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Digital Turbine, Inc.

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4815
SEC CIK
0000317788
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407

Last 12 months

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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
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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
August 03, 2019 Filed Aug 7, 2019 00:34 UTC GrantCommon Stock 11,649 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-044904 · doc4.xml · nonDerivative · entry 1

Chestnutt Roy H · CIK 0001566223 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,412

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.

Read SEC document
August 03, 2019 Filed Aug 12, 2019 18:39 UTC
Karish JeffDirector
GrantCommon Stock 11,425 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-045473 · doc4.xml · nonDerivative · entry 1

Karish Jeff · CIK 0001533944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,549

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.

Read SEC document
August 01, 2019 Filed Aug 2, 2019 17:46 UTC GrantCommon Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-044171 · doc4.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 3.

Disclosed balance after: 0

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.

F3 · 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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June 20, 2019 Filed Jun 21, 2019 18:00 UTC GrantCommon Stock 1,446 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-038411 · doc4.xml · nonDerivative · entry 1

STERLING MICHELLE M · CIK 0001639912 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,446

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 and prorated for the period June 20, 2019 through July 31, 2019.

F2 · shares: The Shares vest on August 1, 2019.

Read SEC document
June 10, 2019 Filed Jun 10, 2019 22:26 UTC SaleCommon Stock 118,153 $4.45 $525,402.76
Disclosure

SEC source: 0001209191-19-035966 · doc4.xml · nonDerivative · entry 2

SCHAEFFER PAUL M · CIK 0001409754 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Paul & Judy Schaeffer Living Trust

Disclosed balance after: 503,003

F1 · shares: The aggregate number of shares (the "Shares") of Issuer's common stock sold by the Reporting Person on the same day at different prices.

F3 · price: Represents the weighted average sales price. The Shares were sold at prices ranging from $4.39 per share to $4.54 per share. Full information regarding the number of Shares sold at each price will be provided to the Staff, Issuer or any security holder, upon request.

Read SEC document
June 06, 2019 Filed Jun 10, 2019 22:26 UTC SaleCommon Stock 31,847 $4.54 $144,464.36
Disclosure

SEC source: 0001209191-19-035966 · doc4.xml · nonDerivative · entry 1

SCHAEFFER PAUL M · CIK 0001409754 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Paul & Judy Schaeffer Living Trust

Disclosed balance after: 621,156

F1 · shares: The aggregate number of shares (the "Shares") of Issuer's common stock sold by the Reporting Person on the same day at different prices.

F2 · price: Represents the weighted average sales price. The Shares were sold at prices ranging from $4.39 per share to $4.611 per share. Full information regarding the number of Shares sold at each price will be provided to the Securities and Exchange Commission staff (the "Staff"), Issuer or any security holder, upon request.

Read SEC document
June 01, 2019 Filed Jun 4, 2019 23:33 UTC GrantEmployee Stock Options (right to buy) · Derivative 150,000 $0.00 Strike: $3.77 $0.00
Disclosure

SEC source: 0001209191-19-034577 · doc4.xml · derivative · entry 3

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-06-01

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

F8 · derivative.exercise_date: One-third of the Options vest on the first anniversary of the grant date, which is June 1, 2020. The balance vest proportionately each month thereafter over the following two years from July 1, 2020, through the third anniversary of the grant date, which is June 1, 2022.

Read SEC document
June 01, 2019 Filed Jun 4, 2019 23:33 UTC GrantPerformance Stock Units · Derivative 33,156 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-034577 · doc4.xml · derivative · entry 2

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,156

Underlying: Common Stock · 33,156 shares

Expires not disclosed

F4 · security: Performance Stock Units ("PSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F5 · shares: This is a target only. 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 FY2022. 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 66,312 (subject to any subsequent stock splits and the like).

F6 · derivative.exercise_date: See footnote 5.

F3 · derivative.expiration_date: Not applicable.

F6 · derivative.underlying_shares: See footnote 5.

F6 · balance_after: See footnote 5.

