Last 12 months
Inside the activity.
2 purchase rows · 12 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 11 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 2 | 1 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 14, 2018 Filed Aug 16, 2018 01:11 UTC |
ARES MANAGEMENT LLCDirector · 10% owner
Ares Management Holdings L.P.Director · 10% owner
Ares Holdco LLCDirector · 10% owner
Ares Holdings Inc.Director · 10% owner
Ares Management CorpDirector · 10% owner
Ares Management GP LLCDirector · 10% owner
Ares Partners Holdco LLCDirector · 10% owner
|
SaleCommon Stock, $0.0001 par value | 258,602 | $3.89 | $1,005,961.78 |
DisclosureSEC source: 0001104659-18-052345 · a4.xml · nonDerivative · entry 3 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 21,246,682 F1 · kind: All of the sales reported on this Form 4 were effected by entities managed within the Credit Group of Ares Management, L.P. ("Ares Management"), and were predominantly made in connection with the liquidation of certain funds, fund redemptions or changes in the asset allocations of the selling entities. F4 · shares: The amount reported reflects an aggregate of 258,602 shares of Common Stock sold by the following entities in the following amounts: 58,904 shares by Future Fund Board of Guardians, 60,133 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 76,699 shares by Ares Dynamic Credit Allocation Fund, Inc., 25,116 by ASIP (Holdco) IV S.a.r.l., 11,026 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 17,627 shares by Transatlantic Reinsurance Company, and 9,097 shares by RSUI Indemnity Company. F12 · ownership.nature: The Issuer's securities held by the entities listed in the footnotes above (collectively, the "Purchasers") is managed, directly or indirectly, by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management. The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). F13 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. Mr. Ressler generally has veto authority over decisions by Ares Partners' board of managers. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F14 · ownership.nature: The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document |
| August 13, 2018 Filed Aug 16, 2018 01:11 UTC |
ARES MANAGEMENT LLCDirector · 10% owner
Ares Management Holdings L.P.Director · 10% owner
Ares Holdco LLCDirector · 10% owner
Ares Holdings Inc.Director · 10% owner
Ares Management CorpDirector · 10% owner
Ares Management GP LLCDirector · 10% owner
Ares Partners Holdco LLCDirector · 10% owner
|
SaleCommon Stock, $0.0001 par value | 200,000 | $3.89 | $778,000.00 |
DisclosureSEC source: 0001104659-18-052345 · a4.xml · nonDerivative · entry 2 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 21,505,284 F1 · kind: All of the sales reported on this Form 4 were effected by entities managed within the Credit Group of Ares Management, L.P. ("Ares Management"), and were predominantly made in connection with the liquidation of certain funds, fund redemptions or changes in the asset allocations of the selling entities. F3 · shares: The amount reported reflects an aggregate of 200,000 shares of Common Stock sold by the following entities in the following amounts: 45,556 shares by Future Fund Board of Guardians, 46,506 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 59,318 shares by Ares Dynamic Credit Allocation Fund, Inc., 19,425 by ASIP (Holdco) IV S.a.r.l., 8,527 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 13,633 shares by Transatlantic Reinsurance Company, and 7,035 shares by RSUI Indemnity Company. F12 · ownership.nature: The Issuer's securities held by the entities listed in the footnotes above (collectively, the "Purchasers") is managed, directly or indirectly, by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management. The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). F13 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. Mr. Ressler generally has veto authority over decisions by Ares Partners' board of managers. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F14 · ownership.nature: The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document |
| August 13, 2018 Filed Aug 16, 2018 01:11 UTC |
ARES MANAGEMENT LLCDirector · 10% owner
Ares Management Holdings L.P.Director · 10% owner
