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Digital Turbine, Inc.

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0000317788
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407

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0 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202601
Mar 202600
Apr 202600
May 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
November 03, 2020 Filed Nov 5, 2020 18:28 UTC
Karish JeffDirector
SaleCommon Stock 20,000 $34.39 $687,800.00
Disclosure

SEC source: 0001628280-20-015650 · wf-form4_160460090868753.xml · nonDerivative · entry 1

Karish Jeff · CIK 0001533944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,447

Read SEC document
October 01, 2020 Filed Oct 14, 2020 13:16 UTC SaleCommon Stock 30,000 $34.35 $1,030,500.00
Disclosure

SEC source: 0001628280-20-014467 · wf-form4_160268140560056.xml · nonDerivative · entry 1

Rogers Christopher Thomas · CIK 0001334486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,198

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

Read SEC document
September 08, 2020 Filed Sep 9, 2020 19:19 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
SaleCommon Stock 84,585 $24.10 $2,038,498.50
Disclosure

SEC source: 0001628280-20-013393 · wf-form4_159967917720321.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,035,989

Read SEC document
July 31, 2020 Filed Aug 4, 2020 21:37 UTC GrantCommon Stock 7,052 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-011670 · wf-form4_159657689108999.xml · nonDerivative · entry 1

Rogers Christopher Thomas · CIK 0001334486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,198

F1 · kind: Grant of of restricted common stock units (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2020 through July 31, 2021.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2020, February 1, 2021, May 1, 2021 and August 1, 2021. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 21:33 UTC GrantCommon Stock 6,691 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-011667 · wf-form4_159657654555278.xml · nonDerivative · entry 1

STERLING MICHELLE M · CIK 0001639912 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,890

F1 · kind: Grant of of restricted common stock units (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2020 through July 31, 2021.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2020, February 1, 2021, May 1, 2021 and August 1, 2021. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 21:35 UTC GrantCommon Stock 6,844 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-011669 · wf-form4_159657679929876.xml · nonDerivative · entry 2

Chestnutt Roy H · CIK 0001566223 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,056

F1 · kind: Grant of of restricted common stock units (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2020 through July 31, 2021.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2020, February 1, 2021, May 1, 2021 and August 1, 2021. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 21:06 UTC GrantCommon Stock 6,691 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-011662 · wf-form4_159657498292627.xml · nonDerivative · entry 1

STERLING MICHELLE M · CIK 0001639912 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,890

F1 · kind: Grant of of restricted common stock units (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2020 through July 31, 2021.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2020, February 1, 2021, May 1, 2021 and August 1, 2021. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 21:01 UTC GrantCommon Stock 7,015 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-011658 · wf-form4_159657476251266.xml · nonDerivative · entry 1

GYANI MOHAN S · CIK 0001182428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,602

F1 · kind: Grant of of restricted common stock units (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2020 through July 31, 2021.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2020, February 1, 2021, May 1, 2021 and August 1, 2021. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 20:58 UTC GrantCommon Stock 10,609 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-011657 · wf-form4_159657458691666.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,531

F1 · kind: Grant of of restricted common stock units (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2020 through July 31, 2021.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2020, February 1, 2021, May 1, 2021 and August 1, 2021. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

Read SEC document
July 31, 2020 Filed Aug 4, 2020 20:55 UTC
Karish JeffDirector
GrantCommon Stock 6,898 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-011653 · wf-form4_159657414359166.xml · nonDerivative · entry 1

Karish Jeff · CIK 0001533944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,447

F1 · kind: Grant of of restricted common stock units (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2020 through July 31, 2021.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2020, February 1, 2021, May 1, 2021 and August 1, 2021. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:21 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
GrantEmployee Stock Options (right to buy) · Derivative 142,315 $0.00 Strike: $6.62 $0.00
Disclosure

SEC source: 0001628280-20-008944 · wf-form4_159123368262252.xml · derivative · entry 7

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,315

Underlying: Common Stock · 142,315 shares

Expires 2030-06-03

F7 · security: Employee stock options (right to buy)("Options") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F8 · security: Options vest over four years. 25% of the Options vest on the first anniversary of the grant date, and the balance vests proportionately each month during the remaining three years. The date exercisable reflected in Column 6 of Table II reflects the first vesting date (i.e., the first anniversary of the grant date).

