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Nasdaq · USD

AVNW

AVIAT NETWORKS, INC.

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6172
SEC CIK
0001377789
Parsed reports
264

Last 12 months

Inside the activity.

0 purchase rows · 7 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202502
Dec 202500
Jan 202600
Feb 202602
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202603
Sep 202600
Oct 202600

Latest available

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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
September 01, 2021 Filed Sep 4, 2021 00:14 UTC
Croke GaryVP Marketing and PLM
GrantCommon Stock 1,411 $0.00 $0.00
Disclosure

SEC source: 0001377789-21-000060 · wf-form4_163071447306911.xml · nonDerivative · entry 1

Croke Gary · CIK 0001880618 · VP Marketing and PLM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,709

F1 · kind: This represents a Restricted Stock Unit grant that vest annually over three years from date of grant.

Read SEC document
July 03, 2021 Filed Jul 7, 2021 22:12 UTC
SMITH PETE APresident and CEO
GrantPerformance-Based Shares · Derivative 24,049 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001377789-21-000043 · wf-form4_162569593041252.xml · derivative · entry 3

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,049

Underlying: Common Stock · 24,049 shares

Expires not disclosed

F3 · derivative.exercise_date: This represents a grant of Performance Stock Units (PSUs). PSUs vest upon achievement of certain financial metrics and 3 years from the date of grant.

F3 · derivative.expiration_date: This represents a grant of Performance Stock Units (PSUs). PSUs vest upon achievement of certain financial metrics and 3 years from the date of grant.

Read SEC document
July 03, 2021 Filed Jul 7, 2021 22:12 UTC
SMITH PETE APresident and CEO
GrantNon-Qualified Stock Option (right to buy) · Derivative 59,422 $0.00 Strike: $31.88 $0.00
Disclosure

SEC source: 0001377789-21-000043 · wf-form4_162569593041252.xml · derivative · entry 2

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,422

Underlying: Common Stock · 59,422 shares

Expires 2028-07-02

F2 · derivative.exercise_date: This represents a Stock Option grant that vest on an annual basis ratably over 3 years from date of grant.

Read SEC document
July 03, 2021 Filed Jul 7, 2021 22:12 UTC
SMITH PETE APresident and CEO
GrantCommon Stock 24,049 $0.00 $0.00
Disclosure

SEC source: 0001377789-21-000043 · wf-form4_162569593041252.xml · nonDerivative · entry 1

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,137

F1 · kind: This represents a Restricted Stock Unit (RSU) grant. The RSU shares shall vest on an annual basis ratably over 3 years from date of grant.

Read SEC document
July 03, 2021 Filed Sep 9, 2021 23:39 UTC Amendment
SMITH PETE APresident and CEO
GrantNon-Qualified Stock Option (right to buy) · Derivative 59,422 $0.00 Strike: $31.88 $0.00
Disclosure

SEC source: 0001377789-21-000066 · wf-form4a_163123077542495.xml · derivative · entry 3

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,422

Underlying: Common Stock · 59,422 shares

Expires 2028-07-02

F4 · derivative.exercise_date: This represents a Stock Option grant that vest on an annual basis ratably over 3 years from date of grant.

Read SEC document
July 03, 2021 Filed Sep 9, 2021 23:39 UTC Amendment
SMITH PETE APresident and CEO
GrantCommon Stock 24,049 $0.00 $0.00
Disclosure

SEC source: 0001377789-21-000066 · wf-form4a_163123077542495.xml · nonDerivative · entry 2

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,186

F2 · date: This award was errantly reported in table 2 on original form 4, and is being moved to table 1, consistent with other Section 16 files for Aviat Networks.

F3 · kind: This represents a grant of Performance Stock Units (PSUs). PSUs vest upon achievement of certain financial metrics and 3 years from the date of grant.