Ares Holdco LLCDirector · 10% owner
Ares Holdings Inc.Director · 10% owner
Ares Management CorpDirector · 10% owner
Ares Management GP LLCDirector · 10% owner
Ares Partners Holdco LLCDirector · 10% owner
|
SaleCommon Stock, $0.0001 par value | 150,000 | $3.91 | $586,500.00 |
DisclosureSEC source: 0001104659-18-052345 · a4.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 21,705,284 F1 · kind: All of the sales reported on this Form 4 were effected by entities managed within the Credit Group of Ares Management, L.P. ("Ares Management"), and were predominantly made in connection with the liquidation of certain funds, fund redemptions or changes in the asset allocations of the selling entities. F2 · shares: The amount reported reflects an aggregate of 150,000 shares of the Issuer's common stock, $0.0001 par value ("Common Stock") sold by the following entities in the following amounts: 34,167 shares by Future Fund Board of Guardians, 34,879 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 44,489 shares by Ares Dynamic Credit Allocation Fund, Inc., 14,568 shares by ASIP (Holdco) IV S.a.r.l., 6,395 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 10,225 shares by Transatlantic Reinsurance Company and 5,277 shares by RSUI Indemnity Company. F12 · ownership.nature: The Issuer's securities held by the entities listed in the footnotes above (collectively, the "Purchasers") is managed, directly or indirectly, by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management. The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). F13 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. Mr. Ressler generally has veto authority over decisions by Ares Partners' board of managers. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. F14 · ownership.nature: The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document |
| June 15, 2018 Filed Jun 19, 2018 20:22 UTC |
MCARDLE JANINE JDirector
|
GrantCommon Stock | 33,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-038549 · doc4.xml · nonDerivative · entry 1 MCARDLE JANINE J · CIK 0001250240 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,816 F1 · price: The restricted stock grant vests in one installment on December 15, 2018. Read SEC document |
| May 14, 2018 Filed May 17, 2018 00:10 UTC |
ARES MANAGEMENT LLCDirector · 10% owner
Ares Management Holdings L.P.Director · 10% owner
Ares Holdco LLCDirector · 10% owner
Ares Holdings Inc.Director · 10% owner
Ares Management CorpDirector · 10% owner
Ares Management GP LLCDirector · 10% owner
Ares Partners Holdco LLCDirector · 10% owner
|
GrantCommon Stock, $0.0001 par value | 33,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-033909 · a4.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,857 F1 · shares: The amount reported consists of 33,743 shares of restricted stock approved by the Issuer's board of directors to be granted to Nathan Walton, in his capacity as non-employee directors of the Issuer. Mr. Walton is associated with Ares Management LLC and the other Ares Entities (as defined below). Pursuant to the policies of the Ares Entities and the direction of Mr. Walton, the Issuer issued these restricted shares directly to Ares Management LLC on May 14, 2018. Mr. Walton does not have any beneficial ownership of or pecuniary interest in such restricted shares. Read SEC document |
| May 14, 2018 Filed May 16, 2018 17:47 UTC |
SCOTT RONALD D.Director
|
GrantCommon Stock | 33,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030643 · doc4.xml · nonDerivative · entry 1 SCOTT RONALD D. · CIK 0001683599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,992 F1 · price: The restricted stock grant vests in one installment on November 14, 2018. Read SEC document |
| May 14, 2018 Filed May 16, 2018 17:44 UTC |
CLARK MICHAEL L.Director
|
GrantCommon Stock | 33,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030637 · doc4.xml · nonDerivative · entry 1 CLARK MICHAEL LAURENCE · CIK 0001683605 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,992 F1 · price: The restricted stock grant vests in one installment on November 14, 2018. Read SEC document |
| May 14, 2018 Filed May 16, 2018 21:46 UTC |
Schall DarrylDirector
|