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:21 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
GrantPerformance Stock Units · Derivative 37,764 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008944 · wf-form4_159123368262252.xml · derivative · entry 6

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,764

Underlying: Common Stock · 37,764 shares

Expires not disclosed

F5 · security: Performance Stock Units ("PSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F6 · shares: This is a target only. The value of PSUs is tied to satisfaction of certain performance criteria (other than the price of Issuer's common stock) determined after the close of FY2023. Reporting Person may acquire shares of Issuer's common stock to the extent that the performance criteria are satisfied. The actual number of shares ultimately deliverable ranges from -0- to 75,528 (subject to any subsequent stock splits and the like).

F4 · derivative.expiration_date: Not applicable

F6 · derivative.underlying_shares: This is a target only. The value of PSUs is tied to satisfaction of certain performance criteria (other than the price of Issuer's common stock) determined after the close of FY2023. Reporting Person may acquire shares of Issuer's common stock to the extent that the performance criteria are satisfied. The actual number of shares ultimately deliverable ranges from -0- to 75,528 (subject to any subsequent stock splits and the like).

F6 · balance_after: This is a target only. The value of PSUs is tied to satisfaction of certain performance criteria (other than the price of Issuer's common stock) determined after the close of FY2023. Reporting Person may acquire shares of Issuer's common stock to the extent that the performance criteria are satisfied. The actual number of shares ultimately deliverable ranges from -0- to 75,528 (subject to any subsequent stock splits and the like).

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:21 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
OtherRestricted Stock Units · Derivative 72,674 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008944 · wf-form4_159123368262252.xml · derivative · entry 5

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 72,674 shares

Expires not disclosed

F2 · security: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F1 · date: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · kind: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F4 · derivative.exercise_date: Not applicable

F4 · derivative.expiration_date: Not applicable

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:21 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
OtherRestricted Stock Units · Derivative 33,156 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008944 · wf-form4_159123368262252.xml · derivative · entry 4

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,156 shares

Expires not disclosed

F2 · security: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F1 · date: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · kind: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F4 · derivative.exercise_date: Not applicable

F4 · derivative.expiration_date: Not applicable

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:21 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
GrantCommon Stock 37,764 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008944 · wf-form4_159123368262252.xml · nonDerivative · entry 3

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,120,574

F2 · shares: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F3 · shares: RSUs vest over three years. One-third of the RSUs vest on the first anniversary of the grant date (i.e., the date indicated). The balance vest proportionately each month during the remaining two years.

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:21 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
OtherCommon Stock 72,674 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008944 · wf-form4_159123368262252.xml · nonDerivative · entry 2

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,082,810

F1 · date: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · kind: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · shares: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:21 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
OtherCommon Stock 33,156 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008944 · wf-form4_159123368262252.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,010,136

F1 · date: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · kind: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · shares: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:19 UTC
GARRISON J. BARRETTExecutive Vice President, CFO
GrantEmployee Stock Options (right to buy) · Derivative 56,926 $0.00 Strike: $6.62 $0.00
Disclosure

SEC source: 0001628280-20-008942 · wf-form4_159123353719052.xml · derivative · entry 7

GARRISON J. BARRETT · CIK 0001684694 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,926

Underlying: Common Stock · 56,926 shares

Expires 2030-06-03

F7 · security: Employee stock options (right to buy)("Options") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F8 · security: Options vest over three years. One-third of the Options vest on the first anniversary of the grant date (i.e., the date indicated in Column 3 of Table II), and the balance vests proportionately each month during the remaining two years.

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:19 UTC
GARRISON J. BARRETTExecutive Vice President, CFO
GrantPerformance Stock Units · Derivative 15,106 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008942 · wf-form4_159123353719052.xml · derivative · entry 6

GARRISON J. BARRETT · CIK 0001684694 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,106

Underlying: Common Stock · 15,106 shares

Expires not disclosed

F5 · security: Performance Stock Units ("PSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F6 · shares: This is a target only. The value of PSUs is tied to satisfaction of certain performance criteria (other than the price of Issuer's common stock) determined after the close of FY2023. Reporting Person may acquire shares of Issuer's common stock to the extent that the performance criteria are satisfied. The actual number of shares ultimately deliverable ranges from -0- to 30,212 (subject to any subsequent stock splits and the like).

F4 · derivative.expiration_date: Not applicable

F6 · derivative.underlying_shares: This is a target only. The value of PSUs is tied to satisfaction of certain performance criteria (other than the price of Issuer's common stock) determined after the close of FY2023. Reporting Person may acquire shares of Issuer's common stock to the extent that the performance criteria are satisfied. The actual number of shares ultimately deliverable ranges from -0- to 30,212 (subject to any subsequent stock splits and the like).

F6 · balance_after: This is a target only. The value of PSUs is tied to satisfaction of certain performance criteria (other than the price of Issuer's common stock) determined after the close of FY2023. Reporting Person may acquire shares of Issuer's common stock to the extent that the performance criteria are satisfied. The actual number of shares ultimately deliverable ranges from -0- to 30,212 (subject to any subsequent stock splits and the like).

