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AEMETIS, INC

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6595
SEC CIK
0000738214
Parsed reports
212

Last 12 months

Inside the activity.

0 purchase rows · 1 sale rows

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

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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
March 28, 2020 Filed Mar 31, 2020 21:44 UTC GrantOption (right to buy) · Derivative 5,000 $0.60 Strike: $0.60 $3,000.00
Disclosure

SEC source: 0001593968-20-000914 · primary_01.xml · derivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common stock and Series B Preferred · 5,000 shares

Expires 2030-03-28

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 5,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.60 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 5,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.60 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
March 28, 2020 Filed Mar 31, 2020 21:37 UTC GrantOption (right to buy) · Derivative 60,000 $0.60 Strike: $0.60 $36,000.00
Disclosure

SEC source: 0001593968-20-000909 · primary_01.xml · derivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2030-03-28

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.60 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.60 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 10, 2020 Filed Jan 14, 2020 18:39 UTC
MCAFEE ERIC ADirector · Chief Executive Officer · 10% owner
Disposition to issuerCommon Stock 120,000 $0.00 $120.00
Disclosure

SEC source: 0001593968-20-000147 · primary_01.xml · nonDerivative · entry 1

MCAFEE ERIC A · CIK 0001134889 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by McAfee Capital LLC

Disclosed balance after: 3,181,548

F1 · acquired: Private sale of shares at $.001 per share

F2 · ownership.nature: McAfee Capital, LLC is an entity owned and controlled by Reporting Person.

Read SEC document
January 09, 2020 Filed Jan 13, 2020 19:14 UTC
BLOCK JOHN RDirector
GrantOption (right to buy) · Derivative 40,000 $0.00 Strike: $0.86 $0.00
Disclosure

SEC source: 0001593968-20-000139 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock and Series B Preferred · 40,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 09, 2020 Filed Jan 14, 2020 00:20 UTC
Waltz ToddExecutive Vice President, CFO
GrantOption (right to buy) · Derivative 120,000 $0.00 Strike: $0.86 $0.00
Disclosure

SEC source: 0001593968-20-000144 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common stock and Series B Preferred · 120,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 120,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 120,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 09, 2020 Filed Jan 14, 2020 00:18 UTC GrantOption (right to buy) · Derivative 50,000 $0.00 Strike: $0.86 $0.00
Disclosure

SEC source: 0001593968-20-000143 · primary_01.xml · derivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock and Series B Preferred · 50,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 50,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 50,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 09, 2020 Filed Jan 14, 2020 00:16 UTC
FOSTER ANDREW BExecutive Vice President
GrantOption (right to buy) · Derivative 100,000 $0.00 Strike: $0.86 $0.00
Disclosure

SEC source: 0001593968-20-000141 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock and Series B Preferred · 100,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 09, 2020 Filed Jan 14, 2020 00:17 UTC GrantOption (right to buy) · Derivative 60,000 $0.00 Strike: $0.86 $0.00
Disclosure

SEC source: 0001593968-20-000142 · primary_01.xml · derivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 09, 2020 Filed Jan 14, 2020 00:15 UTC
Gupta SanjeevExecutive Vice President, MD
GrantOption (right to buy) · Derivative 100,000 $0.00 Strike: $0.86 $0.00
Disclosure

SEC source: 0001593968-20-000140 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock and Series B Preferred · 100,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.86 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:12 UTC
FOSTER ANDREW BExecutive Vice President
GrantOption (right to buy) · Derivative 60,000 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001593968-19-001373 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2029-06-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $0.92 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $0.92 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 16:06 UTC
BLOCK JOHN RDirector
GrantOption (right to buy) · Derivative 8,000 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001593968-19-001368 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common stock and Series B Preferred · 8,000 shares

Expires 2029-06-05

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 8,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.92 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 8,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.92 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:11 UTC GrantOption (right to buy) · Derivative 12,500 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001593968-19-001372 · primary_01.xml · derivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common stock and Series B Preferred · 12,500 shares

Expires 2029-06-05

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 12,500 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.92 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 12,500 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.92 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:10 UTC GrantOption (right to buy) · Derivative 10,000 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001593968-19-001371 · primary_01.xml · derivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common stock and Series B Preferred · 10,000 shares