Read SEC document
July 03, 2021 Filed Sep 9, 2021 23:39 UTC Amendment
SMITH PETE APresident and CEO
GrantCommon Stock 24,049 $0.00 $0.00
Disclosure

SEC source: 0001377789-21-000066 · wf-form4a_163123077542495.xml · nonDerivative · entry 1

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,137

F1 · kind: This represents a Restricted Stock Unit (RSU) grant. The RSU shares shall vest on an annual basis ratably over 3 years from date of grant.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:46 UTC GrantCommon Stock 1,329 $0.00 $0.00
Disclosure

SEC source: 0001377789-21-000030 · wf-form4_162128436237552.xml · nonDerivative · entry 1

Klein Michele · CIK 0001780094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,329

F1 · shares: Restricted Stock Unit Grant. 100% on the earlier of the first anniversary of the 2020 annual stockholders meeting or the day immediately preceding the date of the 2021 annual stockholders meeting, contingent upon Board service as of such date, with pro rata vesting in the event of death prior to full vesting.

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January 25, 2021 Filed Jan 27, 2021 23:58 UTC
SPH Group LLC10% owner
SaleCommon Stock, $0.01 par value 31,787 $37.85 $1,203,179.27
Disclosure

SEC source: 0000921895-21-000177 · form407441014_01272021.xml · nonDerivative · entry 1

Steel Excel Inc. · CIK 0000709804 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,958

F1 · security: This Form 4 is filed jointly by Steel Excel Inc. ("Steel Excel"), Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings") and Steel Partners Holdings GP Inc. ("Steel Holdings GP", and collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the shares reported owned herein except to the extent of its pecuniary interest therein.

F2 · shares: The sale reported in this Form 4 was made pursuant to a Rule 10b5-1 Trading Plan adopted by Steel Excel on December 18, 2020.

F3 · ownership.direct: Shares of Common Stock owned directly by Steel Excel. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. Accordingly, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the shares of Common Stock of the Issuer owned directly by Steel Excel.

Read SEC document
January 20, 2021 Filed Jan 21, 2021 21:06 UTC
SMITH PETE APresident and CEO
GrantPerformance-Based Shares · Derivative 21,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001377789-21-000001 · wf-form4_161126315794040.xml · derivative · entry 2

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2023-12-31

F2 · shares: Performance measure - closing stock price is greater than or equal to $60.00 per share for three consecutive days by December 31, 2023. Once performance measure is achieved the award will be vested on December 31, 2023.

Read SEC document
January 20, 2021 Filed Jan 21, 2021 21:06 UTC
SMITH PETE APresident and CEO
GrantPerformance-Based Shares · Derivative 15,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001377789-21-000001 · wf-form4_161126315794040.xml · derivative · entry 1

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2022-12-31

F1 · shares: Performance measure - closing stock price is greater than or equal to $50.00 per share for three consecutive days by December 31, 2022. Once performance measure is achieved the award will be vested on December 31, 2022.

Read SEC document
December 18, 2020 Filed Dec 21, 2020 23:49 UTC
SPH Group LLC10% owner
SaleCommon Stock, $0.01 par value 5,400 $37.00 $199,801.08
Disclosure

SEC source: 0001193805-20-001589 · e620158_4-avnw.xml · nonDerivative · entry 2

Steel Excel Inc. · CIK 0000709804 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 553,745

F1 · security: This Form 4 is filed jointly by Steel Excel Inc. ("Steel Excel"), Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings") and Steel Partners Holdings GP Inc. ("Steel Holdings GP", and collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares reported owned herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Shares of Common Stock owned directly by Steel Excel. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. Accordingly, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the shares of Common Stock of the Issuer owned directly by Steel Excel.