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:19 UTC
GARRISON J. BARRETTExecutive Vice President, CFO
OtherRestricted Stock Units · Derivative 21,552 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008942 · wf-form4_159123353719052.xml · derivative · entry 5

GARRISON J. BARRETT · CIK 0001684694 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,552 shares

Expires not disclosed

F2 · security: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F1 · date: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · kind: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F4 · derivative.expiration_date: Not applicable

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:19 UTC
GARRISON J. BARRETTExecutive Vice President, CFO
OtherRestricted Stock Units · Derivative 43,605 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008942 · wf-form4_159123353719052.xml · derivative · entry 4

GARRISON J. BARRETT · CIK 0001684694 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 43,605 shares

Expires not disclosed

F2 · security: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F1 · date: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · kind: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F4 · derivative.expiration_date: Not applicable

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:19 UTC
GARRISON J. BARRETTExecutive Vice President, CFO
GrantCommon Stock 15,106 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008942 · wf-form4_159123353719052.xml · nonDerivative · entry 3

GARRISON J. BARRETT · CIK 0001684694 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,263

F2 · shares: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F3 · shares: RSUs vest over three years. One-third of the RSUs vest on the first anniversary of the grant date (i.e., the date indicated). The balance vest proportionately each month during the remaining two years.

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:19 UTC
GARRISON J. BARRETTExecutive Vice President, CFO
OtherCommon Stock 21,552 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008942 · wf-form4_159123353719052.xml · nonDerivative · entry 2

GARRISON J. BARRETT · CIK 0001684694 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,157

F1 · date: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · kind: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · shares: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

Read SEC document
June 01, 2020 Filed Jun 4, 2020 01:19 UTC
GARRISON J. BARRETTExecutive Vice President, CFO
OtherCommon Stock 43,605 $0.00 $0.00
Disclosure

SEC source: 0001628280-20-008942 · wf-form4_159123353719052.xml · nonDerivative · entry 1

GARRISON J. BARRETT · CIK 0001684694 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,605

F1 · date: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · kind: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

F1 · shares: The reported transaction was previously reported as a grant of restricted stock units in Table II of Form 4. The reporting person has elected to report such restricted stock units in Table I rather than Table II and the reported transaction reflects such change in reporting. The total reported in Column 5 now includes the previously reported restricted stock units on Table II as common stock.

Read SEC document
April 17, 2020 Filed Apr 27, 2020 22:19 UTC
COLLINS CHRISTINEChief Technology Officer
GrantEmployee Stock Options (right to buy) · Derivative 90,441 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001628280-20-005655 · wf-form4_158802593324076.xml · derivative · entry 1

COLLINS CHRISTINE · CIK 0001783117 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,441

Underlying: Common Stock · 90,441 shares

Expires 2030-04-17

F1 · security: Employee stock options (right to buy)("Options") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F2 · derivative.exercise_date: Options vest over three years. Vesting occurs monthly, in equal installments, over a period of thirty-six months beginning one month after date of grant (i.e., the date indicated).

Read SEC document
April 17, 2020 Filed Apr 27, 2020 22:20 UTC
WESCH DAVIDChief Accounting Officer
GrantEmployee Stock Options (right to buy) · Derivative 20,956 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001628280-20-005656 · wf-form4_158802598497121.xml · derivative · entry 1

WESCH DAVID · CIK 0001680923 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,956

Underlying: Common Stock · 20,956 shares

Expires 2030-04-17

F1 · security: Employee stock options (right to buy)("Options") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F2 · derivative.exercise_date: Options vest over three years. Vesting occurs monthly, in equal installments, over a period of thirty-six months beginning one month after date of grant (i.e., the date indicated).

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March 17, 2020 Filed Mar 17, 2020 23:13 UTC
Karish JeffDirector
PurchaseCommon Stock 5,000 $4.22 $21,100.00
Disclosure

SEC source: 0001628280-20-003736 · wf-form4_158448681926251.xml · nonDerivative · entry 1

Karish Jeff · CIK 0001533944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,549

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March 17, 2020 Filed Mar 17, 2020 23:12 UTC PurchaseCommon Stock 6,000 $4.13 $24,780.00
Disclosure

SEC source: 0001628280-20-003734 · wf-form4_158448671034439.xml · nonDerivative · entry 1

GYANI MOHAN S · CIK 0001182428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,587

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March 17, 2020 Filed Mar 17, 2020 23:06 UTC PurchaseCommon Stock 5,000 $4.26 $21,300.00
Disclosure

SEC source: 0001628280-20-003733 · wf-form4_158448639904850.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 328,268

F1 · ownership.nature: Shares are held by a trust, of which the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of Shares held by the trust except to the extent of his pecuniary interest therein.

