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ASPEN AEROGELS INC

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5645
SEC CIK
0001145986
Parsed reports
358

Last 12 months

Inside the activity.

0 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
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Sep 202601
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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 11, 2017 Filed Nov 13, 2017 21:57 UTC
Conte KelleyVice President,Human Resources
Tax withholdingCommon Stock 1,394 $4.87 $6,788.78
Disclosure

SEC source: 0001209191-17-060341 · doc4.xml · nonDerivative · entry 1

Conte Kelley · CIK 0001668364 · Vice President,Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,682

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based restricted stock units("RSUs")

F2 · balance_after: Represents 8,701 shares of Common Stock and 40,981 RSUs

Read SEC document
September 10, 2017 Filed Sep 12, 2017 16:29 UTC
FAIRBANKS JOHN FVP, CFO and Treasurer
Tax withholdingCommon Stock 2,019 $4.18 $8,439.42
Disclosure

SEC source: 0001209191-17-052431 · doc4.xml · nonDerivative · entry 1

FAIRBANKS JOHN F · CIK 0001094147 · VP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,404

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based restricted stock units.

F2 · balance_after: Represents 28,453 shares of Common Stock and 70,951 restricted stock units.

Read SEC document
September 10, 2017 Filed Sep 12, 2017 20:36 UTC
Ball Jeffrey AlanVP, Operations
Tax withholdingCommon Stock 1,297 $4.18 $5,421.46
Disclosure

SEC source: 0001209191-17-052436 · doc4.xml · nonDerivative · entry 1

Ball Jeffrey Alan · CIK 0001651360 · VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,302

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based restricted stock units("RSUs")

F2 · balance_after: Represents 18,854 shares of Common Stock and 43,448 time-based restricted stock units.

Read SEC document
September 10, 2017 Filed Sep 12, 2017 20:34 UTC
Gould George LVP, Research and Development
Tax withholdingCommon Stock 1,262 $4.18 $5,275.16
Disclosure

SEC source: 0001209191-17-052434 · doc4.xml · nonDerivative · entry 1

Gould George L · CIK 0001610260 · VP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,979

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based restricted stock units.

F2 · balance_after: Represents 15,531 shares of common stock and 43,448 restricted stock units.

Read SEC document
September 10, 2017 Filed Sep 12, 2017 20:32 UTC
Whitaker Corby CSVP, Sales and Marketing
Tax withholdingCommon Stock 1,345 $4.18 $5,622.10
Disclosure

SEC source: 0001209191-17-052433 · doc4.xml · nonDerivative · entry 1

Whitaker Corby C · CIK 0001610273 · SVP, Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,883

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based restricted stock units.

F2 · balance_after: Represents 21,926 shares of common stock and 53,957 restricted stock units.

Read SEC document
August 31, 2017 Filed Aug 31, 2017 22:22 UTC PurchaseCommon Stock 100 $4.00 $400.00
Disclosure

SEC source: 0001209191-17-050936 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 72,491

F2 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

Read SEC document
August 31, 2017 Filed Aug 31, 2017 22:22 UTC PurchaseCommon Stock 100 $4.00 $400.00
Disclosure

SEC source: 0001209191-17-050936 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,218

F1 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

Read SEC document
August 09, 2017 Filed Aug 9, 2017 20:09 UTC
Young Donald RDirector · President and CEO
PurchaseCommon Stock 920 $4.73 $4,351.60
Disclosure

SEC source: 0001209191-17-048245 · doc4.xml · nonDerivative · entry 2

Young Donald R · CIK 0001610257 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,206

Read SEC document
August 08, 2017 Filed Aug 9, 2017 20:09 UTC
Young Donald RDirector · President and CEO
PurchaseCommon Stock 80 $4.75 $380.00
Disclosure

SEC source: 0001209191-17-048245 · doc4.xml · nonDerivative · entry 1

Young Donald R · CIK 0001610257 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,286

F1 · balance_after: Comprises 20,407 restricted stock units, 45,674 shares of common stock and 78,125 restricted shares of common stock