Read SEC document
December 17, 2020 Filed Dec 21, 2020 23:49 UTC
SPH Group LLC10% owner
SaleCommon Stock, $0.01 par value 464 $37.95 $17,608.38
Disclosure

SEC source: 0001193805-20-001589 · e620158_4-avnw.xml · nonDerivative · entry 1

Steel Excel Inc. · CIK 0000709804 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 559,145

F1 · security: This Form 4 is filed jointly by Steel Excel Inc. ("Steel Excel"), Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings") and Steel Partners Holdings GP Inc. ("Steel Holdings GP", and collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares reported owned herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Shares of Common Stock owned directly by Steel Excel. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. Accordingly, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the shares of Common Stock of the Issuer owned directly by Steel Excel.

Read SEC document
December 16, 2020 Filed Dec 18, 2020 00:04 UTC
SPH Group LLC10% owner
SaleCommon Stock, $0.01 par value 35,100 $37.31 $1,309,437.09
Disclosure

SEC source: 0001193805-20-001562 · e620146_4-avnw.xml · nonDerivative · entry 1

Steel Excel Inc. · CIK 0000709804 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 559,609

F1 · security: This Form 4 is filed jointly by Steel Excel Inc. ("Steel Excel"), Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings") and Steel Partners Holdings GP Inc. ("Steel Holdings GP", and collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares reported owned herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Shares of Common Stock owned directly by Steel Excel. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. Accordingly, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the shares of Common Stock of the Issuer owned directly by Steel Excel.

Read SEC document
December 15, 2020 Filed Dec 16, 2020 23:50 UTC
SPH Group LLC10% owner
SaleCommon Stock, $0.01 par value 24,128 $37.51 $905,007.50
Disclosure

SEC source: 0000921895-20-003260 · form407441014_12162020.xml · nonDerivative · entry 2

Steel Excel Inc. · CIK 0000709804 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 594,709

F1 · security: This Form 4 is filed jointly by Steel Excel Inc. ("Steel Excel"), Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings") and Steel Partners Holdings GP Inc. ("Steel Holdings GP", and collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares reported owned herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Shares of Common Stock owned directly by Steel Excel. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. Accordingly, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the shares of Common Stock of the Issuer owned directly by Steel Excel.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 23:50 UTC
SPH Group LLC10% owner
SaleCommon Stock, $0.01 par value 27,159 $37.53 $1,019,290.85
Disclosure

SEC source: 0000921895-20-003260 · form407441014_12162020.xml · nonDerivative · entry 1

Steel Excel Inc. · CIK 0000709804 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 618,837

F1 · security: This Form 4 is filed jointly by Steel Excel Inc. ("Steel Excel"), Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings") and Steel Partners Holdings GP Inc. ("Steel Holdings GP", and collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares reported owned herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Shares of Common Stock owned directly by Steel Excel. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. Accordingly, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the shares of Common Stock of the Issuer owned directly by Steel Excel.

Read SEC document
December 10, 2020 Filed Dec 11, 2020 22:35 UTC
SPH Group LLC10% owner
SaleCommon Stock, $0.01 par value 14,000 $38.01 $532,105.00
Disclosure

SEC source: 0000921895-20-003223 · form407441014_12112020.xml · nonDerivative · entry 2

Steel Excel Inc. · CIK 0000709804 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 645,996

F1 · security: This Form 4 is filed jointly by Steel Excel Inc. ("Steel Excel"), Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings") and Steel Partners Holdings GP Inc. ("Steel Holdings GP", and collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares reported owned herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Shares of Common Stock owned directly by Steel Excel. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. Accordingly, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the shares of Common Stock of the Issuer owned directly by Steel Excel.

Read SEC document
December 09, 2020 Filed Dec 11, 2020 22:35 UTC
SPH Group LLC10% owner
SaleCommon Stock, $0.01 par value 10,244 $40.50 $414,904.54
Disclosure

SEC source: 0000921895-20-003223 · form407441014_12112020.xml · nonDerivative · entry 1

Steel Excel Inc. · CIK 0000709804 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 659,996

F1 · security: This Form 4 is filed jointly by Steel Excel Inc. ("Steel Excel"), Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings") and Steel Partners Holdings GP Inc. ("Steel Holdings GP", and collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the shares reported owned herein except to the extent of its pecuniary interest therein.