Expires 2029-06-05

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 10,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.92 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 10,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.92 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:09 UTC
Gupta SanjeevExecutive Vice President, MD
GrantOption (right to buy) · Derivative 60,000 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001593968-19-001370 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2029-06-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $0.92 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $0.92 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:07 UTC
Waltz ToddExecutive Vice President, CFO
GrantOption (right to buy) · Derivative 65,000 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001593968-19-001369 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common stock and Series B Preferred · 65,000 shares

Expires 2029-06-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 65,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $0.92 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 65,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $0.92 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 20:05 UTC GrantOption (right to buy) · Derivative 8,000 $0.00 Strike: $0.92 $0.00
Disclosure

SEC source: 0001593968-19-001367 · primary_01.xml · derivative · entry 1

Hutcheson Steven W. · CIK 0001526099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common stock and Series B Preferred · 8,000 shares

Expires 2029-06-05

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 8,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.92 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 8,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.92 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 13:50 UTC
BLOCK JOHN RDirector
GrantOption (right to buy) · Derivative 40,000 $0.70 Strike: $0.70 $28,000.00
Disclosure

SEC source: 0001593968-19-000139 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock and Series B Preferred · 40,000 shares

Expires 2029-01-07

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 18:53 UTC
FOSTER ANDREW BExecutive Vice President
GrantOption (right to buy) · Derivative 100,000 $0.70 Strike: $0.70 $70,000.00
Disclosure

SEC source: 0001593968-19-000142 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock and Series B Preferred · 100,000 shares

Expires 2029-01-07

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 18:52 UTC
Waltz ToddExecutive Vice President, CFO
GrantOption (right to buy) · Derivative 120,000 $0.70 Strike: $0.70 $84,000.00
Disclosure

SEC source: 0001593968-19-000141 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common stock and Series B Preferred · 120,000 shares

Expires 2029-01-07

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 120,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 120,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 18:47 UTC
Gupta SanjeevExecutive Vice President, MD
GrantOption (right to buy) · Derivative 100,000 $0.70 Strike: $0.70 $70,000.00
Disclosure

SEC source: 0001593968-19-000137 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock and Series B Preferred · 100,000 shares

Expires 2029-01-07

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 18:48 UTC GrantOption (right to buy) · Derivative 60,000 $0.70 Strike: $0.70 $42,000.00
Disclosure

SEC source: 0001593968-19-000138 · primary_01.xml · derivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2029-01-07

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 18:51 UTC GrantOption (right to buy) · Derivative 50,000 $0.70 Strike: $0.70 $35,000.00
Disclosure

SEC source: 0001593968-19-000140 · primary_01.xml · derivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock and Series B Preferred · 50,000 shares

Expires 2029-01-07

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 50,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 50,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 08, 2019 Filed Jan 10, 2019 18:44 UTC GrantOption (right to buy) · Derivative 40,000 $0.70 Strike: $0.70 $28,000.00
Disclosure

SEC source: 0001593968-19-000136 · primary_01.xml · derivative · entry 1

Hutcheson Steven W. · CIK 0001526099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock and Series B Preferred · 40,000 shares

Expires 2029-01-07

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
November 30, 2018 Filed Dec 3, 2018 21:46 UTC PurchaseCommon Stock 5,000 $0.79 $3,938.50
Disclosure

SEC source: 0001593968-18-001520 · primary_01.xml · nonDerivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Read SEC document
May 17, 2018 Filed May 18, 2018 16:54 UTC
BLOCK JOHN RDirector
GrantOption (right to buy) · Derivative 25,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0001593968-18-000791 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common stock and Series B Preferred · 25,000 shares

Expires 2023-05-17

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 25,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 25,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

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May 17, 2018 Filed May 18, 2018 21:02 UTC
FOSTER ANDREW BExecutive Vice President
GrantOption (right to buy) · Derivative 60,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0001593968-18-000797 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2023-05-17

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
May 17, 2018 Filed May 18, 2018 21:01 UTC
Waltz ToddExecutive Vice President, CFO
GrantOption (right to buy) · Derivative 60,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0001593968-18-000796 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2023-05-17