Read SEC document
June 01, 2019 Filed Jun 4, 2019 23:33 UTC GrantRestricted Stock Units · Derivative 33,156 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-034577 · doc4.xml · derivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,156

Underlying: Common Stock · 33,156 shares

Expires not disclosed

F1 · security: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F2 · derivative.exercise_date: One-third of the RSUs vest on the first anniversary of the grant date, which is June 1, 2020. The balance vest proportionately each month thereafter over the following two years from July 1, 2020, through the third anniversary of the grant date, which is June 1, 2022.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
June 01, 2019 Filed Jun 4, 2019 21:07 UTC GrantEmployee Stock Options (right to buy) · Derivative 75,000 $0.00 Strike: $3.77 $0.00
Disclosure

SEC source: 0001209191-19-034394 · doc4.xml · derivative · entry 3

GARRISON J. BARRETT · CIK 0001684694 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2029-06-01

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

F8 · derivative.exercise_date: One-third of the Options vest on the first anniversary of the grant date, which is June 1, 2020. The balance vest proportionately each month thereafter over the following two years from July 1, 2020, through the third anniversary of the grant date, which is June 1, 2022.

Read SEC document
June 01, 2019 Filed Jun 4, 2019 21:07 UTC GrantPerformance Stock Units · Derivative 21,552 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-034394 · doc4.xml · derivative · entry 2

GARRISON J. BARRETT · CIK 0001684694 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,552

Underlying: Common Stock · 21,552 shares

Expires not disclosed

F4 · security: Performance Stock Units ("PSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F5 · shares: This is a target only. 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 FY2022. 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 43,104 (subject to any subsequent stock splits and the like).

F6 · derivative.exercise_date: See footnote 5.

F3 · derivative.expiration_date: Not applicable.

F6 · derivative.underlying_shares: See footnote 5.

F6 · balance_after: See footnote 5.

Read SEC document
June 01, 2019 Filed Jun 4, 2019 21:07 UTC GrantRestricted Stock Units · Derivative 21,552 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-034394 · doc4.xml · derivative · entry 1

GARRISON J. BARRETT · CIK 0001684694 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,552

Underlying: Common Stock · 21,552 shares

Expires not disclosed

F1 · security: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F2 · derivative.exercise_date: One-third of the RSUs vest on the first anniversary of the grant date, which is June 1, 2020. The balance vest proportionately each month thereafter over the following two years from July 1, 2020, through the third anniversary of the grant date, which is June 1, 2022.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
May 21, 2019 Filed May 31, 2019 19:58 UTC GrantEmployee Stock Options (right to buy) · Derivative 25,000 $0.00 Strike: $3.88 $0.00
Disclosure

SEC source: 0001209191-19-033611 · doc4.xml · derivative · entry 1

WESCH DAVID · CIK 0001680923 · CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-05-21

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 in 36 monthly installments beginning June 21, 2019 through June 21, 2022.

F3 · balance_after: Reporting Person also holds Options to purchase the following shares of common stock: (i) 40,000 shares granted 6/7/2018, (ii) 50,000 shares granted 8/4/2017, (iii) 36,675 shares granted 2/2/2017, (iv) 20,000 shares granted 1/10/2017, (v) 25,000 shares granted 11/2/2016, (vi) 30,000 shares granted 6/9/2016, (vii) 12,250 shares granted 12/9/2015, (viii) 10,000 shares granted 8/3/2015, and (ix) 25,000 shares granted 5/29/2015.

Read SEC document
September 12, 2018 Filed Sep 12, 2018 22:38 UTC PurchaseCommon Stock 25,000 $1.25 $31,137.50
Disclosure

SEC source: 0001209191-18-050705 · doc4.xml · nonDerivative · entry 1

GYANI MOHAN S · CIK 0001182428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,550

F1 · shares: Represents the weighted average purchase price. The shares were purchased in multiple transactions at prices ranging from $1.23 to $1.25 per share, inclusive. Reporting Person will provide full information regarding the number of shares purchased at each separate price within such range to the Securities and Exchange Commission Staff, Issuer or any security holder of Issuer, upon request.

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September 11, 2018 Filed Sep 11, 2018 21:18 UTC PurchaseCommon Stock 14,800 $1.27 $18,796.00
Disclosure

SEC source: 0001209191-18-050524 · doc4.xml · nonDerivative · entry 2

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1.

Disclosed balance after: 861,045

F1 · balance_after: Of such shares of common stock, 294,268 shares 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, if any, therein.

Read SEC document
September 11, 2018 Filed Sep 11, 2018 21:18 UTC PurchaseCommon Stock 10,200 $1.26 $12,852.00
Disclosure

SEC source: 0001209191-18-050524 · doc4.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1.

Disclosed balance after: 846,245

F1 · balance_after: Of such shares of common stock, 294,268 shares 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, if any, therein.