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March 09, 2020 Filed Mar 10, 2020 14:26 UTC PurchaseCommon Stock 5,000 $6.02 $30,100.00
Disclosure

SEC source: 0001628280-20-003253 · wf-form4_158385036336658.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 323,268

F1 · ownership.nature: Shares are held by a trust, of which the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of Shares held by the trust except to the extent of his pecuniary interest therein.

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February 27, 2020 Filed Feb 28, 2020 15:32 UTC PurchaseCommon Stock 2,000 $5.79 $11,580.00
Disclosure

SEC source: 0001628280-20-002528 · wf-form4_158290394692574.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 318,268

F1 · ownership.nature: Shares are held by a trust, of which the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of Shares held by the trust except to the extent of his pecuniary interest therein.

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February 25, 2020 Filed Feb 25, 2020 23:19 UTC PurchaseCommon Stock 10,000 $6.12 $61,200.00
Disclosure

SEC source: 0001628280-20-002235 · wf-form4_158267275930343.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 316,268

F1 · ownership.nature: Shares are held by a trust, of which the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of Shares held by the trust except to the extent of his pecuniary interest therein.

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February 25, 2020 Filed Feb 25, 2020 21:37 UTC PurchaseCommon Stock 12,500 $6.02 $75,250.00
Disclosure

SEC source: 0001628280-20-002213 · wf-form4_158266665259793.xml · nonDerivative · entry 1

GYANI MOHAN S · CIK 0001182428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,587

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February 20, 2020 Filed Feb 21, 2020 22:20 UTC
COLLINS CHRISTINEChief Technology Officer
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 20,000 $0.00 Strike: $1.68 $0.00
Disclosure

SEC source: 0001628280-20-001992 · wf-form4_158232359353585.xml · derivative · entry 3

COLLINS CHRISTINE · CIK 0001783117 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 20,000 shares

Expires 2028-06-07

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

F1 · security: Grant of employee stock options (right to buy) ("Options") pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F2 · derivative.exercise_date: These options vest and become exercisable ratably on a monthly basis over three years beginning July 7, 2018.

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February 20, 2020 Filed Feb 21, 2020 22:20 UTC
COLLINS CHRISTINEChief Technology Officer
SaleCommon Stock 20,000 $6.91 $138,200.00
Disclosure

SEC source: 0001628280-20-001992 · wf-form4_158232359353585.xml · nonDerivative · entry 2

COLLINS CHRISTINE · CIK 0001783117 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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February 20, 2020 Filed Feb 21, 2020 22:20 UTC
COLLINS CHRISTINEChief Technology Officer
Exercise / conversionCommon Stock 20,000 $1.68 $33,600.00
Disclosure

SEC source: 0001628280-20-001992 · wf-form4_158232359353585.xml · nonDerivative · entry 1

COLLINS CHRISTINE · CIK 0001783117 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

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

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February 20, 2020 Filed Feb 21, 2020 22:13 UTC PurchaseCommon Stock 12,500 $6.91 $86,375.00
Disclosure

SEC source: 0001628280-20-001986 · wf-form4_158232318692698.xml · nonDerivative · entry 1

Chestnutt Roy H · CIK 0001566223 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,912

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February 18, 2020 Filed Feb 19, 2020 20:04 UTC PurchaseCommon Stock 10,000 $6.71 $67,100.00
Disclosure

SEC source: 0001628280-20-001777 · wf-form4_158214265599923.xml · nonDerivative · entry 2

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 579,922

F1 · ownership.direct: Shares reported as direct, prior to the transactions reported on this Form 4, were previously reported as indirect

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February 14, 2020 Filed Feb 19, 2020 20:04 UTC PurchaseCommon Stock 10,000 $6.66 $66,600.00
Disclosure

SEC source: 0001628280-20-001777 · wf-form4_158214265599923.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 569,922

F1 · ownership.direct: Shares reported as direct, prior to the transactions reported on this Form 4, were previously reported as indirect

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February 13, 2020 Filed Feb 13, 2020 18:34 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
PurchaseCommon Stock 5,000 $6.62 $33,100.00
Disclosure

SEC source: 0001628280-20-001483 · wf-form4_158161885568760.xml · nonDerivative · entry 2

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 976,980

Read SEC document
February 13, 2020 Filed Feb 13, 2020 18:34 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
PurchaseCommon Stock 7,500 $6.73 $50,475.00
Disclosure

