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ALTG

ALTA EQUIPMENT GROUP INC.

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Tapewire entity
6371
SEC CIK
0001759824
Parsed reports
194

Last 12 months

Inside the activity.

8 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202510
Jan 202600
Feb 202600
Mar 202672
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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
September 20, 2024 Filed Sep 24, 2024 23:16 UTC OtherPut options (obligation to buy) · Derivative 412 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0000950170-24-109166 · ownership.xml · derivative · entry 4

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 41,200 shares

Expires 2024-09-20

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 7/24/2024 to 7/30/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
September 20, 2024 Filed Sep 24, 2024 23:16 UTC OtherPut options (obligation to buy) · Derivative 11 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000950170-24-109166 · ownership.xml · derivative · entry 3

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,100 shares

Expires 2024-09-20

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
September 20, 2024 Filed Sep 24, 2024 23:16 UTC OtherCommon Stock, $0.0001 par value 41,200 $12.50 $515,000.00
Disclosure

SEC source: 0000950170-24-109166 · ownership.xml · nonDerivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,213,208

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
September 20, 2024 Filed Sep 24, 2024 23:16 UTC OtherCommon Stock, $0.0001 par value 1,100 $10.00 $11,000.00
Disclosure

SEC source: 0000950170-24-109166 · ownership.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,172,008

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 16, 2024 Filed Aug 19, 2024 21:59 UTC OtherPut options (obligation to buy) · Derivative 56 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0000950170-24-098721 · ownership.xml · derivative · entry 8

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,600 shares

Expires 2024-08-16

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 7/19/2024 to 7/22/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 16, 2024 Filed Aug 19, 2024 21:59 UTC OtherCommon Stock, $0.0001 par value 5,600 $12.50 $70,000.00
Disclosure

SEC source: 0000950170-24-098721 · ownership.xml · nonDerivative · entry 3

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,170,908

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 15, 2024 Filed Aug 19, 2024 21:59 UTC OtherPut options (obligation to buy) · Derivative 95 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000950170-24-098721 · ownership.xml · derivative · entry 7

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,500 shares

Expires 2024-10-18

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 7/19/2024 to 7/22/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 15, 2024 Filed Aug 19, 2024 21:59 UTC OtherPut options (obligation to buy) · Derivative 763 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0000950170-24-098721 · ownership.xml · derivative · entry 6

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 412

Underlying: Common Stock · 76,300 shares

Expires 2024-09-20

F3 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 7/24/2024 to 7/30/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 15, 2024 Filed Aug 19, 2024 21:59 UTC OtherPut options (obligation to buy) · Derivative 54 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000950170-24-098721 · ownership.xml · derivative · entry 5

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11

Underlying: Common Stock · 5,400 shares

Expires 2024-09-20

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 15, 2024 Filed Aug 19, 2024 21:59 UTC OtherPut options (obligation to buy) · Derivative 104 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0000950170-24-098721 · ownership.xml · derivative · entry 4

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56

Underlying: Common Stock · 10,400 shares

Expires 2024-08-16

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 7/19/2024 to 7/22/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 15, 2024 Filed Aug 19, 2024 21:59 UTC OtherCommon Stock, $0.0001 par value 86,700 $12.50 $1,083,750.00
Disclosure

SEC source: 0000950170-24-098721 · ownership.xml · nonDerivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,165,308

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 15, 2024 Filed Aug 19, 2024 21:59 UTC OtherCommon Stock, $0.0001 par value 14,900 $10.00 $149,000.00
Disclosure

SEC source: 0000950170-24-098721 · ownership.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,078,608

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 12, 2024 Filed Aug 14, 2024 01:47 UTC PurchaseCommon Stock 10,000 $5.65 $56,478.00
Disclosure

SEC source: 0000950170-24-096605 · ownership.xml · nonDerivative · entry 1

STUDDERT ANDREW P · CIK 0001053465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,591

F1 · price: The price reported in Column 4 reflects a weighted average price. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, specific trade amounts and pricing within the ranges set forth below.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.435 to $5.77, inclusive.

