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Nasdaq · USD

ATOM

Atomera Inc

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1513
SEC CIK
0001420520
Parsed reports
246

Last 12 months

Inside the activity.

0 purchase rows · 65 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 2025012
Jan 202600
Feb 202601
Mar 2026012
Apr 202600
May 202600
Jun 2026024
Jul 202601
Aug 202601
Sep 2026014
Oct 202600

Latest available

Insider transactions

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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
June 01, 2023 Filed Jun 2, 2023 21:37 UTC SaleCommon Stock 199 $9.00 $1,791.00
Disclosure

SEC source: 0001683168-23-003887 · ownership.xml · nonDerivative · entry 1

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,676

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
May 04, 2023 Filed May 5, 2023 20:05 UTC GrantCommon Stock 15,065 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-002977 · ownership.xml · nonDerivative · entry 1

SHEVICK STEVEN K · CIK 0001249845 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,016

F1 · shares: These are Restricted Stock Awards of Common Stock issued to the Reporting person by the Issuer on May 4, 2023, which will vest on May 2, 2024.

Read SEC document
May 04, 2023 Filed May 5, 2023 20:03 UTC
Ramnath SujaDirector
GrantCommon Stock 15,065 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-002976 · ownership.xml · nonDerivative · entry 1

Ramnath Suja · CIK 0001588000 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,008

F1 · shares: These are Restricted Stock Awards of Common Stock issued to the Reporting person by the Issuer on May 4, 2023, which will vest on May 2, 2024.

Read SEC document
May 04, 2023 Filed May 5, 2023 20:03 UTC GrantCommon Stock 15,065 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-002975 · ownership.xml · nonDerivative · entry 1

LE DUY LOAN T · CIK 0001192886 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,958

F1 · shares: These are Restricted Stock Awards of Common Stock issued to the Reporting person by the Issuer on May 4, 2023, which will vest on May 2, 2024.

Read SEC document
May 04, 2023 Filed May 5, 2023 20:01 UTC
Gerber JohnDirector
GrantCommon Stock 15,065 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-002972 · ownership.xml · nonDerivative · entry 1

Gerber John · CIK 0001681151 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 276,586

F1 · shares: These are Restricted Stock Awards of Common Stock issued to the Reporting person by the Issuer on May 4, 2023, which will vest on May 2, 2024.

Read SEC document
March 02, 2023 Filed Mar 3, 2023 21:05 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 2,800 $6.03 $16,884.00
Disclosure

SEC source: 0001683168-23-001284 · ownership.xml · nonDerivative · entry 7

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,486

F3 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 16:04 UTC
Lewis Jeffrey ASVP, Marketing and Bus. Dev
SaleCommon Stock 227 $6.49 $1,473.23
Disclosure

SEC source: 0001683168-23-001282 · ownership.xml · nonDerivative · entry 1

Lewis Jeffrey A · CIK 0001865501 · SVP, Marketing and Bus. Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,075

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:01 UTC
BIBAUD SCOTT A.Director · CEO and President
SaleCommon Stock 1,708 $6.49 $11,084.92
Disclosure

SEC source: 0001683168-23-001278 · ownership.xml · nonDerivative · entry 4

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,148

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:01 UTC
BIBAUD SCOTT A.Director · CEO and President
SaleCommon Stock 3,280 $6.49 $21,287.20
Disclosure

SEC source: 0001683168-23-001278 · ownership.xml · nonDerivative · entry 3

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,856

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:01 UTC
BIBAUD SCOTT A.Director · CEO and President
SaleCommon Stock 397 $6.49 $2,576.53
Disclosure

SEC source: 0001683168-23-001278 · ownership.xml · nonDerivative · entry 2

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,136

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:01 UTC
BIBAUD SCOTT A.Director · CEO and President
SaleCommon Stock 611 $6.49 $3,965.39
Disclosure

SEC source: 0001683168-23-001278 · ownership.xml · nonDerivative · entry 1

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,533

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:05 UTC
Mears Robert JChief Technology Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001683168-23-001284 · ownership.xml · derivative · entry 9

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,923

Underlying: Common Stock · 10,000 shares

Expires 2029-02-27

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

F2 · shares: The option exercise reported in this Form 4 was effect ted pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from a previously reported total.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:05 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 10,000 $6.33 $63,300.00
Disclosure

SEC source: 0001683168-23-001284 · ownership.xml · nonDerivative · entry 6

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,286

F3 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:05 UTC
Mears Robert JChief Technology Officer
Exercise / conversionCommon Stock 10,000 $3.90 $39,000.00
Disclosure

SEC source: 0001683168-23-001284 · ownership.xml · nonDerivative · entry 5

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,286

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

F2 · shares: The option exercise reported in this Form 4 was effect ted pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from a previously reported total.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:05 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 563 $6.49 $3,653.87
Disclosure

SEC source: 0001683168-23-001284 · ownership.xml · nonDerivative · entry 4

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,286

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:05 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 919 $6.49 $5,964.31
Disclosure

