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ASPN

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.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
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Aug 202600
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
April 12, 2017 Filed Apr 13, 2017 12:01 UTC PurchaseCommon Stock 2,500 $4.00 $10,000.00
Disclosure

SEC source: 0001209191-17-026789 · 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: 32,616

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 $3.99 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
April 11, 2017 Filed Apr 13, 2017 12:01 UTC PurchaseCommon Stock 200 $3.99 $798.00
Disclosure

SEC source: 0001209191-17-026789 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,886

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 $3.989 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 11, 2017 Filed Apr 13, 2017 12:01 UTC PurchaseCommon Stock 300 $4.00 $1,200.00
Disclosure

SEC source: 0001209191-17-026789 · 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: 30,116

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 $3.989 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
March 27, 2017 Filed Mar 28, 2017 21:44 UTC PurchaseCommon Stock 100 $3.98 $398.00
Disclosure

SEC source: 0001209191-17-023186 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,686

F3 · kind: This 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
March 27, 2017 Filed Mar 28, 2017 21:44 UTC PurchaseCommon Stock 100 $3.98 $398.00
Disclosure

SEC source: 0001209191-17-023186 · 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: 29,816

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
March 23, 2017 Filed Mar 23, 2017 22:34 UTC PurchaseCommon Stock 1,400 $3.95 $5,530.00
Disclosure

SEC source: 0001209191-17-022652 · doc4.xml · nonDerivative · entry 4

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: 29,716

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 $3.90 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
March 23, 2017 Filed Mar 23, 2017 22:34 UTC PurchaseCommon Stock 1,100 $3.94 $4,334.00
Disclosure

SEC source: 0001209191-17-022652 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,586

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.

F6 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.90 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
March 22, 2017 Filed Mar 23, 2017 22:34 UTC PurchaseCommon Stock 2,612 $3.96 $10,343.52
Disclosure

SEC source: 0001209191-17-022652 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,486

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 $3.89 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
March 22, 2017 Filed Mar 23, 2017 22:34 UTC PurchaseCommon Stock 2,800 $3.95 $11,060.00
Disclosure

SEC source: 0001209191-17-022652 · 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: 28,316

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 $3.87 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
March 21, 2017 Filed Mar 22, 2017 11:28 UTC PurchaseCommon Stock 2,100 $3.95 $8,295.00
Disclosure

SEC source: 0001209191-17-022175 · doc4.xml · nonDerivative · entry 4

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: 25,516

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 $3.89 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
March 21, 2017 Filed Mar 22, 2017 11:28 UTC PurchaseCommon Stock 2,100 $3.96 $8,316.00
Disclosure

SEC source: 0001209191-17-022175 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,874

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.

F6 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.89 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
March 20, 2017 Filed Mar 22, 2017 11:28 UTC PurchaseCommon Stock 1,500 $3.99 $5,985.00
Disclosure

SEC source: 0001209191-17-022175 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,774

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 $3.93 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
March 20, 2017 Filed Mar 22, 2017 11:28 UTC PurchaseCommon Stock 1,400 $3.99 $5,586.00
Disclosure

SEC source: 0001209191-17-022175 · 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: 23,416

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 $3.95 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
March 11, 2017 Filed Mar 13, 2017 20:11 UTC
FAIRBANKS JOHN FVP, CFO and Treasurer
Tax withholdingCommon Stock 2,087 $4.07 $8,494.09
Disclosure

SEC source: 0001209191-17-020353 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,423

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 24,253 shares of Common Stock and 77,170 restricted stock units.

Read SEC document
March 11, 2017 Filed Mar 14, 2017 00:15 UTC
Whitaker Corby CSVP, Sales and Marketing
Tax withholdingCommon Stock 1,836 $4.07 $7,472.52
Disclosure

SEC source: 0001209191-17-020362 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,228

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 19,127 shares of common stock and 58,101 restricted stock units.

Read SEC document
March 11, 2017 Filed Mar 14, 2017 00:14 UTC
Gould George LVP, Research and Development
Tax withholdingCommon Stock 1,085 $4.07 $4,415.95
Disclosure

SEC source: 0001209191-17-020358 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,241

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 12,904 shares of common stock and 47,337 restricted stock units.

Read SEC document
March 10, 2017 Filed Mar 10, 2017 22:05 UTC PurchaseCommon Stock 6 $4.00 $24.00
Disclosure

SEC source: 0001209191-17-019905 · doc4.xml · nonDerivative · entry 5

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: 22,016

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
March 10, 2017 Filed Mar 10, 2017 22:05 UTC PurchaseCommon Stock 100 $4.00 $400.00
Disclosure

SEC source: 0001209191-17-019905 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,274

F3 · kind: This 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
March 09, 2017 Filed Mar 10, 2017 22:05 UTC PurchaseCommon Stock 700 $4.00 $2,800.00
Disclosure

SEC source: 0001209191-17-019905 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,174

F3 · kind: This 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
March 09, 2017 Filed Mar 10, 2017 22:05 UTC PurchaseCommon Stock 100 $4.00 $399.50
Disclosure

SEC source: 0001209191-17-019905 · 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: 22,010

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
March 09, 2017 Filed Mar 10, 2017 22:05 UTC PurchaseCommon Stock 255 $4.00 $1,020.00
Disclosure

SEC source: 0001209191-17-019905 · 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: 21,910

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
March 07, 2017 Filed Mar 8, 2017 22:12 UTC
Conte KelleyVice President,Human Resources
SaleCommon Stock 1,000 $4.06 $4,062.00
Disclosure

SEC source: 0001209191-17-019321 · doc4.xml · nonDerivative · entry 1

Conte Kelley · CIK 0001668364 · Vice President,Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,076

F1 · balance_after: Represents 5,800 shares of Common Stock and 45,276 restricted stock units.