GrantCommon Stock | 33,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030641 · doc4.xml · nonDerivative · entry 1 Schall Darryl · CIK 0001373020 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,127 F1 · price: The restricted stock grant vests in one installment on November 14, 2018. Read SEC document |
| May 14, 2018 Filed May 16, 2018 21:45 UTC |
FULLER THOMAS RDirector
|
GrantCommon Stock | 33,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030638 · doc4.xml · nonDerivative · entry 1 FULLER THOMAS R · CIK 0001248903 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,691 F1 · price: The restricted stock grant vests in one installment on November 14, 2018. Read SEC document |
| May 14, 2018 Filed May 16, 2018 21:43 UTC |
Campbell William JeffersonDirector
|
GrantCommon Stock | 33,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030636 · doc4.xml · nonDerivative · entry 1 Campbell William Jefferson · CIK 0001524383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,992 F1 · price: The restricted stock grant vests in one installment on November 14, 2018. Read SEC document |
| May 14, 2018 Filed May 16, 2018 21:42 UTC |
CHRISTMAS JAMES WDirector
|
GrantCommon Stock | 33,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030635 · doc4.xml · nonDerivative · entry 1 CHRISTMAS JAMES W · CIK 0001204507 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,272 F1 · price: The restricted stock grant vests in one installment on November 14, 2018. Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 06:54 UTC |
WILSON FLOYD CChairman, CEO & President
|
PurchaseCommon Stock | 20,000 | $5.24 | $104,800.00 |
DisclosureSEC source: 0001209191-18-018689 · doc4.xml · nonDerivative · entry 5 WILSON FLOYD C · CIK 0000936305 · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,718,836 Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 06:54 UTC |
WILSON FLOYD CChairman, CEO & President
|
PurchaseCommon Stock | 10,000 | $5.23 | $52,300.00 |
DisclosureSEC source: 0001209191-18-018689 · doc4.xml · nonDerivative · entry 4 WILSON FLOYD C · CIK 0000936305 · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,698,836 Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 06:54 UTC |
WILSON FLOYD CChairman, CEO & President
|
PurchaseCommon Stock | 10,000 | $5.22 | $52,200.00 |
DisclosureSEC source: 0001209191-18-018689 · doc4.xml · nonDerivative · entry 3 WILSON FLOYD C · CIK 0000936305 · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,688,836 Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 06:54 UTC |
WILSON FLOYD CChairman, CEO & President
|
PurchaseCommon Stock | 9,350 | $5.19 | $48,526.50 |
DisclosureSEC source: 0001209191-18-018689 · doc4.xml · nonDerivative · entry 2 WILSON FLOYD C · CIK 0000936305 · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,678,836 Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 06:54 UTC |
WILSON FLOYD CChairman, CEO & President
|
PurchaseCommon Stock | 650 | $5.18 | $3,367.00 |
DisclosureSEC source: 0001209191-18-018689 · doc4.xml · nonDerivative · entry 1 WILSON FLOYD C · CIK 0000936305 · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,669,486 Read SEC document |
| March 05, 2018 Filed Mar 5, 2018 23:07 UTC |
Schall DarrylDirector
|
PurchaseCommon Stock | 5,658 | $5.48 | $31,000.18 |
DisclosureSEC source: 0001209191-18-016823 · doc4.xml · nonDerivative · entry 2 Schall Darryl · CIK 0001373020 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,384 Read SEC document |
| March 05, 2018 Filed Mar 5, 2018 23:07 UTC |
Schall DarrylDirector
|
PurchaseCommon Stock | 1,342 | $5.47 | $7,340.74 |
DisclosureSEC source: 0001209191-18-016823 · doc4.xml · nonDerivative · entry 1 Schall Darryl · CIK 0001373020 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,726 Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:02 UTC |
WILSON FLOYD CChairman, CEO & President
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 241,500 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-016802 · doc4.xml · derivative · entry 6 WILSON FLOYD C · CIK 0000936305 · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,500 Underlying: Common Stock · 241,500 shares Expires 2028-03-01 F5 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:02 UTC |
WILSON FLOYD CChairman, CEO & President
|