F2 · ownership.direct: Shares of Common Stock owned directly by Steel Excel. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. Accordingly, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the shares of Common Stock of the Issuer owned directly by Steel Excel.

Read SEC document
November 30, 2020 Filed Dec 2, 2020 00:05 UTC Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 3,033 $0.00 Strike: $23.52 $0.00
Disclosure

SEC source: 0001377789-20-000113 · wf-form4_160686748906180.xml · derivative · entry 4

STOFFEL JAMES C · CIK 0001191551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,033 shares

Expires 2021-01-24

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.

Read SEC document
November 30, 2020 Filed Dec 2, 2020 00:05 UTC SaleCommon Stock 250 $36.61 $9,151.50
Disclosure

SEC source: 0001377789-20-000113 · wf-form4_160686748906180.xml · nonDerivative · entry 3

STOFFEL JAMES C · CIK 0001191551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,279

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $36.60 to $36.63. The reporting person has provided to the issuer, and undertakes to provide to the staff of the Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
November 30, 2020 Filed Dec 2, 2020 00:05 UTC SaleCommon Stock 2,783 $35.95 $100,053.30
Disclosure

SEC source: 0001377789-20-000113 · wf-form4_160686748906180.xml · nonDerivative · entry 2

STOFFEL JAMES C · CIK 0001191551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,529

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $35.52 to $36.50. The reporting person has provided to the issuer, and undertakes to provide to the staff of the Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

Read SEC document
November 30, 2020 Filed Dec 2, 2020 00:05 UTC Exercise / conversionCommon Stock 3,033 $23.52 $71,336.16
Disclosure

SEC source: 0001377789-20-000113 · wf-form4_160686748906180.xml · nonDerivative · entry 1

STOFFEL JAMES C · CIK 0001191551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,312

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.

Read SEC document
November 19, 2020 Filed Nov 20, 2020 21:02 UTC
SMITH PETE APresident and CEO
Tax withholdingCommon Stock 11,950 $29.03 $346,919.26
Disclosure

SEC source: 0001377789-20-000112 · wf-form4_160590610719176.xml · nonDerivative · entry 1

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,544

F1 · shares: Represents shares sold solely to cover taxes on the vesting of a restricted stock award.

Read SEC document
November 11, 2020 Filed Nov 13, 2020 16:32 UTC GrantCommon Stock 3,039 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000109 · wf-form4_160530314089869.xml · nonDerivative · entry 1

QUICKE JOHN J · CIK 0001179588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,562

Read SEC document
November 11, 2020 Filed Nov 13, 2020 16:31 UTC
Loeb DahliaDirector
GrantCommon Stock 3,039 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000105 · wf-form4_160530304423588.xml · nonDerivative · entry 1

Loeb Dahlia · CIK 0001812652 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,499

Read SEC document
November 11, 2020 Filed Nov 13, 2020 21:31 UTC
Kong KennethDirector
GrantCommon Stock 3,039 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000107 · wf-form4_160530308453115.xml · nonDerivative · entry 1

Kong Kenneth · CIK 0001504324 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,457

Read SEC document
November 11, 2020 Filed Nov 13, 2020 21:32 UTC
MUTCH JOHNDirector
GrantCommon Stock 3,039 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000108 · wf-form4_160530310349647.xml · nonDerivative · entry 1

MUTCH JOHN · CIK 0001228146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,228

Read SEC document
November 11, 2020 Filed Nov 13, 2020 21:31 UTC GrantCommon Stock 3,039 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000106 · wf-form4_160530306847684.xml · nonDerivative · entry 1

STOFFEL JAMES C · CIK 0001191551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,279

Read SEC document
September 29, 2020 Filed Sep 30, 2020 22:17 UTC
SMITH PETE APresident and CEO
Tax withholdingCommon Stock 5,616 $22.78 $127,932.48
Disclosure

SEC source: 0001377789-20-000086 · wf-form4_160150423594073.xml · nonDerivative · entry 1

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,494

F1 · shares: Represents shares withheld to cover tax withholding on a vesting of a Performance Stock Unit.