Read SEC document
March 06, 2017 Filed Mar 7, 2017 22:36 UTC PurchaseCommon Stock 100 $4.00 $400.00
Disclosure

SEC source: 0001209191-17-018913 · 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: 21,655

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
March 03, 2017 Filed Mar 3, 2017 23:26 UTC PurchaseCommon Stock 100 $4.00 $399.90
Disclosure

SEC source: 0001209191-17-017987 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,474

F3 · kind: This 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
March 03, 2017 Filed Mar 3, 2017 23:26 UTC PurchaseCommon Stock 100 $4.00 $400.00
Disclosure

SEC source: 0001209191-17-017987 · 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: 21,555

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
March 02, 2017 Filed Mar 3, 2017 23:26 UTC PurchaseCommon Stock 466 $4.00 $1,864.00
Disclosure

SEC source: 0001209191-17-017987 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,374

F3 · kind: This 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
March 02, 2017 Filed Mar 3, 2017 23:26 UTC PurchaseCommon Stock 500 $4.00 $2,000.00
Disclosure

SEC source: 0001209191-17-017987 · 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: 21,455

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
March 01, 2017 Filed Mar 2, 2017 19:39 UTC
FAIRBANKS JOHN FVP, CFO and Treasurer
Tax withholdingCommon Stock 4,337 $4.18 $18,128.66
Disclosure

SEC source: 0001209191-17-016985 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,510

F3 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based RSUs.

F4 · balance_after: Represents 20,814 shares of Common Stock and 82,696 RSUs

Read SEC document
March 01, 2017 Filed Mar 3, 2017 00:45 UTC
Whitaker Corby CSVP, Sales and Marketing
Tax withholdingCommon Stock 3,469 $4.18 $14,500.42
Disclosure

SEC source: 0001209191-17-016990 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,064

F3 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based RSUs.

F4 · balance_after: Represents 16,100 shares of Common Stock and 62,964 RSUs

Read SEC document
March 01, 2017 Filed Mar 3, 2017 00:42 UTC
Gould George LVP, Research and Development
Tax withholdingCommon Stock 2,366 $4.18 $9,889.88
Disclosure

SEC source: 0001209191-17-016987 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,326

F3 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based RSUs.

F4 · balance_after: Represents 11,116 shares of Common Stock and 50,210 RSUs

Read SEC document
March 01, 2017 Filed Mar 8, 2017 22:07 UTC Amendment
Conte KelleyVice President,Human Resources
Tax withholdingCommon Stock 2,366 $4.18 $9,889.88
Disclosure

SEC source: 0001209191-17-019310 · doc4a.xml · nonDerivative · entry 2

Conte Kelley · CIK 0001668364 · Vice President,Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,076

F3 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based restricted stock units

F4 · balance_after: Represents 6,800 shares of Common Stock and 45,276 RSUs

Read SEC document
February 28, 2017 Filed Mar 2, 2017 19:39 UTC
FAIRBANKS JOHN FVP, CFO and Treasurer
GrantStock Options (right to buy) · Derivative 71,238 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001209191-17-016985 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,238

Underlying: Common Stock · 71,238 shares

Expires 2027-02-28

F5 · derivative.exercise_date: The options vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019 and the remaining one-third of the shares on February 28, 2020.

Read SEC document
February 28, 2017 Filed Mar 2, 2017 19:39 UTC
FAIRBANKS JOHN FVP, CFO and Treasurer
GrantCommon Stock 36,231 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-016985 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,847

F1 · shares: Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting. The RSUs vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

F2 · balance_after: Represents 13,664 shares of Common Stock and 94,183 RSUs

Read SEC document
February 28, 2017 Filed Mar 3, 2017 00:45 UTC
Whitaker Corby CSVP, Sales and Marketing
GrantStock Options (right to buy) · Derivative 52,241 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001209191-17-016990 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,241

Underlying: Common Stock · 52,241 shares

Expires 2017-02-28

F5 · derivative.exercise_date: The options vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

Read SEC document
February 28, 2017 Filed Mar 3, 2017 00:45 UTC
Whitaker Corby CSVP, Sales and Marketing
GrantCommon Stock 26,570 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-016990 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,533

F1 · shares: Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting. The RSUs vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