GrantCommon Stock | 250,130 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016802 · doc4.xml · nonDerivative · entry 1 WILSON FLOYD C · CIK 0000936305 · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,668,836 F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:05 UTC |
HICKS QUENTIN REVP, Finance and IR
|
GrantEmployee Stock Options (Right to Buy) · Derivative | 71,700 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-016816 · doc4.xml · derivative · entry 2 HICKS QUENTIN R · CIK 0001676649 · EVP, Finance and IR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,700 Underlying: Common Stock · 71,700 shares Expires 2028-03-01 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 18:05 UTC |
HICKS QUENTIN REVP, Finance and IR
|
GrantCommon Stock | 74,260 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016816 · doc4.xml · nonDerivative · entry 1 HICKS QUENTIN R · CIK 0001676649 · EVP, Finance and IR 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,653 F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:06 UTC |
Kasparek Leah R.SVP, HR & Administration
|
GrantEmployee Stock Options (Right to Buy) · Derivative | 52,300 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-016820 · doc4.xml · derivative · entry 2 Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,300 Underlying: Common Stock · 52,300 shares Expires 2028-03-01 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:06 UTC |
Kasparek Leah R.SVP, HR & Administration
|
GrantCommon Stock | 54,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016820 · doc4.xml · nonDerivative · entry 1 Kasparek Leah R. · CIK 0001550854 · SVP, HR & Administration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,380 F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:05 UTC |
Obut Tina SSVP, Corporate Reserves
|
GrantEmployee Stock Options (Right to Buy) · Derivative | 60,400 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-016818 · doc4.xml · derivative · entry 2 Obut Tina S · CIK 0001391523 · SVP, Corporate Reserves 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,400 Underlying: Common Stock · 60,400 shares Expires 2028-03-01 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:05 UTC |
Obut Tina SSVP, Corporate Reserves
|
GrantCommon Stock | 62,530 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016818 · doc4.xml · nonDerivative · entry 1 Obut Tina S · CIK 0001391523 · SVP, Corporate Reserves 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,649 F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:04 UTC |
Elkouri David SEVP and CLO
|
GrantEmployee Stock Options (Right to Buy) · Derivative | 100,600 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-016814 · doc4.xml · derivative · entry 4 Elkouri David S · CIK 0001408621 · EVP and CLO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,600 Underlying: Common Stock · 100,600 shares Expires 2028-03-01 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:04 UTC |
Elkouri David SEVP and CLO
|
GrantCommon Stock | 104,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016814 · doc4.xml · nonDerivative · entry 1 Elkouri David S · CIK 0001408621 · EVP and CLO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,279 F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:03 UTC |
Wright Jon C.EVP & COO
|
GrantEmployee Stock Options (Right to Buy) · Derivative | 100,600 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-016811 · doc4.xml · derivative · entry 2 Wright Jon C. · CIK 0001551455 · EVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,600 Underlying: Common Stock · 100,600 shares Expires 2028-03-01 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:03 UTC |
Wright Jon C.EVP & COO
|
GrantCommon Stock | 104,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016811 · doc4.xml · nonDerivative · entry 1 Wright Jon C. · CIK 0001551455 · EVP & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,854 F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:03 UTC |
Mize MarkEVP, CFO and Treasurer
|
GrantEmployee Stock Options (Right to Buy) · Derivative | 100,600 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-016808 · doc4.xml · derivative · entry 2 Mize Mark · CIK 0001310117 · EVP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,600 Underlying: Common Stock · 100,600 shares Expires 2028-03-01 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:03 UTC |