Read SEC document
June 14, 2017 Filed Jun 15, 2017 23:23 UTC GrantStock Option (right to buy) · Derivative 17,019 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0001209191-17-040260 · doc4.xml · derivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,019

Underlying: Common Stock · 17,019 shares

Expires 2027-06-14

F3 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 23:23 UTC GrantCommon Stock 12,289 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-040260 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,118

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 21:29 UTC GrantStock Option (right to buy) · Derivative 17,019 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0001209191-17-040221 · doc4.xml · derivative · entry 2

Reilly Richard F · CIK 0001610275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,019

Underlying: Common Stock · 17,019 shares

Expires 2027-06-14

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 21:29 UTC GrantCommon Stock 12,289 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-040221 · doc4.xml · nonDerivative · entry 1

Reilly Richard F · CIK 0001610275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,467

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 21:27 UTC GrantStock Option (right to buy) · Derivative 17,019 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0001209191-17-040218 · doc4.xml · derivative · entry 2

NOGLOWS WILLIAM P · CIK 0001201094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,019

Underlying: Common Stock · 17,019 shares

Expires 2027-06-14

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 21:27 UTC GrantCommon Stock 12,289 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-040218 · doc4.xml · nonDerivative · entry 1

NOGLOWS WILLIAM P · CIK 0001201094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,467

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 21:25 UTC GrantStock Option (right to buy) · Derivative 17,019 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0001209191-17-040213 · doc4.xml · derivative · entry 2

Noetzel Mark L · CIK 0001472264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,019

Underlying: Common Stock · 17,019 shares

Expires 2027-06-14

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 21:25 UTC GrantCommon Stock 12,289 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-040213 · doc4.xml · nonDerivative · entry 1

Noetzel Mark L · CIK 0001472264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,043

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 21:24 UTC GrantStock Option (right to buy) · Derivative 17,019 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0001209191-17-040208 · doc4.xml · derivative · entry 2

Mitchell Steven R · CIK 0001610279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,019

Underlying: Common Stock · 17,019 shares

Expires 2027-06-14

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 15, 2017 21:24 UTC GrantCommon Stock 12,289 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-040208 · doc4.xml · nonDerivative · entry 1

Mitchell Steven R · CIK 0001610279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,467

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 16, 2017 16:15 UTC
HUFF CRAIG ADirector · 10% owner
RCGM LLC10% owner
RCP GP, LLC10% owner
GrantStock Option (right to buy) · Derivative 17,019 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0001209191-17-040492 · doc4.xml · derivative · entry 4

HUFF CRAIG A · CIK 0001241947 · Director · 10% owner

RESERVOIR CAPITAL PARTNERS LP · CIK 0001091348 · 10% owner

RESERVOIR CAPITAL MASTER FUND LP · CIK 0001137467 · 10% owner

RCGM LLC · CIK 0001091555 · 10% owner

RESERVOIR CAPITAL GROUP LLC · CIK 0001137465 · 10% owner

RESERVOIR CAPITAL PARTNERS CAYMAN LP · CIK 0001351308 · 10% owner

RCP GP, LLC · CIK 0001610297 · 10% owner

STERN DANIEL H · CIK 0001105604 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,019

Underlying: Common Stock · 17,019 shares

Expires 2027-06-14

F4 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

F2 · ownership.direct: Pursuant to an arrangement between Mr. Huff, Reservoir Capital Partners, L.P. ("RCP") and Reservoir Capital Master Fund, L.P. ("RCMF") (collectively, the "Reservoir Funds"), such shares and options are held by him solely as a nominee for the Reservoir Funds and he is required to transfer such shares and the shares underlying such options to the applicable Reservoir Funds as soon as practicable after such shares can be transferred without restrictions. Such shares and options are included as directly beneficially owned by Mr. Huff, but may also be deemed to be beneficially owned by the other Reporting Persons as a result of such arrangements. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein.