Read SEC document
September 06, 2018 Filed Sep 6, 2018 23:59 UTC PurchaseCommon Stock 20,000 $1.32 $26,404.00
Disclosure

SEC source: 0001209191-18-049970 · doc4.xml · nonDerivative · entry 1

Chestnutt Roy H · CIK 0001566223 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,763

F1 · price: Represents the weighted average purchase price. The Shares were purchased at prices ranging from $1.3175 to $1.33 per share. For full information regarding the number of shares purchased at each price shall be provided to the Securities and Exchange Commission Staff, Issuer or any security holder, upon request.

Read SEC document
July 31, 2018 Filed Aug 2, 2018 22:53 UTC GrantCommon Stock 46,763 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-045092 · doc4.xml · nonDerivative · entry 1

SCHAEFFER PAUL M · CIK 0001409754 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 3.

Disclosed balance after: 653,003

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, 2018 through July 31, 2019.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2018, February 1, 2019, May 1, 2019 and August 1, 2019. 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.

F3 · balance_after: Of such Shares, 228,254 shares are held by the Paul and Judy Schaeffer Living Trust (the "Trust"). Reporting Person disclaims beneficial ownership of shares held by the Trust except to the extent of any pecuniary interest therein.

Read SEC document
July 31, 2018 Filed Aug 2, 2018 22:49 UTC
Karish JeffDirector
GrantCommon Stock 45,863 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-045089 · doc4.xml · nonDerivative · entry 1

Karish Jeff · CIK 0001533944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,124

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, 2018 through July 31, 2019.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2018, February 1, 2019, May 1, 2019 and August 1, 2019. 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, 2018 Filed Aug 2, 2018 22:48 UTC GrantCommon Stock 48,112 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-045087 · doc4.xml · nonDerivative · entry 1

Rogers Christopher Thomas · CIK 0001334486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,161

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, 2018 through July 31, 2019.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2018, February 1, 2019, May 1, 2019 and August 1, 2019. 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, 2018 Filed Aug 2, 2018 22:37 UTC GrantCommon Stock 46,763 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-045077 · doc4.xml · nonDerivative · entry 1

Chestnutt Roy H · CIK 0001566223 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,763

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, 2018 through July 31, 2019.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2018, February 1, 2019, May 1, 2019 and August 1, 2019. 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, 2018 Filed Aug 2, 2018 22:44 UTC GrantCommon Stock 46,313 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-045082 · doc4.xml · nonDerivative · entry 1

GYANI MOHAN S · CIK 0001182428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,550

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, 2018 through July 31, 2019.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2018, February 1, 2019, May 1, 2019 and August 1, 2019. 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, 2018 Filed Aug 2, 2018 22:40 UTC GrantCommon Stock 72,842 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-045080 · doc4.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 3.

Disclosed balance after: 836,045

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, 2018 through July 31, 2019.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2018, February 1, 2019, May 1, 2019 and August 1, 2019. 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.

F3 · 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.

Read SEC document
June 15, 2018 Filed Jun 15, 2018 16:25 UTC PurchaseCommon Stock 70,000 $1.56 $109,410.00
Disclosure

SEC source: 0001209191-18-037970 · doc4.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,009,480

Read SEC document
June 10, 2018 Filed Jun 13, 2018 00:09 UTC GrantPerformance Stock Units · Derivative 43,605 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037342 · doc4.xml · derivative · entry 2

GARRISON J. BARRETT · CIK 0001684694 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,605

Underlying: Common Stock · 43,605 shares

Expires not disclosed

F3 · security: Performance Stock Units ("PSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F4 · shares: This is a target only. 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 FY2021. 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 87,210 (subject to any subsequent stock splits and the like).

F5 · derivative.exercise_date: Not applicable. See also footnote 4.

F5 · derivative.expiration_date: Not applicable. See also footnote 4.

F4 · derivative.underlying_shares: This is a target only. 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 FY2021. 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 87,210 (subject to any subsequent stock splits and the like).

F4 · balance_after: This is a target only. 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 FY2021. 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 87,210 (subject to any subsequent stock splits and the like).

Read SEC document
June 10, 2018 Filed Jun 13, 2018 00:09 UTC GrantRestricted Stock Units · Derivative 43,605 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037342 · doc4.xml · derivative · entry 1

GARRISON J. BARRETT · CIK 0001684694 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,605

Underlying: Common Stock · 43,605 shares

Expires 2028-06-10

F1 · security: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F2 · derivative.exercise_date: RSUs vest over three years. One-third of the RSUs vest on the first anniversary of the grant date, which is June 10, 2019. The balance vest proportionately each month during the remaining two years beginning July 10, 2019 through June 10, 2021.