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
May 17, 2018 Filed May 18, 2018 21:00 UTC
Gupta SanjeevExecutive Vice President, MD
GrantOption (right to buy) · Derivative 60,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0001593968-18-000795 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2023-05-17

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
May 17, 2018 Filed May 18, 2018 20:57 UTC GrantOption (right to buy) · Derivative 30,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0001593968-18-000794 · primary_01.xml · derivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock and Series B Preferred · 30,000 shares

Expires 2023-05-17

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 30,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 30,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
May 17, 2018 Filed May 18, 2018 20:56 UTC GrantOption (right to buy) · Derivative 25,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0001593968-18-000793 · primary_01.xml · derivative · entry 1

Hutcheson Steven W. · CIK 0001526099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common stock and Series B Preferred · 25,000 shares

Expires 2023-05-17

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 25,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 25,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
May 17, 2018 Filed May 18, 2018 20:55 UTC GrantOption (right to buy) · Derivative 30,000 $0.00 Strike: $1.71 $0.00
Disclosure

SEC source: 0001593968-18-000792 · primary_01.xml · derivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock and Series B Preferred · 30,000 shares

Expires 2023-05-17

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 30,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Non-Qualified Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 30,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $1.71 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 18, 2018 Filed Jan 22, 2018 13:29 UTC
BLOCK JOHN RDirector
GrantOption (right to buy) · Derivative 40,000 $0.70 Strike: $0.70 $28,000.00
Disclosure

SEC source: 0001593968-18-000175 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock and Series B Preferred · 40,000 shares

Expires 2028-01-18

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 18, 2018 Filed Jan 22, 2018 18:32 UTC GrantOption (right to buy) · Derivative 60,000 $0.70 Strike: $0.70 $42,000.00
Disclosure

SEC source: 0001593968-18-000178 · primary_01.xml · derivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2028-01-18

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 60,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 18, 2018 Filed Jan 22, 2018 18:34 UTC GrantOption (right to buy) · Derivative 40,000 $0.70 Strike: $0.70 $28,000.00
Disclosure

SEC source: 0001593968-18-000179 · primary_01.xml · derivative · entry 1

Hutcheson Steven W. · CIK 0001526099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock and Series B Preferred · 40,000 shares

Expires 2028-01-18

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 40,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 18, 2018 Filed Jan 22, 2018 18:31 UTC
FOSTER ANDREW BExecutive Vice President
GrantOption (right to buy) · Derivative 100,000 $0.70 Strike: $0.70 $70,000.00
Disclosure

SEC source: 0001593968-18-000177 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock and Series B Preferred · 100,000 shares

Expires 2028-01-18

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 18, 2018 Filed Jan 22, 2018 18:30 UTC GrantOption (right to buy) · Derivative 50,000 $0.70 Strike: $0.70 $35,000.00
Disclosure

SEC source: 0001593968-18-000176 · primary_01.xml · derivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock and Series B Preferred · 50,000 shares

Expires 2028-01-18

F1 · derivative.exercise_date: 100% vest Immediately

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 50,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 50,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 18, 2018 Filed Jan 22, 2018 18:26 UTC
Gupta SanjeevExecutive Vice President, MD
GrantOption (right to buy) · Derivative 100,000 $0.70 Strike: $0.70 $70,000.00
Disclosure

SEC source: 0001593968-18-000174 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock and Series B Preferred · 100,000 shares

Expires 2028-01-18

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 100,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
January 18, 2018 Filed Jan 22, 2018 18:17 UTC
Waltz ToddExecutive Vice President, CFO
GrantOption (right to buy) · Derivative 120,000 $0.70 Strike: $0.70 $84,000.00
Disclosure

SEC source: 0001593968-18-000167 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common stock and Series B Preferred · 120,000 shares

Expires 2028-01-18

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 120,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 120,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $0.70 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

Read SEC document
November 16, 2017 Filed Nov 20, 2017 17:10 UTC
BLOCK JOHN RDirector
GrantOption (right to buy) · Derivative 20,000 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001593968-17-001251 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common stock and Series B Preferred · 20,000 shares