Mize MarkEVP, CFO and Treasurer
|
GrantCommon Stock | 104,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016808 · doc4.xml · nonDerivative · entry 1 Mize Mark · CIK 0001310117 · EVP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,750 F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:02 UTC |
HEROD STEPHEN WEVP, Corporate Development
|
GrantEmployee Stock Options (Right to Buy) · Derivative | 113,200 | $0.00 Strike: $5.65 | $0.00 |
DisclosureSEC source: 0001209191-18-016806 · doc4.xml · derivative · entry 3 HEROD STEPHEN W · CIK 0001195114 · EVP, Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,200 Underlying: Common Stock · 113,200 shares Expires 2028-03-01 F3 · derivative.exercise_date: The option vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 23:02 UTC |
HEROD STEPHEN WEVP, Corporate Development
|
GrantCommon Stock | 117,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016806 · doc4.xml · nonDerivative · entry 1 HEROD STEPHEN W · CIK 0001195114 · EVP, Corporate Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 435,814 F1 · price: The restricted stock award vests in three equal annual installments beginning March 1, 2019. Read SEC document |
| February 09, 2018 Filed Feb 14, 2018 00:02 UTC |
ARES MANAGEMENT LLCDirector · 10% owner
Ares Management Holdings L.P.Director · 10% owner
Ares Holdco LLCDirector · 10% owner
Ares Holdings Inc.Director · 10% owner
Ares Management CorpDirector · 10% owner
Ares Management GP LLCDirector · 10% owner
Ares Partners Holdco LLCDirector · 10% owner
|
PurchaseCommon Stock, $0.0001 par value | 1,113,466 | $6.90 | $7,682,915.40 |
DisclosureSEC source: 0001104659-18-009140 · a4.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner ARES MANAGEMENT LP · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 21,855,284 F1 · shares: The amount reported reflects an aggregate 1,113,466 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") purchased on February 9, 2018 in an underwritten public offering of the Issuer's Common Stock by the following entities in the following amounts: 330,525 shares by AF IV Energy II AIV B1, L.P., 52,461 shares by AF IV Energy II AIV A1, L.P., 78,684 shares by AF IV Energy II AIV A2, L.P., 33,220 shares by AF IV Energy II AIV A3, L.P., 33,970 shares by AF IV Energy II AIV A4, L.P., 43,537 shares by AF IV Energy II AIV A5, L.P., 34,096 shares by AF IV Energy II AIV A6, L.P., 17,488 shares by AF IV Energy II AIV A7, L.P., 33,924 shares by AF IV Energy II AIV A8, L.P., 35,166 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 2) F2 · shares: 52,461 shares by AF IV Energy II AIV A10, L.P., 19,670 shares by AF IV Energy II AIV A11, L.P., 34,967 shares by AF IV Energy II AIV A12, L.P., 111,051 shares by SSF IV Halcon AIV B1, L.P., 5,167 shares by SSF IV Halcon AIV 1, L.P., 38,082 shares by SSF IV Halcon AIV 2, L.P., 41,359 shares by SSF IV Halcon AIV 3, L.P., 10,342 shares by SSF IV Halcon AIV 4, L.P., 22,812 shares by SSF IV Halcon AIV 5, L.P., 38,371 shares by SSF IV Halcon AIV 6, L.P., and 46,113 shares by SSF IV Halcon AIV 7, L.P. F3 · balance_after: The amount reported reflects an aggregate of 21,855,284 shares of Common Stock held on February 9, 2018 by the following entities in the following amounts: 5,648,690 shares by AF IV Energy II AIV B1, L.P., 896,567 shares by AF IV Energy II AIV A1, L.P., 1,344,714 shares by AF IV Energy II AIV A2, L.P., 567,737 shares by AF IV Energy II AIV A3, L.P., 580,546 shares by AF IV Energy II AIV A4, L.P., 744,057 shares by AF IV Energy II AIV A5, L.P., 582,698 shares by AF IV Energy II AIV A6, L.P., 298,870 shares by AF IV Energy II AIV A7, L.P., 579,768 shares by AF IV Energy II AIV A8, L.P., 600,983 shares by AF IV Energy II AIV A9, L.P., 896,567 shares by AF IV Energy II AIV A10, L.P., 336,156 shares by AF IV Energy II AIV A11, L.P., 597,583 shares by AF IV Energy II AIV A12, L.P., 257,070 shares by SSF III Halcon AIV B1, L.P., 1,101,652 shares by SSF III Halcon AIV 1, L.P., 165,271 shares by SSF III Halcon AIV 2, L.P., (continued in footnote 4) F4 · balance_after: 315,830 shares by SSF III Halcon AIV 3, L.P., 1,897,859 shares by SSF IV Halcon AIV B1, L.P., 88,306 shares by