Read SEC document
August 02, 2024 Filed Aug 5, 2024 21:27 UTC PurchaseCommon Stock, $0.0001 par value 54,200 $9.14 $495,431.36
Disclosure

SEC source: 0000950170-24-090969 · ownership.xml · nonDerivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,063,708

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 01, 2024 Filed Aug 5, 2024 21:27 UTC PurchaseCommon Stock, $0.0001 par value 40,014 $10.23 $409,323.21
Disclosure

SEC source: 0000950170-24-090969 · ownership.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,009,508

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 31, 2024 Filed Jul 31, 2024 21:48 UTC PurchaseCommon Stock, $0.0001 par value 75,486 $10.35 $781,280.10
Disclosure

SEC source: 0000950170-24-088753 · ownership.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,969,494

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 30, 2024 Filed Jul 31, 2024 21:48 UTC SalePut options (obligation to buy) · Derivative 100 $215.00 Strike: $12.50 $21,500.00
Disclosure

SEC source: 0000950170-24-088753 · ownership.xml · derivative · entry 3

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,175

Underlying: Common Stock · 10,000 shares

Expires 2024-09-20

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 29, 2024 Filed Jul 31, 2024 21:48 UTC SalePut options (obligation to buy) · Derivative 50 $110.08 Strike: $10.00 $5,504.00
Disclosure

SEC source: 0000950170-24-088753 · ownership.xml · derivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800

Underlying: Common Stock · 5,000 shares

Expires 2025-01-17

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 25, 2024 Filed Jul 26, 2024 20:32 UTC SalePut options (obligation to buy) · Derivative 75 $215.01 Strike: $12.50 $16,125.75
Disclosure

SEC source: 0000950170-24-086928 · ownership.xml · derivative · entry 4

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,075

Underlying: Common Stock · 7,500 shares

Expires 2024-09-20

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 24, 2024 Filed Jul 26, 2024 20:32 UTC SalePut options (obligation to buy) · Derivative 750 $110.00 Strike: $10.00 $82,500.00
Disclosure

SEC source: 0000950170-24-086928 · ownership.xml · derivative · entry 3

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 750

Underlying: Common Stock · 75,000 shares

Expires 2025-01-17

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 24, 2024 Filed Jul 26, 2024 20:32 UTC SalePut options (obligation to buy) · Derivative 1,000 $217.01 Strike: $12.50 $217,010.00
Disclosure

SEC source: 0000950170-24-086928 · ownership.xml · derivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 100,000 shares

Expires 2024-09-20

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 22, 2024 Filed Jul 23, 2024 20:51 UTC SalePut options (obligation to buy) · Derivative 65 $78.54 Strike: $10.00 $5,105.10
Disclosure

SEC source: 0000950170-24-085716 · ownership.xml · derivative · entry 6

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95

Underlying: Common Stock · 6,500 shares

Expires 2024-10-18

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 22, 2024 Filed Jul 23, 2024 20:51 UTC SalePut options (obligation to buy) · Derivative 65 $220.89 Strike: $12.50 $14,357.85
Disclosure

SEC source: 0000950170-24-085716 · ownership.xml · derivative · entry 5

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160

Underlying: Common Stock · 6,500 shares

Expires 2024-08-16

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

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July 19, 2024 Filed Jul 23, 2024 20:51 UTC SalePut options (obligation to buy) · Derivative 30 $77.67 Strike: $10.00 $2,330.10
Disclosure

SEC source: 0000950170-24-085716 · ownership.xml · derivative · entry 4

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30

Underlying: Common Stock · 3,000 shares

Expires 2024-10-18

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 19, 2024 Filed Jul 23, 2024 20:51 UTC SalePut options (obligation to buy) · Derivative 65 $70.35 Strike: $10.00 $4,572.75
Disclosure

SEC source: 0000950170-24-085716 · ownership.xml · derivative · entry 3

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65

Underlying: Common Stock · 6,500 shares

Expires 2024-09-20

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 19, 2024 Filed Jul 23, 2024 20:51 UTC SalePut options (obligation to buy) · Derivative 95 $227.37 Strike: $12.50 $21,600.15
Disclosure

SEC source: 0000950170-24-085716 · ownership.xml · derivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95

Underlying: Common Stock · 9,500 shares

Expires 2024-08-16

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 19, 2024 Filed Jul 26, 2024 20:28 UTC Amendment OtherPut options (obligation to buy) · Derivative 3,450 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000950170-24-086919 · ownership.xml · derivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 345,000 shares

Expires 2024-07-19

F1 · security: The original Form 4, filed on July 23, 2024, is being amended by this Form 4 amendment solely to add the expiration of 3,450 put options that occurred on July 19, 2024.