Read SEC document
September 01, 2020 Filed Sep 3, 2020 22:15 UTC
SMITH PETE APresident and CEO
GrantCommon Stock · Derivative 13,193 $0.00 Strike: $22.00 $0.00
Disclosure

SEC source: 0001377789-20-000069 · wf-form4_159917132859166.xml · derivative · entry 3

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,193

Underlying: Common Stock · 13,193 shares

Expires 2027-08-31

F4 · derivative.exercise_date: This represents a Stock Option grant that vest annually over three years from date of grant.

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September 01, 2020 Filed Sep 3, 2020 22:15 UTC
SMITH PETE APresident and CEO
GrantCommon Stock 4,305 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000069 · wf-form4_159917132859166.xml · nonDerivative · entry 2

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,110

F2 · kind: This represents a Performance Restricted Stock Unit with three year performance period from date of grant. This will cliff vest three years from date of grant upon meeting performance metrics.

F3 · balance_after: Restricted stock units granted on January 2, 2020 in the amount of 18,750 and 27,750 have been moved from Table II and added to Securities Owned on Table I.

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September 01, 2020 Filed Sep 3, 2020 22:15 UTC
SMITH PETE APresident and CEO
GrantCommon Stock 4,305 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000069 · wf-form4_159917132859166.xml · nonDerivative · entry 1

SMITH PETE A · CIK 0001590070 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,805

F1 · kind: This represents a Restricted Stock Unit grant. 100% of the shares subject to the award shall vest three years from the grant date.

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September 01, 2020 Filed Sep 3, 2020 20:50 UTC
Chang EricSVP & Chief Financial Officer
GrantCommon Stock · Derivative 7,068 $0.00 Strike: $22.00 $0.00
Disclosure

SEC source: 0001377789-20-000067 · wf-form4_159916618082164.xml · derivative · entry 4

Chang Eric · CIK 0001664898 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,068

Underlying: Common Stock · 7,068 shares

Expires 2027-08-31

F4 · derivative.exercise_date: This represents a Stock Option grant that vest annually over three years from date of grant.

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September 01, 2020 Filed Sep 3, 2020 20:50 UTC
Chang EricSVP & Chief Financial Officer
OtherCommon Stock 612 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000067 · wf-form4_159916618082164.xml · nonDerivative · entry 3

Chang Eric · CIK 0001664898 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,067

F3 · kind: Performance shares originally issued on September 7, 2018, The second 33% of the performance shares were subject to achieving the Company's fiscal 2020 financial metrics which 50% was achieved; as a result 50% of these shares was canceled.

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September 01, 2020 Filed Sep 3, 2020 20:50 UTC
Chang EricSVP & Chief Financial Officer
GrantCommon Stock 2,306 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000067 · wf-form4_159916618082164.xml · nonDerivative · entry 2

Chang Eric · CIK 0001664898 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,679

F2 · kind: This represents a Performance Restricted Stock Unit with three year performance period from date of grant. This will cliff vest three years from grant date upon meeting performance metrics.

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September 01, 2020 Filed Sep 3, 2020 20:50 UTC
Chang EricSVP & Chief Financial Officer
GrantCommon Stock 2,306 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000067 · wf-form4_159916618082164.xml · nonDerivative · entry 1

Chang Eric · CIK 0001664898 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,373

F1 · kind: This represents a Restricted Stock Unit grant. 100% of the shares subject to the award shall vest three years from the date of grant.