SSF IV Halcon AIV 1, L.P., 650,824 shares by SSF IV Halcon AIV 2, L.P., 706,823 shares by SSF IV Halcon AIV 3, L.P., 176,753 shares by SSF IV Halcon AIV 4, L.P., 389,862 shares by SSF IV Halcon AIV 5, L.P., 655,756 shares by SSF IV Halcon AIV 6, L.P., 788,066 shares by SSF IV Halcon AIV 7, L.P., 292,519 shares by Ares Dynamic Credit Allocation Fund, Inc., 229,338 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 224,654 shares by Future Fund Board of Guardians, 95,790 shares by ASIP (Holdco) IV S.a.r.l., 42,051 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 67,228 shares by Transatlantic Reinsurance Company and 34,696 shares by RSUI Indemnity Company. F5 · ownership.nature: The Issuer's Common Stock held by the entities listed in footnotes 1-4 (collectively, the "Purchasers") is managed, directly or indirectly, by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"), whose sole stockholder is Ares Management, L.P. ("Ares Management"). The general partner of Ares Management is Ares Management GP LLC ("Ares Management GP") and the sole member of Ares Management GP is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, and Ares Management GP, the "Ares Entities"). F6 · ownership.nature: Ares Partners is managed by a board of managers, which is composed of Michael Arougheti, Ryan Berry, R. Kipp deVeer, David Kaplan, Michael McFerran, Antony Ressler and Bennett Rosenthal. (continued in footnote 6) F7 · ownership.nature: Mr. Ressler generally has veto authority over decisions by Ares Partners' board of managers. Each of the Ares Entities (other than each Purchaser, with respect to the securities held directly by it) and the members of Ares Partners' board of managers and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document |
| February 09, 2018 Filed Apr 11, 2019 21:04 UTC Amendment |
ARES MANAGEMENT LLCDirector · 10% owner
Ares Management Holdings L.P.Director · 10% owner
Ares Holdco LLCDirector · 10% owner
Ares Holdings Inc.Director · 10% owner
Ares Management CorpDirector · 10% owner
Ares Management GP LLCDirector · 10% owner
Ares Voting LLCDirector · 10% owner
Ares Partners Holdco LLCDirector · 10% owner
|
PurchaseCommon Stock, $0.0001 par value | 1,113,466 | $6.90 | $7,682,915.40 |
DisclosureSEC source: 0001104659-19-020893 · a4a.xml · nonDerivative · entry 1 ARES MANAGEMENT LLC · CIK 0001259313 · Director · 10% owner Ares Management Holdings L.P. · CIK 0001536937 · Director · 10% owner Ares Holdco LLC · CIK 0001669983 · Director · 10% owner Ares Holdings Inc. · CIK 0001620317 · Director · 10% owner Ares Management Corp · CIK 0001176948 · Director · 10% owner Ares Management GP LLC · CIK 0001620264 · Director · 10% owner Ares Voting LLC · CIK 0001761656 · Director · 10% owner Ares Partners Holdco LLC · CIK 0001620263 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 21,855,288 F1 · shares: The amount reported reflects an aggregate of 1,113,466 shares of the Issuer's Common Stock, $0.0001 par value ("Common Stock") purchased on February 9, 2018 in an underwritten public offering of the Issuer's Common Stock by the following entities in the following amounts: 330,525 shares by AF IV Energy II AIV B1, L.P., 52,461 shares by AF IV Energy II AIV A1, L.P., 78,684 shares by AF IV Energy II AIV A2, L.P., 33,220 shares by AF IV Energy II AIV A3, L.P., 33,970 shares by AF IV Energy II AIV A4, L.P., 43,537 shares by AF IV Energy II AIV A5, L.P., 34,096 shares by AF IV Energy II AIV A6, L.P., 17,488 shares by AF IV Energy II AIV A7, L.P., 33,924 shares by AF IV Energy II AIV A8, L.P., 35,166 shares by AF IV Energy II AIV A9, L.P., (continued in footnote 2) F2 · shares: 52,461 shares by AF IV Energy II AIV A10, L.P., 19,670 shares by AF IV Energy II AIV A11, L.P., 34,967 shares by AF IV Energy II AIV A12, L.P., 111,051 shares by SSF IV Halcon AIV B1, L.P., 5,167 shares by SSF IV Halcon AIV 1, L.P., 38,082 shares by SSF IV Halcon AIV 2, L.P., 41,359 shares by SSF IV Halcon AIV 3, L.P., 10,342 shares by SSF IV Halcon AIV 4, L.P., 22,812 shares by SSF IV Halcon AIV 5, L.P., 38,371 shares by SSF IV Halcon AIV 6, L.P., and 46,113 shares by SSF IV Halcon AIV 7, L.P. F3 · balance_after: The amount reported reflects an aggregate of 21,855,288 shares of Common Stock held on February 9, 2018 by the