SEC source: 0001683168-23-001284 · ownership.xml · nonDerivative · entry 3

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,849

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:05 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 246 $6.49 $1,596.54
Disclosure

SEC source: 0001683168-23-001284 · ownership.xml · nonDerivative · entry 2

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,768

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:05 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 116 $6.49 $752.84
Disclosure

SEC source: 0001683168-23-001284 · ownership.xml · nonDerivative · entry 1

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,014

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:03 UTC SaleCommon Stock 140 $6.49 $908.60
Disclosure

SEC source: 0001683168-23-001280 · ownership.xml · nonDerivative · entry 4

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,875

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:03 UTC SaleCommon Stock 270 $6.49 $1,752.30
Disclosure

SEC source: 0001683168-23-001280 · ownership.xml · nonDerivative · entry 3

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,015

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:03 UTC SaleCommon Stock 667 $6.49 $4,328.83
Disclosure

SEC source: 0001683168-23-001280 · ownership.xml · nonDerivative · entry 2

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,285

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:03 UTC SaleCommon Stock 885 $6.49 $5,743.65
Disclosure

SEC source: 0001683168-23-001280 · ownership.xml · nonDerivative · entry 1

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,952

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
February 23, 2023 Filed Feb 28, 2023 12:47 UTC
Lewis Jeffrey ASVP, Marketing and Bus. Dev
GrantNon-Qualified Stock Option (right to buy) · Derivative 29,239 $0.00 Strike: $6.56 $0.00
Disclosure

SEC source: 0001683168-23-001184 · ownership.xml · derivative · entry 3

Lewis Jeffrey A · CIK 0001865501 · SVP, Marketing and Bus. Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,239

Underlying: Common Stock · 29,239 shares

Expires 2033-02-23

F1 · derivative.exercise_date: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 12:47 UTC
Lewis Jeffrey ASVP, Marketing and Bus. Dev
GrantIncentive Stock Option (right to buy) · Derivative 13,289 $0.00 Strike: $6.56 $0.00
Disclosure

SEC source: 0001683168-23-001184 · ownership.xml · derivative · entry 2

Lewis Jeffrey A · CIK 0001865501 · SVP, Marketing and Bus. Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,289

Underlying: Common Stock · 13,289 shares

Expires 2033-02-23

F1 · derivative.exercise_date: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 12:47 UTC
Lewis Jeffrey ASVP, Marketing and Bus. Dev
GrantCommon Stock 21,344 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-001184 · ownership.xml · nonDerivative · entry 1

Lewis Jeffrey A · CIK 0001865501 · SVP, Marketing and Bus. Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,302

F1 · shares: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:44 UTC
BIBAUD SCOTT A.Director · CEO and President
GrantNon-Qualified Stock Option (right to buy) · Derivative 155,063 $0.00 Strike: $6.56 $0.00
Disclosure

SEC source: 0001683168-23-001182 · ownership.xml · derivative · entry 3

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,063

Underlying: Common Stock · 155,063 shares

Expires 2033-02-23

F1 · derivative.exercise_date: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:44 UTC
BIBAUD SCOTT A.Director · CEO and President
GrantIncentive Stock Option (right to buy) · Derivative 15,049 $0.00 Strike: $6.56 $0.00
Disclosure

SEC source: 0001683168-23-001182 · ownership.xml · derivative · entry 2

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,049

Underlying: Common Stock · 15,049 shares

Expires 2033-02-23

F1 · derivative.exercise_date: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:44 UTC
BIBAUD SCOTT A.Director · CEO and President
GrantCommon Stock 54,880 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-001182 · ownership.xml · nonDerivative · entry 1

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,144

F1 · shares: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:49 UTC
Mears Robert JChief Technology Officer
GrantNon-Qualified Stock Option (right to buy) · Derivative 38,783 $0.00 Strike: $6.56 $0.00
Disclosure

SEC source: 0001683168-23-001185 · ownership.xml · derivative · entry 4

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,783

Underlying: Common Stock · 38,783 shares

Expires 2033-02-23

F1 · derivative.exercise_date: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:49 UTC
Mears Robert JChief Technology Officer
GrantIncentive Stock Option (right to buy) · Derivative 14,689 $0.00 Strike: $6.56 $0.00
Disclosure

SEC source: 0001683168-23-001185 · ownership.xml · derivative · entry 3

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,689

Underlying: Common Stock · 14,689 shares

Expires 2033-02-23

F1 · derivative.exercise_date: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:49 UTC
Mears Robert JChief Technology Officer
GrantCommon Stock 26,832 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-001185 · ownership.xml · nonDerivative · entry 1

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,130

F1 · shares: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:44 UTC GrantNon-Qualified Stock Option (right to buy) · Derivative 38,457 $0.00 Strike: $6.56 $0.00
Disclosure

SEC source: 0001683168-23-001183 · ownership.xml · derivative · entry 3

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,457

Underlying: Common Stock · 38,457 shares

Expires 2033-02-23

F1 · derivative.exercise_date: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:44 UTC GrantIncentive Stock Option (right to buy) · Derivative 15,015 $0.00 Strike: $6.56 $0.00
Disclosure