Read SEC document
June 10, 2018 Filed Jun 13, 2018 00:04 UTC GrantPerformance Stock Units · Derivative 72,674 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037341 · doc4.xml · derivative · entry 2

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,674

Underlying: Common Stock · 72,674 shares

Expires not disclosed

F3 · security: Performance Stock Units ("PSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F4 · shares: This is a target only. 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 FY2021. 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 145,349 (subject to any subsequent stock splits and the like).

F5 · derivative.exercise_date: Not applicable. See also footnote 4.

F5 · derivative.expiration_date: Not applicable. See also footnote 4.

F4 · derivative.underlying_shares: This is a target only. 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 FY2021. 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 145,349 (subject to any subsequent stock splits and the like).

F4 · balance_after: This is a target only. 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 FY2021. 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 145,349 (subject to any subsequent stock splits and the like).

Read SEC document
June 10, 2018 Filed Jun 13, 2018 00:04 UTC GrantRestricted Stock Units · Derivative 72,674 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037341 · doc4.xml · derivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,674

Underlying: Common Stock · 72,674 shares

Expires 2028-06-10

F1 · security: Restricted Stock Units ("RSUs") granted pursuant to Issuer's 2011 Amended and Restated Equity Incentive Plan.

F2 · derivative.exercise_date: RSUs vest over three years. One-third of the RSUs vest on the first anniversary of the grant date, which is June 10, 2019. The balance vest proportionately each month during the remaining two years beginning July 10, 2019 through June 10, 2021.

Read SEC document
June 07, 2018 Filed Jun 12, 2018 00:42 UTC
WESCH DAVIDActing CAO
GrantEmployee Stock Options (right to buy) · Derivative 40,000 $0.00 Strike: $1.68 $0.00
Disclosure

SEC source: 0001209191-18-037134 · doc4.xml · derivative · entry 1

WESCH DAVID · CIK 0001680923 · Acting CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-06-07

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 in 36 monthly installments beginning July 7, 2018 through June 7, 2021.

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November 13, 2017 Filed Nov 13, 2017 18:04 UTC PurchaseCommon Stock 50,000 $1.56 $78,005.00
Disclosure

SEC source: 0001209191-17-060217 · doc4.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 939,480

F1 · shares: The aggregate of shares purchased on the same day at different prices.

F2 · price: Represents the weighted average purchase price. The Shares were purchased at prices ranging from $1.50 to $1.57 per share. For full information regarding the number of shares purchased at each price shall be provided to the Securities and Exchange Commission Staff, Issuer or any security holder, upon request.

F3 · balance_after: In addition to the common stock listed here, Reporting Person holds employee stock options (right to buy) to purchase 1,072,500 shares of Issuer's common stock.

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August 11, 2017 Filed Aug 11, 2017 18:55 UTC PurchaseCommon Stock 126,400 $1.12 $141,568.00
Disclosure

SEC source: 0001209191-17-048571 · doc4.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 889,480

F1 · price: Represents the weighted average purchase price. The Shares were purchased at prices ranging from $1.08 to $1.14 per share. For full information regarding the number of shares purchased at each price shall be provided to the Securities and Exchange Commission Staff, Issuer or any security holder, upon request.

F2 · balance_after: In addition to the common stock listed here, Reporting Person holds employee stock options (right to buy) to purchase 1,072,500 shares of Issuer's common stock.

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August 04, 2017 Filed Aug 8, 2017 22:52 UTC GrantCommon Stock 48,624 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-048189 · doc4.xml · nonDerivative · entry 1

SCHAEFFER PAUL M · CIK 0001409754 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 3.

Disclosed balance after: 606,240

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, 2017 through July 31, 2018.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2017, February 1, 2018, May 1, 2018 and August 1, 2018.

F3 · balance_after: Of such Shares, 228,254 shares are held by the Paul and Judy Schaeffer Living Trust (the "Trust"). Reporting Person disclaims beneficial ownership of shares held by the Trust except to the extent of any pecuniary interest therein.

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August 04, 2017 Filed Aug 8, 2017 22:52 UTC GrantCommon Stock 48,624 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-048187 · doc4.xml · nonDerivative · entry 1

Rogers Christopher Thomas · CIK 0001334486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,049

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, 2017 through July 31, 2018.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2017, February 1, 2018, May 1, 2018 and August 1, 2018.