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July 03, 2020 Filed Jul 7, 2020 20:13 UTC
McFall ShaunSVP & Chief Marketing Officer
Disposition to issuerCommon Stock 4,873 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000052 · wf-form4_159415281532810.xml · nonDerivative · entry 2

McFall Shaun · CIK 0001358845 · SVP & Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,728

F2 · shares: Represents 2,353 shares cancelled from performance grant dated 09/07/2018, 2,520 shares cancelled from performance grant dated 09/20/2019.

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July 03, 2020 Filed Jul 7, 2020 20:13 UTC
McFall ShaunSVP & Chief Marketing Officer
Tax withholdingCommon Stock 1,976 $18.59 $36,733.84
Disclosure

SEC source: 0001377789-20-000052 · wf-form4_159415281532810.xml · nonDerivative · entry 1

McFall Shaun · CIK 0001358845 · SVP & Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,601

F1 · shares: Represents shares withheld to cover tax withholding on a vesting for a restricted grant.

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June 01, 2020 Filed Jun 2, 2020 16:14 UTC
Loeb DahliaDirector
GrantCommon Stock 2,460 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000047 · wf-form4_159112887588246.xml · nonDerivative · entry 1

Loeb Dahlia · CIK 0001812652 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,460

F1 · shares: Restricted Stock Unit Grant. 100% on the earlier of the first anniversary of the 2019 annual stockholders meeting or the day immediately preceding the date of the 2020 annual stockholders meeting, contingent upon Board service as of such date, with pro rata vesting in the event of death prior to full vesting.

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May 19, 2020 Filed May 21, 2020 19:25 UTC
Chang EricSVP & Chief Financial Officer
GrantNon-Qualified Stock Option (right to buy) · Derivative 7,056 $0.00 Strike: $12.84 $0.00
Disclosure

SEC source: 0001377789-20-000039 · wf-form4_159008909582484.xml · derivative · entry 1

Chang Eric · CIK 0001664898 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,056

Underlying: Common Stock · 7,056 shares

Expires 2027-05-19

F1 · derivative.exercise_date: Stock Option Grant, 100% of the shares subject to the award shall vest ratably over three years from the grant date, contingent upon continued employment.

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April 13, 2020 Filed Apr 14, 2020 23:13 UTC Tax withholdingCommon Stock 1,042 $8.40 $8,752.80
Disclosure

SEC source: 0001377789-20-000019 · wf-form4_158690601519632.xml · nonDerivative · entry 1

Gallagher Walter Stanley Jr · CIK 0001745156 · Former SVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,487

F1 · shares: The issuance is being made in connection with his termination of employment and pursuant to an employee incentive plan. Represents shares withheld solely to cover taxes on the vesting of a restricted stock unit.

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April 03, 2020 Filed Apr 14, 2020 23:13 UTC Disposition to issuerCommon Stock 7,637 $0.00 $0.00
Disclosure

SEC source: 0001377789-20-000019 · wf-form4_158690601519632.xml · nonDerivative · entry 2

Gallagher Walter Stanley Jr · CIK 0001745156 · Former SVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,850

F2 · shares: A) 2,652 shares represent cancelled shares due to termination and are from the Performance RSU granted 09/20/2019 for 3,544 shares. 892 shares released on 04/13/2020 and the remaining 2,652 shares cancelled. B)2,941 shares represent cancelled shares due to termination and are from the Performance RSU granted 09/07/2018 for 4,412 shares. The first tranche of 1,471 shares did not meet the performance goal. The remaining 2,941 shares cancelled. C)2,044 shares represent cancelled shares due to termination and are from RSU granted 06/25/2018 for 5,000 shares. 2,044 shares were cancelled and the remaining 2,956 shares will release prior to 04/03/2021.

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February 03, 2020 Filed Feb 4, 2020 23:38 UTC
Chang EricSVP Corporate Controller & PAO
Tax withholdingCommon Stock 639 $13.52 $8,639.28
Disclosure

SEC source: 0001377789-20-000004 · wf-form4_158085946970948.xml · nonDerivative · entry 1

Chang Eric · CIK 0001664898 · SVP Corporate Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,067

F1 · shares: Represents shares withheld solely to cover taxes on the vesting of a restricted stock unit.