Expires 2027-11-16

F1 · derivative.exercise_price: Stock Options granted with immediate vesting

Read SEC document
November 16, 2017 Filed Nov 20, 2017 22:17 UTC
Waltz ToddExecutive Vice President, CFO
GrantOption (right to buy) · Derivative 30,000 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001593968-17-001257 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock and Series B Preferred · 30,000 shares

Expires 2027-11-16

F1 · derivative.exercise_price: Stock Options granted with immediate vesting

Read SEC document
November 16, 2017 Filed Nov 20, 2017 22:16 UTC
FOSTER ANDREW BExecutive Vice President
GrantOption (right to buy) · Derivative 30,000 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001593968-17-001256 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock and Series B Preferred · 30,000 shares

Expires 2027-11-16

F1 · derivative.exercise_price: Stock Options granted with immediate vesting

Read SEC document
November 16, 2017 Filed Nov 20, 2017 22:14 UTC GrantOption (right to buy) · Derivative 30,000 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001593968-17-001254 · primary_01.xml · derivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock and Series B Preferred · 30,000 shares

Expires 2027-11-16

F1 · derivative.exercise_price: Stock Options granted with immediate vesting

Read SEC document
November 16, 2017 Filed Nov 20, 2017 22:13 UTC GrantOption (right to buy) · Derivative 10,000 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001593968-17-001253 · primary_01.xml · derivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common stock and Series B Preferred · 10,000 shares

Expires 2027-11-16

F1 · derivative.exercise_price: Stock Options granted with immediate vesting

Read SEC document
November 16, 2017 Filed Nov 20, 2017 22:15 UTC GrantOption (right to buy) · Derivative 16,250 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001593968-17-001255 · primary_01.xml · derivative · entry 1

Hutcheson Steven W. · CIK 0001526099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,250

Underlying: Common stock and Series B Preferred · 16,250 shares

Expires 2027-11-16

F1 · derivative.exercise_price: Stock Options granted with immediate vesting

Read SEC document
November 16, 2017 Filed Nov 20, 2017 22:12 UTC
Gupta SanjeevExecutive Vice President, MD
GrantOption (right to buy) · Derivative 30,000 $0.00 Strike: $0.67 $0.00
Disclosure

SEC source: 0001593968-17-001252 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock and Series B Preferred · 30,000 shares

Expires 2027-11-16

F1 · derivative.exercise_price: Stock Options granted with immediate vesting

Read SEC document
May 15, 2017 Filed May 16, 2017 17:53 UTC PurchaseCommon Stock 10,000 $1.28 $12,798.00
Disclosure

SEC source: 0001593968-17-000679 · primary_01.xml · nonDerivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
January 19, 2017 Filed Jan 20, 2017 19:59 UTC
BLOCK JOHN RDirector
GrantOption (right to buy) · Derivative 35,000 $0.00 Strike: $1.72 $0.00
Disclosure

SEC source: 0001593968-17-000129 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common stock and Series B Preferred · 35,000 shares

Expires 2027-01-19

F1 · derivative.exercise_date: 100% vest Immediately

Read SEC document
January 19, 2017 Filed Jan 21, 2017 01:02 UTC
Gupta SanjeevExecutive Vice President, MD
GrantOption (right to buy) · Derivative 100,000 $0.00 Strike: $1.72 $0.00
Disclosure

SEC source: 0001593968-17-000132 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock and Series B Preferred · 100,000 shares

Expires 2027-01-19

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

Read SEC document
January 19, 2017 Filed Jan 21, 2017 01:01 UTC GrantOption (right to buy) · Derivative 31,250 $0.00 Strike: $1.72 $0.00
Disclosure

SEC source: 0001593968-17-000131 · primary_01.xml · derivative · entry 1

Hutcheson Steven W. · CIK 0001526099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common stock and Series B Preferred · 31,250 shares

Expires 2027-01-19

F1 · derivative.exercise_date: 100% vest Immediately

Read SEC document
January 19, 2017 Filed Jan 21, 2017 01:00 UTC GrantOption (right to buy) · Derivative 15,000 $0.00 Strike: $1.72 $0.00
Disclosure

SEC source: 0001593968-17-000130 · primary_01.xml · derivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common stock and Series B Preferred · 15,000 shares

Expires 2027-01-19

F1 · derivative.exercise_date: 100% vest Immediately

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.