following entities in the following amounts: 5,648,690 shares by AF IV Energy II AIV B1, L.P., 896,567 shares by AF IV Energy II AIV A1, L.P., 1,344,714 shares by AF IV Energy II AIV A2, L.P., 567,737 shares by AF IV Energy II AIV A3, L.P., 580,546 shares by AF IV Energy II AIV A4, L.P., 744,057 shares by AF IV Energy II AIV A5, L.P., 582,698 shares by AF IV Energy II AIV A6, L.P., 298,870 shares by AF IV Energy II AIV A7, L.P., 579,768 shares by AF IV Energy II AIV A8, L.P., 600,983 shares by AF IV Energy II AIV A9, L.P., 896,567 shares by AF IV Energy II AIV A10, L.P., 336,156 shares by AF IV Energy II AIV A11, L.P., 597,583 shares by AF IV Energy II AIV A12, L.P., 257,070 shares by SSF III Halcon AIV B1, L.P., 1,101,652 shares by SSF III Halcon AIV 1, L.P., 165,271 shares by SSF III Halcon AIV 2, L.P., (continued in footnote 4) F4 · balance_after: 315,830 shares by SSF III Halcon AIV 3, L.P., 1,897,859 shares by SSF IV Halcon AIV B1, L.P., 88,306 shares by SSF IV Halcon AIV 1, L.P., 650,824 shares by SSF IV Halcon AIV 2, L.P., 706,823 shares by SSF IV Halcon AIV 3, L.P., 176,753 shares by SSF IV Halcon AIV 4, L.P., 389,862 shares by SSF IV Halcon AIV 5, L.P., 655,756 shares by SSF IV Halcon AIV 6, L.P., 788,066 shares by SSF IV Halcon AIV 7, L.P., 292,519 shares by Ares Dynamic Credit Allocation Fund, Inc., 229,342 shares by Ares Enhanced Credit Opportunities Master Fund II, Ltd., 224,654 shares by Future Fund Board of Guardians, 95,790 shares by ASIP (Holdco) IV S.a.r.l., 42,051 shares by Ares Multi-Strategy Credit Fund V (H), L.P., 67,228 shares by Transatlantic Reinsurance Company and 34,696 shares by RSUI Indemnity Company. F5 · balance_after: The original Form 4, filed with the Securities and Exchange Commission on February 13, 2018, unintentionally omitted 4 shares of Common Stock owned by Ares Enhanced Credit Opportunities Master Fund II, Ltd. This amended Form 4 (this "Amendment") is being filed to correct the omission. F6 · ownership.nature: The Issuer's Common Stock held by the entities listed in footnotes 1-4 (collectively, the "Purchasers") is managed, directly or indirectly, by Ares Management LLC. The sole member of Ares Management LLC is Ares Management Holdings L.P. ("Ares Management Holdings") and the general partner of Ares Management Holdings is Ares Holdco LLC ("Ares Holdco"). The sole member of Ares Holdco is Ares Holdings Inc. ("Ares Holdings"). The sole stockholder of Ares Holdings is Ares Management Corporation ("Ares Management"). Ares Management GP LLC ("Ares Management GP") is the sole holder of the Class B common stock, $0.01 par value per share, of Ares Management (the "Class B Common Stock") and Ares Voting LLC ("Ares Voting") is the sole holder of the Class C common stock, $0.01 par value per share, of Ares Management (the "Class C Common Stock"). (continued in footnote 7) F7 · ownership.nature: Pursuant to Ares Management's Certificate of Incorporation in effect as of the date of this Amendment, the holders of the Class B Common Stock and the Class C Common Stock, collectively, will generally have the majority of the votes on any matter submitted to the stockholders of Ares Management if certain conditions are met. (continued in footnote 8) F8 · ownership.nature: The sole member of both Ares Management GP and Ares Voting is Ares Partners Holdco LLC ("Ares Partners," and together with the Purchasers, Ares Management LLC, Ares Management Holdings, Ares Holdco, Ares Holdings, Ares Management, Ares Management GP and Ares Voting, the "Ares Entities"). Ares Partners is managed by a board of managers, which is composed of Michael J Arougheti, Ryan Berry, R. Kipp deVeer, David B. Kaplan, Michael R. McFerran, Antony P. Ressler and Bennett Rosenthal (collectively, the "Board Members"). (continued in footnote 9) F9 · ownership.nature: Mr. Ressler generally has veto authority over Board Members' decisions. Each of the Ares Entities (other than the Purchasers and Ares Management LLC with respect to the securities held directly by them) and the Board Members and the other directors, officers, partners, stockholders, members and managers of the Ares Entities expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this Form 4 shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is c/o Ares Management LLC, 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 21:25 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 500,000 | $8.60 | $4,300,000.00 |