Read SEC document
January 02, 2020 Filed Jan 2, 2020 23:15 UTC
SMITH PETE APresident & CEO
GrantRestricted Stock Units · Derivative 27,750 $0.00 $0.00
Disclosure

SEC source: 0000921895-20-000012 · form411093001_01022020.xml · derivative · entry 2

SMITH PETE A · CIK 0001590070 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,750

Underlying: Common Stock, par value $0.01 per share · 27,750 shares

Expires 2023-01-02

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive, at settlement, one share of the Issuer's common stock.

F3 · price: The RSUs were granted pursuant to the terms of that certain Employment Agreement, between the Reporting Person and the Issuer.

F4 · derivative.exercise_date: The RSUs shall vest if and when the price of the Issuer's common stock reaches $30.00, subject to the Reporting Person's continuous employment from the Transaction Date.

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January 02, 2020 Filed Jan 2, 2020 23:15 UTC
SMITH PETE APresident & CEO
GrantRestricted Stock Units · Derivative 18,750 $0.00 $0.00
Disclosure

SEC source: 0000921895-20-000012 · form411093001_01022020.xml · derivative · entry 1

SMITH PETE A · CIK 0001590070 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock, par value $0.01 per share · 18,750 shares

Expires 2022-01-02

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive, at settlement, one share of the Issuer's common stock.

F3 · price: The RSUs were granted pursuant to the terms of that certain Employment Agreement, between the Reporting Person and the Issuer.

F2 · derivative.exercise_date: The RSUs shall vest if and when the price of the Issuer's common stock reaches $22.50, subject to the Reporting Person's continuous employment from the Transaction Date.

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November 13, 2019 Filed Nov 14, 2019 16:14 UTC GrantCommon Stock 5,293 $0.00 $0.00
Disclosure

SEC source: 0001377789-19-000094 · wf-form4_157376602564676.xml · nonDerivative · entry 1

QUICKE JOHN J · CIK 0001179588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,523

Read SEC document
November 13, 2019 Filed Nov 14, 2019 21:17 UTC
MUTCH JOHNDirector
GrantCommon Stock 5,293 $0.00 $0.00
Disclosure

SEC source: 0001377789-19-000096 · wf-form4_157376626287099.xml · nonDerivative · entry 1

MUTCH JOHN · CIK 0001228146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,189

Read SEC document
November 13, 2019 Filed Nov 14, 2019 21:18 UTC GrantCommon Stock 5,293 $0.00 $0.00
Disclosure

SEC source: 0001377789-19-000097 · wf-form4_157376631592512.xml · nonDerivative · entry 1

STOFFEL JAMES C · CIK 0001191551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,240

Read SEC document
November 13, 2019 Filed Nov 14, 2019 21:14 UTC
Kong KennethDirector
GrantCommon Stock 5,293 $0.00 $0.00
Disclosure

SEC source: 0001377789-19-000095 · wf-form4_157376606615663.xml · nonDerivative · entry 1

Kong Kenneth · CIK 0001504324 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,418

Read SEC document
September 22, 2019 Filed Sep 24, 2019 23:53 UTC
McFall ShaunSVP & Chief Marketing Officer
Tax withholdingCommon Stock 2,966 $14.45 $42,858.70
Disclosure

SEC source: 0001377789-19-000073 · wf-form4_156936917559419.xml · nonDerivative · entry 2

McFall Shaun · CIK 0001358845 · SVP & Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,017

F2 · shares: Represents shares withheld to cover tax withholding on a vesting for a Performance Stock Unit.

F3 · shares: Reflects the vesting of the Performance Stock Units granted on September 22, 2016 at 100% of target during the performance period as stated on the grant agreement.

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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.