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 3/5/2024 to 5/10/2024.

F3 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 10, 2024 Filed Jul 12, 2024 14:24 UTC PurchaseCommon Stock, $0.0001 par value 179,414 $8.05 $1,444,444.17
Disclosure

SEC source: 0000950170-24-083113 · ownership.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,894,008

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 01, 2024 Filed Jul 3, 2024 19:56 UTC OtherPut options (obligation to buy) · Derivative 1,516 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000950170-24-081469 · ownership.xml · derivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,450

Underlying: Common Stock · 151,600 shares

Expires 2024-07-19

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 3/5/2024 to 5/10/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
July 01, 2024 Filed Jul 3, 2024 19:56 UTC OtherCommon Stock, $0.0001 par value 151,600 $10.00 $1,516,000.00
Disclosure

SEC source: 0000950170-24-081469 · ownership.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,714,594

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 21:09 UTC OtherPut options (obligation to buy) · Derivative 337 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000950170-24-079749 · ownership.xml · derivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,966

Underlying: Common Stock · 33,700 shares

Expires 2024-07-19

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 3/5/2024 to 5/10/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
June 27, 2024 Filed Jul 1, 2024 21:09 UTC OtherCommon Stock, $0.0001 par value 33,700 $10.00 $337,000.00
Disclosure

SEC source: 0000950170-24-079749 · ownership.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,562,994

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 21:14 UTC OtherPut options (obligation to buy) · Derivative 316 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0000950170-24-074382 · ownership.xml · derivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,600 shares

Expires 2024-07-19

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 3/12/2024 to 3/14/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
June 13, 2024 Filed Jun 17, 2024 21:14 UTC OtherCommon Stock, $0.0001 par value 31,600 $12.50 $395,000.00
Disclosure

SEC source: 0000950170-24-074382 · ownership.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,529,294

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 20:58 UTC GrantCommon Stock 11,608 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-071392 · ownership.xml · nonDerivative · entry 1

STUDDERT ANDREW P · CIK 0001053465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,591

F1 · security: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. Subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director, the RSUs vest 1/12th each month and fully vest on the date of the Annual Meeting of Stockholders the following year.

F1 · price: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. Subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director, the RSUs vest 1/12th each month and fully vest on the date of the Annual Meeting of Stockholders the following year.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 21:01 UTC GrantCommon Stock 11,608 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-071402 · ownership.xml · nonDerivative · entry 2

Nair Sidhartha · CIK 0002012708 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,584

F2 · security: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. Subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director, the RSUs vest 1/12th each month and fully vest on the date of the Annual Meeting of Stockholders the following year.

F2 · price: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. Subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director, the RSUs vest 1/12th each month and fully vest on the date of the Annual Meeting of Stockholders the following year.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 21:01 UTC GrantCommon Stock 1,976 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-071402 · ownership.xml · nonDerivative · entry 1

Nair Sidhartha · CIK 0002012708 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,976

F1 · security: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. The RSUs vested immediately due to the reporting person's service as a director from his appointment date, February 22, 2024 through the 2024 Annual Meeting of Stockholders and will be deferred subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director.

F1 · price: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. The RSUs vested immediately due to the reporting person's service as a director from his appointment date, February 22, 2024 through the 2024 Annual Meeting of Stockholders and will be deferred subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director.

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June 07, 2024 Filed Jun 10, 2024 17:03 UTC PurchaseCommon Stock 4,000 $8.17 $32,680.00
Disclosure

SEC source: 0000950170-24-071408 · ownership.xml · nonDerivative · entry 1

Hoover Jeffrey Alan · CIK 0002010490 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,601

F1 · price: The price reported in Column 4 reflects a weighted average price. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, specific trade amounts and pricing set forth below.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in one transaction at a price of $8.17.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 21:08 UTC GrantCommon Stock 11,608 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-071411 · ownership.xml · nonDerivative · entry 1

White Katherine E · CIK 0001651356 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,079

F1 · security: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. Subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director, the RSUs vest 1/12th each month and fully vest on the date of the Annual Meeting of Stockholders the following year.

