DisclosureSEC source: 0001213900-20-007708 · ownership.xml · nonDerivative · entry 1 Brand Michael · CIK 0001562757 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Roth 401k Disclosed balance after: 6,000 Read SEC document |
| March 25, 2020 Filed Mar 30, 2020 16:12 UTC |
RECCA MICHAEL EChief Financial Officer
|
GrantStock options · Derivative | 100,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001213900-20-007977 · ownership.xml · derivative · entry 2 RECCA MICHAEL E · CIK 0000923781 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2025-03-31 Read SEC document |
| March 25, 2020 Filed Mar 30, 2020 20:13 UTC |
Melluzzo Luciano MPresident
|
GrantStock options · Derivative | 200,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001213900-20-007981 · ownership.xml · derivative · entry 2 Melluzzo Luciano M · CIK 0001344076 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common stock · 200,000 shares Expires 2025-03-31 Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
PurchaseCommon Stock | 30 | $0.73 | $21.90 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 8 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Matthew J. Curfman Disclosed balance after: 9,155 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
PurchaseCommon Stock | 8,600 | $0.73 | $6,278.00 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 7 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Matthew J. Curfman Disclosed balance after: 9,125 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
PurchaseCommon Stock | 5,680 | $0.76 | $4,316.80 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 6 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 83,235 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F4 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
PurchaseCommon Stock | 100 | $0.73 | $73.32 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 5 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,555 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F4 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
PurchaseCommon Stock | 100 | $0.73 | $73.16 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 4 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,455 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F4 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
PurchaseCommon Stock | 66 | $0.75 | $49.50 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 3 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,355 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F4 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
PurchaseCommon Stock | 4,504 | $0.76 | $3,423.04 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 2 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 77,289 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F4 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| March 24, 2020 Filed Mar 25, 2020 14:52 UTC |
Richmond David S.10% owner · See Footnote 1
RBI Private Investment II, LLCSee Footnote 1
RBI Private Investment III, LLCSee Footnote 1
RBI PI Manager, LLCSee Footnote 1
Richmond Brothers 401(k) Profit Sharing PlanSee Footnote 1
Richmond Brothers, Inc.10% owner · See Footnotes 1 and 2
Curfman Matthew J.10% owner · See Footnote 1
|
PurchaseCommon Stock | 1,800 | $0.75 | $1,349.82 |
DisclosureSEC source: 0000921895-20-000907 · form411265004_03252020.xml · nonDerivative · entry 1 Richmond David S. · CIK 0001698614 · 10% owner · See Footnote 1 RBI Private Investment II, LLC · CIK 0001697890 · See Footnote 1 RBI Private Investment III, LLC · CIK 0001755442 · See Footnote 1 RBI PI Manager, LLC · CIK 0001698718 · See Footnote 1 Richmond Brothers 401(k) Profit Sharing Plan · CIK 0001698822 · See Footnote 1 Richmond Brothers, Inc. · CIK 0001540462 · 10% owner · See Footnotes 1 and 2 Curfman Matthew J. · CIK 0001698617 · 10% owner · See Footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Richmond Brothers 401(k) Profit Sharing Plan Disclosed balance after: 72,785 F1 · security: This Form 4 is filed jointly by RBI Private Investment II, LLC ("RBI PII"), RBI Private Investment III, LLC ("RBI PIII"), RBI PI Manager, LLC ("RBI Manager"), Richmond Brothers 401(k) Profit Sharing Plan ("RBI Plan"), Richmond Brothers, Inc. ("Richmond Brothers"), David S. Richmond and Matthew J. Curfman (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own. F2 · security: Not reported herein are securities of the Issuer held in certain accounts managed by Richmond Brothers (the "Separately Managed Accounts"). Richmond Brothers is entitled to a management fee from the Separately Managed Accounts based solely on the value of assets under management. Accordingly, neither Richmond Brothers nor any other Reporting Person has a pecuniary interest in any of the securities held in the Separately Managed Accounts for purposes of Section 16. F6 · balance_after: Not reported herein are transactions by RBI Plan in which no Reporting Person (including Messrs. Richmond and Curfman) has a pecuniary interest. F4 · ownership.nature: Represents securities directly owned by RBI Plan. Messrs. Richmond and Curfman, as trustees of RBI Plan, may be deemed to beneficially own the securities owned directly by RBI Plan. Read SEC document |
| February 05, 2020 Filed Feb 6, 2020 20:20 UTC |
Melluzzo Luciano MPresident
|
PurchaseCommon stock | 10,000 | $1.58 | $15,800.00 |
DisclosureSEC source: 0001213900-20-002770 · ownership.xml · nonDerivative · entry 1 Melluzzo Luciano M · CIK 0001344076 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 19:36 UTC |
Melluzzo Luciano MPresident
|
PurchaseCommon stock | 10,000 | $1.58 | $15,800.00 |
DisclosureSEC source: 0001213900-20-002659 · ownership.xml · nonDerivative · entry 1 Melluzzo Luciano M · CIK 0001344076 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Read SEC document |
| January 07, 2020 Filed Jan 9, 2020 23:37 UTC |
TAGLICH ROBERTDirector · 10% owner
|
GrantStock Options · Derivative | 10,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001213900-20-000703 · ownership.xml · derivative · entry 4 TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2026-12-31 F4 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2020, and an additional 2,500 shares on each of June 30, 2020, September 30, 2020 and December 31, 2020. Read SEC document |
| January 07, 2020 Filed Jan 9, 2020 23:37 UTC |
TAGLICH ROBERTDirector · 10% owner
|
OtherCommon Stock | 11,377 | $2.38 | $27,077.26 |
DisclosureSEC source: 0001213900-20-000703 · ownership.xml · nonDerivative · entry 1 TAGLICH ROBERT · CIK 0001353439 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,151,401 F1 · kind: Shares received in lieu of cash payment of director's fees. Read SEC document |
| January 07, 2020 Filed Jan 9, 2020 23:12 UTC |
Rettaliata PeterDirector
|
GrantStock Options (right to purchase) · Derivative | 10,000 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001213900-20-000697 · ownership.xml · derivative · entry 6 Rettaliata Peter · CIK 0001344959 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2026-12-31 F5 · derivative.exercise_date: Vests as to 2,500 shares on March 31, 2020, an additional 2,500 shares on each of June 30, 2020, September 30, 2020 and December 31, 2020. 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.