SEC source: 0001683168-23-001183 · ownership.xml · derivative · entry 2

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,015

Underlying: Common Stock · 15,015 shares

Expires 2033-02-23

F1 · derivative.exercise_date: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
February 23, 2023 Filed Feb 28, 2023 17:44 UTC GrantCommon Stock 26,832 $0.00 $0.00
Disclosure

SEC source: 0001683168-23-001183 · ownership.xml · nonDerivative · entry 1

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,837

F1 · shares: 6.25% shall vest each quarter for the next 48 months commencing on June 1, 2023

Read SEC document
December 02, 2022 Filed Dec 2, 2022 23:01 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 2,800 $8.00 $22,400.00
Disclosure

SEC source: 0001683168-22-008183 · ownership.xml · nonDerivative · entry 7

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,298

F2 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 18:01 UTC
Lewis Jeffrey ASVP, Marketing and Bus. Dev.
SaleCommon Stock 191 $8.37 $1,598.67
Disclosure

SEC source: 0001683168-22-008182 · ownership.xml · nonDerivative · entry 1

Lewis Jeffrey A · CIK 0001865501 · SVP, Marketing and Bus. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,958

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 23:00 UTC
BIBAUD SCOTT A.Director · CEO and President
SaleCommon Stock 789 $8.37 $6,603.93
Disclosure

SEC source: 0001683168-22-008180 · ownership.xml · nonDerivative · entry 4

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,264

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 23:00 UTC
BIBAUD SCOTT A.Director · CEO and President
SaleCommon Stock 3,269 $8.37 $27,361.53
Disclosure

SEC source: 0001683168-22-008180 · ownership.xml · nonDerivative · entry 3

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,053

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 23:00 UTC
BIBAUD SCOTT A.Director · CEO and President
SaleCommon Stock 1,702 $8.37 $14,245.74
Disclosure

SEC source: 0001683168-22-008180 · ownership.xml · nonDerivative · entry 2

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,322

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 23:00 UTC
BIBAUD SCOTT A.Director · CEO and President
SaleCommon Stock 396 $8.37 $3,314.52
Disclosure

SEC source: 0001683168-22-008180 · ownership.xml · nonDerivative · entry 1

BIBAUD SCOTT A. · CIK 0001464249 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,024

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 23:01 UTC
Mears Robert JChief Technology Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $3.90 $0.00
Disclosure

SEC source: 0001683168-22-008183 · ownership.xml · derivative · entry 9

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,923

Underlying: Common Stock · 10,000 shares

Expires 2029-02-27

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

F1 · shares: The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from apreviously reported total.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 23:01 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 579 $8.37 $4,846.23
Disclosure

SEC source: 0001683168-22-008183 · ownership.xml · nonDerivative · entry 6

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,098

F3 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 23:01 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 944 $8.37 $7,901.28
Disclosure

SEC source: 0001683168-22-008183 · ownership.xml · nonDerivative · entry 5

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,677

F3 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

Read SEC document
December 01, 2022 Filed Dec 2, 2022 23:01 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 119 $8.37 $996.03
Disclosure

SEC source: 0001683168-22-008183 · ownership.xml · nonDerivative · entry 4

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,621

F3 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

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December 01, 2022 Filed Dec 2, 2022 23:01 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 248 $8.37 $2,075.76
Disclosure

SEC source: 0001683168-22-008183 · ownership.xml · nonDerivative · entry 3

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,740

F3 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

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December 01, 2022 Filed Dec 2, 2022 23:01 UTC
Mears Robert JChief Technology Officer
SaleCommon Stock 10,000 $8.20 $82,000.00
Disclosure

SEC source: 0001683168-22-008183 · ownership.xml · nonDerivative · entry 2

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,988

F2 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

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December 01, 2022 Filed Dec 2, 2022 23:01 UTC
Mears Robert JChief Technology Officer
Exercise / conversionCommon Stock 10,000 $3.90 $39,000.00
Disclosure

SEC source: 0001683168-22-008183 · ownership.xml · nonDerivative · entry 1

Mears Robert J · CIK 0001680617 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,988

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

F1 · shares: The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and exercised from apreviously reported total.

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December 01, 2022 Filed Dec 2, 2022 23:00 UTC SaleCommon Stock 681 $8.37 $5,699.97
Disclosure

SEC source: 0001683168-22-008181 · ownership.xml · nonDerivative · entry 4

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,005

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

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December 01, 2022 Filed Dec 2, 2022 23:00 UTC SaleCommon Stock 269 $8.37 $2,251.53
Disclosure

SEC source: 0001683168-22-008181 · ownership.xml · nonDerivative · entry 3

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,686

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

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December 01, 2022 Filed Dec 2, 2022 23:00 UTC SaleCommon Stock 139 $8.37 $1,163.43
Disclosure

SEC source: 0001683168-22-008181 · ownership.xml · nonDerivative · entry 2

Laurencio Francis · CIK 0001680612 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,955

F1 · shares: Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. This sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction.

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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.