F1 · price: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. Subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director, the RSUs vest 1/12th each month and fully vest on the date of the Annual Meeting of Stockholders the following year.

Read SEC document
June 07, 2024 Filed Jun 10, 2024 21:03 UTC GrantCommon Stock 11,608 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-071407 · ownership.xml · nonDerivative · entry 1

Shribman Daniel · CIK 0001772389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 418,064

F1 · security: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. Subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director, the RSUs vest 1/12th each month and fully vest on the date of the Annual Meeting of Stockholders the following year.

F1 · price: The reporting person was granted such time-based restricted stock units ("RSUs") for the annual director grant on the date of the 2024 Annual Meeting of Stockholders on June 7, 2024. Each RSU represents the right to receive one share of Common Stock. Subject to the reporting person's election to defer the receipt of the RSUs to the reporting person's termination of service as a director, the RSUs vest 1/12th each month and fully vest on the date of the Annual Meeting of Stockholders the following year.

Read SEC document
June 03, 2024 Filed Jun 5, 2024 17:48 UTC OtherPut options (obligation to buy) · Derivative 49 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-24-005794 · doc4.xml · derivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,303

Underlying: Common Stock · 4,900 shares

Expires 2024-07-19

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 3/5/2024 to 5/10/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
June 03, 2024 Filed Jun 5, 2024 17:48 UTC OtherCommon Stock, $0.0001 par value 4,900 $10.00 $49,000.00
Disclosure

SEC source: 0001209191-24-005794 · doc4.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,497,694

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
May 29, 2024 Filed May 31, 2024 21:24 UTC OtherPut options (obligation to buy) · Derivative 62 $0.00 Strike: $12.50 $0.00
Disclosure

SEC source: 0001209191-24-005776 · doc4.xml · derivative · entry 2

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 316

Underlying: Common Stock · 6,200 shares

Expires 2024-07-19

F2 · derivative.exercise_date: Each put option became exercisable on the date purchased, which dates range from 3/12/2024 to 3/14/2024.

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
May 29, 2024 Filed May 31, 2024 21:24 UTC OtherCommon Stock, $0.0001 par value 6,200 $12.50 $77,500.00
Disclosure

SEC source: 0001209191-24-005776 · doc4.xml · nonDerivative · entry 1

Mill Road Capital III, L.P. · CIK 0001767199 · 10% owner

Mill Road Capital III GP LLC · CIK 0001767178 · 10% owner

LYNCH THOMAS E · CIK 0001244666 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,492,794

F1 · ownership.direct: The shares reported are directly held by Mill Road Capital III, L.P. (the "Fund"). Mill Road Capital III GP LLC (the "GP") is the sole general partner of the Fund and has sole authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the Fund. Mr. Lynch is a management committee director of the GP and has shared authority to vote (or direct the vote of), and to dispose (or direct the disposal) of, these shares on behalf of the GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
May 24, 2024 Filed May 28, 2024 23:24 UTC
Greenawalt RyanDirector · CEO, Chairman · 10% owner
OtherCommon Stock 453,495 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-065525 · ownership.xml · nonDerivative · entry 2

Greenawalt Ryan · CIK 0001803431 · Director · CEO, Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,417,540

F2 · security: On May 24, 2024, in connection with his and his spouse's estate planning, Mr. Greenawalt transferred 453,495 shares of the issuer's common stock for no consideration to Snowbird Capital LLC, an entity owned by an irrevocable trust created for the benefit of Mr. Greenawalt's direct descendants. Steven Greenawalt, Mr. Greenawalt's father, has voting power over the shares as manager of Snowbird Capital LLC. Mr. Greenawalt disclaims beneficial ownership of the shares held by Snowbird Capital LLC.