F2 · balance_after: Represents 10,380 shares of Common Stock and 72,153 RSUs

Read SEC document
February 28, 2017 Filed Mar 3, 2017 00:42 UTC
Gould George LVP, Research and Development
GrantStock Options (right to buy) · Derivative 47,492 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001209191-17-016987 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,492

Underlying: Common Stock · 47,492 shares

Expires 2027-02-28

F5 · derivative.exercise_date: The options vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

Read SEC document
February 28, 2017 Filed Mar 3, 2017 00:42 UTC
Gould George LVP, Research and Development
GrantCommon Stock 24,154 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-016987 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,692

F1 · shares: Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting. The RSUs vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

F2 · balance_after: Represents 7,217 shares of Common Stock and 56,475 RSUs

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February 28, 2017 Filed Mar 3, 2017 00:37 UTC
Conte KelleyVice President,Human Resources
GrantStock Options (right to buy) · Derivative 47,492 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001209191-17-016983 · doc4.xml · derivative · entry 2

Conte Kelley · CIK 0001668364 · Vice President,Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,492

Underlying: Common Stock · 47,492 shares

Expires 2027-02-28

F3 · derivative.exercise_date: The options vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

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February 28, 2017 Filed Mar 3, 2017 00:37 UTC
Conte KelleyVice President,Human Resources
GrantCommon Stock 24,154 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-016983 · doc4.xml · nonDerivative · entry 1

Conte Kelley · CIK 0001668364 · Vice President,Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,442

F1 · shares: Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting. The RSUs vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

F2 · balance_after: Represents 2,901 shares of Common Stock and 51,541 RSUs

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February 28, 2017 Filed Mar 3, 2017 00:34 UTC
Ball Jeffrey AlanVP, Operations
GrantStock Options (right to buy) · Derivative 47,492 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001209191-17-016981 · doc4.xml · derivative · entry 2

Ball Jeffrey Alan · CIK 0001651360 · VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,492

Underlying: Common Stock · 47,492 shares

Expires 2027-02-28

F3 · derivative.exercise_date: The options vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019 and the remaining one-third of the shares on February 28, 2020.

Read SEC document
February 28, 2017 Filed Mar 3, 2017 00:34 UTC
Ball Jeffrey AlanVP, Operations
GrantCommon Stock 24,154 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-016981 · doc4.xml · nonDerivative · entry 1

Ball Jeffrey Alan · CIK 0001651360 · VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,599

F1 · shares: Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting. The RSUs vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

F2 · balance_after: Represents 7,124 shares of Common Stock and 56,475 RSUs

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February 28, 2017 Filed Mar 8, 2017 22:07 UTC Amendment
Conte KelleyVice President,Human Resources
GrantStock Options (right to buy) · Derivative 47,492 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001209191-17-019310 · doc4a.xml · derivative · entry 3

Conte Kelley · CIK 0001668364 · Vice President,Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,492

Underlying: Common Stock · 47,492 shares

Expires 2027-02-28

F5 · derivative.exercise_date: The options vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

Read SEC document
February 28, 2017 Filed Mar 8, 2017 22:07 UTC Amendment
Conte KelleyVice President,Human Resources
GrantCommon Stock 24,154 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-019310 · doc4a.xml · nonDerivative · entry 1

Conte Kelley · CIK 0001668364 · Vice President,Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,442

F1 · shares: Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting. The RSUs vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020.

F2 · balance_after: Represents 2,901 shares of Common Stock and 51,541 RSUs

Read SEC document
February 27, 2017 Filed Feb 28, 2017 01:40 UTC PurchaseCommon Stock 2,200 $3.99 $8,778.00
Disclosure

SEC source: 0001209191-17-015058 · doc4.xml · nonDerivative · entry 4

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,908

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.

F7 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.95 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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February 27, 2017 Filed Feb 28, 2017 01:40 UTC PurchaseCommon Stock 2,300 $3.99 $9,177.00
Disclosure

SEC source: 0001209191-17-015058 · 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: 20,955

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 $3.93 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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February 24, 2017 Filed Feb 28, 2017 01:40 UTC PurchaseCommon Stock 18,430 $3.96 $72,982.80
Disclosure

SEC source: 0001209191-17-015058 · doc4.xml · nonDerivative · entry 2

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,708

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 $3.87 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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February 24, 2017 Filed Feb 28, 2017 01:40 UTC PurchaseCommon Stock 18,355 $3.96 $72,685.80
Disclosure

SEC source: 0001209191-17-015058 · 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: 18,655

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 $3.86 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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December 29, 2016 Filed Dec 30, 2016 21:05 UTC PurchaseCommon Stock 100 $4.00 $400.00
Disclosure

SEC source: 0001209191-16-157076 · doc4.xml · nonDerivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,278

F3 · kind: This 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
December 29, 2016 Filed Dec 30, 2016 21:05 UTC PurchaseCommon Stock 100 $4.00 $400.00
Disclosure

SEC source: 0001209191-16-157076 · 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: 300

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
December 28, 2016 Filed Dec 30, 2016 21:05 UTC PurchaseCommon Stock 200 $4.00 $800.00
Disclosure

SEC source: 0001209191-16-157076 · 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: 200

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

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