DisclosureSEC source: 0001225208-18-001764 · doc4.xml · nonDerivative · entry 3 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 14,530,157 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 26, 2018 Filed Jan 29, 2018 21:25 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 77,571 | $8.60 | $667,164.90 |
DisclosureSEC source: 0001225208-18-001764 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,030,157 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 21:25 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 435,010 | $8.44 | $3,672,658.93 |
DisclosureSEC source: 0001225208-18-001764 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,107,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 24, 2018 Filed Jan 25, 2018 15:53 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 132,707 | $8.17 | $1,083,751.72 |
DisclosureSEC source: 0001225208-18-001474 · doc4.xml · nonDerivative · entry 4 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,542,738 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 23, 2018 Filed Jan 25, 2018 15:53 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 195,100 | $8.23 | $1,605,243.78 |
DisclosureSEC source: 0001225208-18-001474 · doc4.xml · nonDerivative · entry 3 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,675,445 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 23, 2018 Filed Jan 25, 2018 15:53 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 62,283 | $8.31 | $517,540.59 |
DisclosureSEC source: 0001225208-18-001474 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,870,545 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 23, 2018 Filed Jan 25, 2018 15:53 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 24,900 | $8.21 | $204,304.50 |
DisclosureSEC source: 0001225208-18-001474 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,932,828 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 22, 2018 Filed Jan 23, 2018 15:39 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 400,000 | $8.21 | $3,285,040.00 |
DisclosureSEC source: 0001225208-18-001361 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,957,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 19, 2018 Filed Jan 23, 2018 15:39 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 150,000 | $8.04 | $1,206,585.00 |
DisclosureSEC source: 0001225208-18-001361 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,357,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 18, 2018 Filed Jan 19, 2018 17:00 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 130,000 | $8.25 | $1,072,617.00 |
DisclosureSEC source: 0001225208-18-001287 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,507,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 17, 2018 Filed Jan 19, 2018 17:00 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 170,000 | $8.39 | $1,425,773.00 |
DisclosureSEC source: 0001225208-18-001287 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,637,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 16, 2018 Filed Jan 17, 2018 15:37 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 300,000 | $8.55 | $2,564,610.00 |
DisclosureSEC source: 0001225208-18-001077 · doc4.xml · nonDerivative · entry 3 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 16,807,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 16, 2018 Filed Jan 17, 2018 15:37 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 150,000 | $8.73 | $1,309,590.00 |
DisclosureSEC source: 0001225208-18-001077 · doc4.xml · nonDerivative · entry 2 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,107,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 15:37 UTC |
FRANKLIN TEMPLETON INC10% owner
|
SaleCommon Stock | 350,000 | $8.53 | $2,984,065.00 |
DisclosureSEC source: 0001225208-18-001077 · doc4.xml · nonDerivative · entry 1 FRANKLIN RESOURCES INC · CIK 0000038777 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,257,728 F1 · ownership.nature: See Exhibits 99-1 and 99-2 for text of footnote, which Exhibits are incorporated by reference herein. 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.