F2 · kind: On May 24, 2024, in connection with his and his spouse's estate planning, Mr. Greenawalt transferred 453,495 shares of the issuer's common stock for no consideration to Snowbird Capital LLC, an entity owned by an irrevocable trust created for the benefit of Mr. Greenawalt's direct descendants. Steven Greenawalt, Mr. Greenawalt's father, has voting power over the shares as manager of Snowbird Capital LLC. Mr. Greenawalt disclaims beneficial ownership of the shares held by Snowbird Capital LLC.

F2 · price: On May 24, 2024, in connection with his and his spouse's estate planning, Mr. Greenawalt transferred 453,495 shares of the issuer's common stock for no consideration to Snowbird Capital LLC, an entity owned by an irrevocable trust created for the benefit of Mr. Greenawalt's direct descendants. Steven Greenawalt, Mr. Greenawalt's father, has voting power over the shares as manager of Snowbird Capital LLC. Mr. Greenawalt disclaims beneficial ownership of the shares held by Snowbird Capital LLC.

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May 24, 2024 Filed May 28, 2024 23:24 UTC
Greenawalt RyanDirector · CEO, Chairman · 10% owner
GiftCommon Stock 78,002 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-065525 · ownership.xml · nonDerivative · entry 1

Greenawalt Ryan · CIK 0001803431 · Director · CEO, Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,871,035

F1 · security: On May 24, 2024, the reporting person transferred 78,002 shares of the issuer's common stock for no consideration to a family trust.

F1 · kind: On May 24, 2024, the reporting person transferred 78,002 shares of the issuer's common stock for no consideration to a family trust.

F1 · price: On May 24, 2024, the reporting person transferred 78,002 shares of the issuer's common stock for no consideration to a family trust.

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March 19, 2024 Filed Mar 21, 2024 16:35 UTC GrantCommon Stock 7,601 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-034784 · ownership.xml · nonDerivative · entry 1

Hoover Jeffrey Alan · CIK 0002010490 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,601

F1 · security: The reporting person was granted restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 3 years starting on February 14, 2025, subject to reporting person's continued employment with the Company.

F1 · price: The reporting person was granted restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 3 years starting on February 14, 2025, subject to reporting person's continued employment with the Company.

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March 19, 2024 Filed Mar 21, 2024 16:39 UTC
Brubaker CraigChief Operating Officer
GrantCommon Stock 4,020 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-034796 · ownership.xml · nonDerivative · entry 2

Brubaker Craig · CIK 0001919311 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,934

F2 · security: The reporting person was granted restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 3 years starting on February 14, 2025, subject to reporting person's continued employment with the Company.

F2 · price: The reporting person was granted restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 3 years starting on February 14, 2025, subject to reporting person's continued employment with the Company.

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March 19, 2024 Filed Mar 21, 2024 16:39 UTC
Brubaker CraigChief Operating Officer
GrantCommon Stock 6,836 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-034796 · ownership.xml · nonDerivative · entry 1

Brubaker Craig · CIK 0001919311 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,914

F1 · security: The reporting person was granted performance stock units ("PSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan. Each PSU represents the right to receive one share of Common Stock. The PSUs were earned on March 19, 2024 and will vest annually over 2 years starting on February 14, 2025, subject to reporting person's continued employment with the Company.

F1 · price: The reporting person was granted performance stock units ("PSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan. Each PSU represents the right to receive one share of Common Stock. The PSUs were earned on March 19, 2024 and will vest annually over 2 years starting on February 14, 2025, subject to reporting person's continued employment with the Company.

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March 19, 2024 Filed Mar 21, 2024 20:45 UTC
Greenawalt RyanDirector · CEO, Chairman · 10% owner
GrantCommon Stock 38,705 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-034809 · ownership.xml · nonDerivative · entry 2

Greenawalt Ryan · CIK 0001803431 · Director · CEO, Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,949,037

F2 · security: The reporting person was granted restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 3 years starting on February 14, 2025, subject to reporting person's continued employment with the Company.

F2 · price: The reporting person was granted restricted stock units ("RSUs") under the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan. Each RSU represents the right to receive one share of Common Stock. The RSUs will vest annually over 3 years starting on February 14, 2025, subject to reporting person's continued employment with the Company.

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