Read SEC document
June 14, 2017 Filed Jun 16, 2017 16:15 UTC
HUFF CRAIG ADirector · 10% owner
RCGM LLC10% owner
RCP GP, LLC10% owner
GrantCommon Stock 12,289 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-040492 · doc4.xml · nonDerivative · entry 1

HUFF CRAIG A · CIK 0001241947 · Director · 10% owner

RESERVOIR CAPITAL PARTNERS LP · CIK 0001091348 · 10% owner

RESERVOIR CAPITAL MASTER FUND LP · CIK 0001137467 · 10% owner

RCGM LLC · CIK 0001091555 · 10% owner

RESERVOIR CAPITAL GROUP LLC · CIK 0001137465 · 10% owner

RESERVOIR CAPITAL PARTNERS CAYMAN LP · CIK 0001351308 · 10% owner

RCP GP, LLC · CIK 0001610297 · 10% owner

STERN DANIEL H · CIK 0001105604 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,025

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

F2 · ownership.direct: Pursuant to an arrangement between Mr. Huff, Reservoir Capital Partners, L.P. ("RCP") and Reservoir Capital Master Fund, L.P. ("RCMF") (collectively, the "Reservoir Funds"), such shares and options are held by him solely as a nominee for the Reservoir Funds and he is required to transfer such shares and the shares underlying such options to the applicable Reservoir Funds as soon as practicable after such shares can be transferred without restrictions. Such shares and options are included as directly beneficially owned by Mr. Huff, but may also be deemed to be beneficially owned by the other Reporting Persons as a result of such arrangements. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein.

Read SEC document
June 14, 2017 Filed Jun 16, 2017 20:13 UTC GrantStock Option (right to buy) · Derivative 17,019 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0001209191-17-040476 · doc4.xml · derivative · entry 2

Blalock Rebecca · CIK 0001677366 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,019

Underlying: Common Stock · 17,019 shares

Expires 2027-06-14

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
June 14, 2017 Filed Jun 16, 2017 20:13 UTC GrantCommon Stock 12,289 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-040476 · doc4.xml · nonDerivative · entry 1

Blalock Rebecca · CIK 0001677366 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,025

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 14, 2018 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2018.

Read SEC document
May 05, 2017 Filed May 8, 2017 21:27 UTC PurchaseCommon Stock 700 $4.00 $2,800.00
Disclosure

SEC source: 0001209191-17-030634 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,829

F3 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

Read SEC document
May 05, 2017 Filed May 8, 2017 21:27 UTC PurchaseCommon Stock 700 $4.00 $2,800.00
Disclosure

SEC source: 0001209191-17-030634 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 72,391

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F2 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

Read SEC document
May 04, 2017 Filed May 4, 2017 23:52 UTC PurchaseCommon Stock 200 $4.00 $800.00
Disclosure

SEC source: 0001209191-17-030155 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,129

F4 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.998 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

Read SEC document
May 04, 2017 Filed May 4, 2017 23:52 UTC PurchaseCommon Stock 200 $4.00 $800.00
Disclosure

SEC source: 0001209191-17-030155 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 71,691

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

Read SEC document
May 03, 2017 Filed May 4, 2017 23:52 UTC PurchaseCommon Stock 202 $4.00 $808.00
Disclosure

SEC source: 0001209191-17-030155 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,929

F4 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

Read SEC document
May 03, 2017 Filed May 4, 2017 23:52 UTC PurchaseCommon Stock 189 $4.00 $756.00
Disclosure

SEC source: 0001209191-17-030155 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 71,491

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.99 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

Read SEC document
May 01, 2017 Filed May 2, 2017 20:31 UTC PurchaseCommon Stock 140 $4.00 $560.00
Disclosure

SEC source: 0001209191-17-029202 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,727

F3 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

Read SEC document
May 01, 2017 Filed May 2, 2017 20:31 UTC PurchaseCommon Stock 110 $4.00 $440.00
Disclosure

SEC source: 0001209191-17-029202 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 71,302

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F2 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

Read SEC document
April 26, 2017 Filed Apr 26, 2017 22:08 UTC PurchaseCommon Stock 2,405 $4.00 $9,620.00
Disclosure

SEC source: 0001209191-17-028249 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,587

F4 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F7 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.98 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

Read SEC document
April 26, 2017 Filed Apr 26, 2017 22:08 UTC PurchaseCommon Stock 2,000 $4.00 $8,000.00
Disclosure