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August 04, 2017 Filed Aug 8, 2017 22:50 UTC
Karish JeffDirector
GrantCommon Stock 50,917 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-048185 · doc4.xml · nonDerivative · entry 1

Karish Jeff · CIK 0001533944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,261

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, 2017 through July 31, 2018.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2017, February 1, 2018, May 1, 2018 and August 1, 2018.

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August 04, 2017 Filed Aug 8, 2017 22:49 UTC GrantCommon Stock 44,037 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-048183 · doc4.xml · nonDerivative · entry 1

GYANI MOHAN S · CIK 0001182428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,237

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, 2017 through July 31, 2018.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2017, February 1, 2018, May 1, 2018 and August 1, 2018.

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August 04, 2017 Filed Aug 8, 2017 22:48 UTC GrantCommon Stock 72,936 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-048181 · doc4.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 3.

Disclosed balance after: 763,203

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, 2017 through July 31, 2018.

F2 · shares: The Shares vest in four equal quarterly increments on November 1, 2017, February 1, 2018, May 1, 2018 and August 1, 2018.

F3 · 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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August 04, 2017 Filed Aug 8, 2017 22:13 UTC
WESCH DAVIDActing CAO
GrantEmployee Stock Options (right to buy) · Derivative 50,000 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001209191-17-048158 · doc4.xml · derivative · entry 2

WESCH DAVID · CIK 0001680923 · Acting CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-08-03

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. One-third of the Options vest on the first anniversary of the grant date, which is August 4, 2018. The balance vest proportionately each month during the remaining two years beginning September 4, 2018 through August 4, 2020.

F3 · balance_after: Reporting Person also holds Options to purchase the following shares of common stock (i) 36,675 shares granted 2/2/2017, (ii) 20,000 shares granted 1/10/2017, (iii) 25,000 shares granted 11/2/2016, (iv) 30,000 shares granted 6/9/2016, (v) 12,250 shares granted 12/9/2015, (vi) 10,000 shares granted 8/3/2015, and (vii) 25,000 shares granted 5/29/2015.

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August 04, 2017 Filed Aug 8, 2017 22:12 UTC GrantEmployee Stock Options (right to buy) · Derivative 100,000 $0.00 Strike: $1.09 $0.00
Disclosure

SEC source: 0001209191-17-048156 · doc4.xml · derivative · entry 2

GARRISON J. BARRETT · CIK 0001684694 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-08-03

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. One-third of the Options vest on the first anniversary of the grant date, which is August 4, 2018. The balance vest proportionately each month during the remaining two years beginning September 4, 2018 through August 4, 2020.

F3 · balance_after: Reporting Person also holds Options to purchase (i) 450,000 shares of common stock of Issuer granted 9/12/2016, and (ii) 135,000 shares of common stock granted 2/2/2017.

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March 10, 2017 Filed Mar 10, 2017 22:55 UTC PurchaseCommon Stock 101,000 $0.88 $88,880.00
Disclosure

SEC source: 0001209191-17-019938 · doc4.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 763,080

F1 · price: Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.84 to $0.91 per share. For full information regarding the number of shares purchased at each price shall be provided to the Securities and Exchange Commission Staff, Issuer or any security holder, upon request.

F2 · balance_after: In addition to the common stock listed here, Reporting Person holds employee stock options (right to buy) to purchase 1,072,500 shares of Issuer's common stock.

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February 02, 2017 Filed Feb 7, 2017 00:43 UTC
WESCH DAVIDActing CAO
GrantEmployee Stock Options (right to buy) · Derivative 36,675 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0001209191-17-008159 · doc4.xml · derivative · entry 3

WESCH DAVID · CIK 0001680923 · Acting CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,675

Underlying: Common Stock · 36,675 shares

Expires 2027-02-02

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

F3 · derivative.exercise_date: Options vest over four years: 50% vest on the 2-year anniversary of the grant date and remaining 50% vest on the 4-year anniversary of the grant date.

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February 02, 2017 Filed Feb 7, 2017 01:00 UTC GrantEmployee Stock Options (right to buy) · Derivative 247,500 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0001209191-17-008165 · doc4.xml · derivative · entry 2

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,500

Underlying: Common Stock · 247,500 shares

Expires 2027-02-02

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 four years: 50% vest on the 2-year anniversary of the grant date and remaining 50% vest on the 4-year anniversary of the grant date.

F3 · balance_after: Reporting Person also holds Options to purchase an aggregate of 825,000 shares of Issuer's common stock.