SEC source: 0001628280-20-001483 · wf-form4_158161885568760.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 971,980

Read SEC document
November 15, 2019 Filed Aug 4, 2020 21:35 UTC PurchaseCommon Stock 6,300 $8.04 $50,652.00
Disclosure

SEC source: 0001628280-20-011669 · wf-form4_159657679929876.xml · nonDerivative · entry 1

Chestnutt Roy H · CIK 0001566223 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,212

Read SEC document
November 13, 2019 Filed Nov 15, 2019 00:36 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
SaleCommon Stock 10,000 $8.10 $81,000.00
Disclosure

SEC source: 0001628280-19-014256 · wf-form4_157377815343178.xml · nonDerivative · entry 2

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 964,480

Read SEC document
November 12, 2019 Filed Nov 15, 2019 00:36 UTC
STONE WILLIAM GORDON IIIDirector · Chief Executive Officer
SaleCommon Stock 35,000 $8.20 $287,000.00
Disclosure

SEC source: 0001628280-19-014256 · wf-form4_157377815343178.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 974,480

Read SEC document
November 12, 2019 Filed Nov 15, 2019 00:36 UTC PurchaseCommon Stock 13,640 $7.45 $101,618.00
Disclosure

SEC source: 0001628280-19-014258 · wf-form4_157377819351283.xml · nonDerivative · entry 1

STERLING MICHELLE M · CIK 0001639912 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 13,640

F1 · balance_after: Shares are held by the Michelle Marie Sterling Trust (the "Trust"), of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of shares held by the Trust except to the extent of her pecuniary interest therein.

F1 · ownership.nature: Shares are held by the Michelle Marie Sterling Trust (the "Trust"), of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of shares held by the Trust except to the extent of her pecuniary interest therein.

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November 12, 2019 Filed Nov 15, 2019 00:36 UTC GiftCommon Stock 13,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-19-014257 · wf-form4_157377817335494.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 866,190

F1 · security: Of such Shares, 294,268 are held by the Robert and Ellen Deutschman Family Trust (the "Trust"), of which the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of Shares held by the Trust except to the extent of his pecuniary interest therein.

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August 03, 2019 Filed Aug 7, 2019 00:39 UTC GrantCommon Stock 10,753 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-044908 · doc4.xml · nonDerivative · entry 1

STERLING MICHELLE M · CIK 0001639912 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,199

F1 · kind: Grant of shares of restricted common stock (the "Shares") pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2019 through July 31, 2020.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2019, February 1, 2020, May 1, 2020 and August 1, 2020. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

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August 03, 2019 Filed Aug 7, 2019 00:37 UTC GrantCommon Stock 11,985 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-044907 · doc4.xml · nonDerivative · entry 1

Rogers Christopher Thomas · CIK 0001334486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,146

F1 · kind: Grant of shares of restricted common stock (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2019 through July 31, 2020.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2019, February 1, 2020, May 1, 2020 and August 1, 2020. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

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August 03, 2019 Filed Aug 7, 2019 00:36 UTC GrantCommon Stock 11,537 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-044906 · doc4.xml · nonDerivative · entry 1

GYANI MOHAN S · CIK 0001182428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,087

F1 · kind: Grant of shares of restricted common stock (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2019 through July 31, 2020.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2019, February 1, 2020, May 1, 2020 and August 1, 2020. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

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August 03, 2019 Filed Aug 7, 2019 00:35 UTC Amendment GrantCommon Stock 18,145 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-044905 · doc4a.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 4.

Disclosed balance after: 879,190

F1 · security: This Form 4A amends and restates in its entirety the Form 4 inadvertently filed in error on behalf of the Reporting Person on August 2, 2019.

F2 · kind: Grant of shares of restricted common stock (the "Shares") pursuant to Issuer's Amended and Restated 2011 Equity Incentive Plan. Such Shares were granted as part of Reporting Person's compensation for services as a non-employee director of Issuer for the period August 1, 2019 through July 31, 2020.

F3 · shares: The Shares vest in four equal quarterly increments on November 1, 2019, February 1, 2020, May 1, 2020 and August 1, 2020. The last quarter of unvested shares will automatically vest as of the annual meeting of stockholders if Reporting Person either is not re-elected or is not nominated for re-election, and the annual meeting occurs before the final vesting of the grant.

F4 · balance_after: Of such Shares, 294,268 are held by the Robert and Ellen Deutschman Family Trust (the "Trust"), of which the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of Shares held by the Trust except to the extent of his pecuniary interest therein.

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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.