SEC source: 0001209191-17-028249 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 71,192

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F6 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.985 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

Read SEC document
April 25, 2017 Filed Apr 26, 2017 22:08 UTC PurchaseCommon Stock 800 $4.00 $3,200.00
Disclosure

SEC source: 0001209191-17-028249 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,182

F4 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.99 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

Read SEC document
April 25, 2017 Filed Apr 26, 2017 22:08 UTC PurchaseCommon Stock 1,100 $4.00 $4,400.00
Disclosure

SEC source: 0001209191-17-028249 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 69,192

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.999 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

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April 24, 2017 Filed Apr 25, 2017 00:20 UTC PurchaseCommon Stock 6,711 $4.00 $26,844.00
Disclosure

SEC source: 0001209191-17-028026 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,382

F4 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F7 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.98 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

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April 24, 2017 Filed Apr 25, 2017 00:20 UTC PurchaseCommon Stock 6,336 $4.00 $25,344.00
Disclosure

SEC source: 0001209191-17-028026 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 68,092

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F6 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

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April 21, 2017 Filed Apr 25, 2017 00:20 UTC PurchaseCommon Stock 2,554 $3.99 $10,190.46
Disclosure

SEC source: 0001209191-17-028026 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,671

F4 · kind: The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.965 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

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April 21, 2017 Filed Apr 25, 2017 00:20 UTC PurchaseCommon Stock 2,600 $3.99 $10,374.00
Disclosure

SEC source: 0001209191-17-028026 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 61,756

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.96 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

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April 20, 2017 Filed Apr 20, 2017 23:48 UTC PurchaseCommon Stock 5,400 $3.99 $21,546.00
Disclosure

SEC source: 0001209191-17-027780 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,117

F4 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

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April 20, 2017 Filed Apr 20, 2017 23:48 UTC PurchaseCommon Stock 5,300 $3.99 $21,147.00
Disclosure

SEC source: 0001209191-17-027780 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 59,156

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

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April 19, 2017 Filed Apr 20, 2017 23:48 UTC PurchaseCommon Stock 4,600 $3.98 $18,308.00
Disclosure

SEC source: 0001209191-17-027780 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,717

F4 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.96 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

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April 19, 2017 Filed Apr 20, 2017 23:48 UTC PurchaseCommon Stock 4,200 $3.98 $16,716.00
Disclosure

SEC source: 0001209191-17-027780 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 53,856

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.96 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

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April 18, 2017 Filed Apr 18, 2017 21:17 UTC PurchaseCommon Stock 8,311 $3.99 $33,160.89
Disclosure

SEC source: 0001209191-17-027324 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,117

F4 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

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April 18, 2017 Filed Apr 18, 2017 21:17 UTC PurchaseCommon Stock 8,400 $3.99 $33,516.00
Disclosure

SEC source: 0001209191-17-027324 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 49,656

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

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April 17, 2017 Filed Apr 18, 2017 21:17 UTC PurchaseCommon Stock 3,599 $3.98 $14,324.02
Disclosure

SEC source: 0001209191-17-027324 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,806

F4 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

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April 17, 2017 Filed Apr 18, 2017 21:17 UTC PurchaseCommon Stock 3,606 $3.98 $14,351.88
Disclosure

SEC source: 0001209191-17-027324 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 41,256

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.96 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

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April 13, 2017 Filed Apr 14, 2017 18:55 UTC PurchaseCommon Stock 4,920 $3.99 $19,630.80
Disclosure

SEC source: 0001209191-17-026972 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,207

F4 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

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April 13, 2017 Filed Apr 14, 2017 18:55 UTC PurchaseCommon Stock 5,034 $3.99 $20,085.66
Disclosure

SEC source: 0001209191-17-026972 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Robert Gervis 2014 Grantor Retained Annuity Trust

Disclosed balance after: 37,650

F1 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.96 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.

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April 12, 2017 Filed Apr 13, 2017 12:01 UTC PurchaseCommon Stock 2,401 $4.00 $9,604.00
Disclosure

SEC source: 0001209191-17-026789 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,287

F4 · kind: This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.

F5 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.99 to $4.00, inclusive. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.

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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.