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February 02, 2017 Filed Feb 7, 2017 00:48 UTC GrantEmployee Stock Options (right to buy) · Derivative 135,000 $0.00 Strike: $0.71 $0.00
Disclosure

SEC source: 0001209191-17-008161 · doc4.xml · derivative · entry 2

GARRISON J. BARRETT · CIK 0001684694 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 135,000 shares

Expires 2027-02-02

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 four years: 50% vest on the 2-year anniversary of the grant date and remaining 50% vest on the 4-year anniversary of the grant date.

F3 · balance_after: Reporting Person also holds Options to purchase 450,000 shares of common stock of Issuer.

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January 10, 2017 Filed Feb 7, 2017 00:43 UTC
WESCH DAVIDActing CAO
GrantEmployee Stock Options (right to buy) · Derivative 20,000 $0.00 Strike: $0.70 $0.00
Disclosure

SEC source: 0001209191-17-008159 · doc4.xml · derivative · entry 2

WESCH DAVID · CIK 0001680923 · Acting CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-01-10

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 in equal installments over a period of thirty-six months beginning one month after date of grant. Options will be fully vested on the third anniversary of the grant date.

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December 12, 2016 Filed Dec 14, 2016 01:50 UTC GrantCommon Stock 154,000 $0.64 $98,667.80
Disclosure

SEC source: 0001209191-16-155031 · doc4.xml · nonDerivative · entry 1

GYANI MOHAN S · CIK 0001182428 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,200

F1 · shares: The aggregate number of shares purchased on the same day at different prices.

F2 · price: Represents the weighted average purchase price. The shares were purchased in multiple transactions at prices ranging from $0.64 to $0.6448 per share, inclusive. Reporting Person undertakes to provide full information regarding the number of shares purchased at each separate price within such ranges to the Securities and Exchange Commission Staff, Issuer or any security holder of Issuer, upon request.

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December 08, 2016 Filed Dec 10, 2016 01:05 UTC PurchaseCommon Stock 32,967 $0.62 $20,439.54
Disclosure

SEC source: 0001209191-16-154553 · doc4.xml · nonDerivative · entry 3

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1.

Disclosed balance after: 690,267

F1 · 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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December 07, 2016 Filed Dec 10, 2016 01:05 UTC PurchaseCommon Stock 800 $0.61 $484.08
Disclosure

SEC source: 0001209191-16-154553 · doc4.xml · nonDerivative · entry 2

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1.

Disclosed balance after: 657,300

F1 · 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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December 07, 2016 Filed Dec 10, 2016 01:05 UTC PurchaseCommon Stock 116,233 $0.61 $70,902.13
Disclosure

SEC source: 0001209191-16-154553 · doc4.xml · nonDerivative · entry 1

DEUTSCHMAN ROBERT M · CIK 0001194597 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1.

Disclosed balance after: 656,500

F1 · 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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November 14, 2016 Filed Nov 14, 2016 22:52 UTC PurchaseCommon Stock 150,000 $0.80 $120,000.00
Disclosure

SEC source: 0001209191-16-149859 · doc4.xml · nonDerivative · entry 1

GARRISON J. BARRETT · CIK 0001684694 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

F1 · balance_after: In addition to the common stock listed here, Reporting Person holds options to purchase 450,000 shares of Issuer's common stock.

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November 14, 2016 Filed Nov 14, 2016 22:45 UTC PurchaseCommon Stock 150,000 $0.86 $128,985.00
Disclosure

SEC source: 0001209191-16-149833 · doc4.xml · nonDerivative · entry 1

STONE WILLIAM GORDON III · CIK 0001592491 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,080

F1 · shares: The aggregate of shares purchased on the same day at different prices.

F2 · price: Represents the weighted average purchase price. The Shares were purchased at prices ranging from $0.7797 to $0.88 per share. For full information regarding the number of shares purchased at each price shall be provided to the Securities and Exchange Commission Staff, Issuer or any security holder, upon request.

F3 · balance_after: In addition to the common stock listed here, Reporting Person holds options to purchase 825,000 shares of Issuer's common stock.

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November 02, 2016 Filed Feb 7, 2017 00:43 UTC
WESCH DAVIDActing CAO
GrantEmployee Stock Options (right to buy) · Derivative 25,000 $0.00 Strike: $0.65 $0.00
Disclosure

SEC source: 0001209191-17-008159 · doc4.xml · derivative · entry 1

WESCH DAVID · CIK 0001680923 · Acting CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2026-11-02

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 in equal installments over a period of thirty-six months beginning one month after date of grant. Options will be fully vested on the third anniversary of the grant date.

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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.