Last 12 months
Inside the activity.
0 purchase rows · 6 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 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 4 |
| Jul 2026 | 0 | 2 |
| Aug 2026 | 0 | 0 |
| 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 |
|---|---|---|---|---|---|---|
| April 29, 2019 Filed May 1, 2019 19:47 UTC Amendment |
Osman TariqDirector · 10% owner
|
GrantCommon Stock | 1,664,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-008464 · rdgdoc.xml · nonDerivative · entry 1 Osman Tariq · CIK 0001658446 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,067,825 F1 · kind: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F1 · price: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F1 · ownership.nature: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F2 · ownership.nature: 6,067,825 of such shares are held by CFLL Sponsor and 7,784,313 of such shares are held by CFLL Holdings, LLC ("CFLL Holdings"). Howard D. Morgan, Heather L. Faust, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the CFLL Sponsor and CFLL Holdings, share voting and investment discretion with respect to the common stock held by CFLL Sponsor, and each has individual voting and investment discretion with respect to the common stock held by CFLL Holdings. Read SEC document |
| April 29, 2019 Filed May 1, 2019 18:51 UTC |
Osman Tariq10% owner
|
Disposition to issuerWarrants · Derivative | 10,822,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-008449 · rdgdoc.xml · derivative · entry 2 Osman Tariq · CIK 0001658446 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 10,822,500 shares Expires not disclosed F3 · derivative.exercise_price: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F1 · kind: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F3 · derivative.exercise_date: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F3 · derivative.expiration_date: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F1 · ownership.nature: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F2 · ownership.nature: 6,067,825 of such shares are held by CFLL Sponsor and 7,784,313 of such shares are held by CFLL Holdings, LLC ("CFLL Holdings"). Howard D. Morgan, Heather L. Faust, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the CFLL Sponsor and CFLL Holdings, share voting and investment discretion with respect to the common stock held by CFLL Sponsor, and each has individual voting and investment discretion with respect to the common stock held by CFLL Holdings. Read SEC document |
| April 29, 2019 Filed May 1, 2019 18:51 UTC |
Osman Tariq10% owner
|
GrantCommon Stock | 1,664,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-008449 · rdgdoc.xml · nonDerivative · entry 1 Osman Tariq · CIK 0001658446 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,067,825 F1 · kind: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F1 · price: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F1 · ownership.nature: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F2 · ownership.nature: 6,067,825 of such shares are held by CFLL Sponsor and 7,784,313 of such shares are held by CFLL Holdings, LLC ("CFLL Holdings"). Howard D. Morgan, Heather L. Faust, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the CFLL Sponsor and CFLL Holdings, share voting and investment discretion with respect to the common stock held by CFLL Sponsor, and each has individual voting and investment discretion with respect to the common stock held by CFLL Holdings. Read SEC document |
| April 29, 2019 Filed May 1, 2019 23:50 UTC |
Morgan Howard D.Director · 10% owner
|
Disposition to issuerWarrants · Derivative | 10,822,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-008468 · rdgdoc.xml · derivative · entry 2 Morgan Howard D. · CIK 0001704377 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 10,822,500 shares Expires not disclosed F3 · derivative.exercise_price: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F1 · kind: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F3 · derivative.exercise_date: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F3 · derivative.expiration_date: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F1 · ownership.nature: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F2 · ownership.nature: 6,067,825 of such shares are held by CFLL Sponsor and 7,784,313 of such shares are held by CFLL Holdings, LLC ("CFLL Holdings"). Howard D. Morgan, Heather L. Faust, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the CFLL Sponsor and CFLL Holdings, share voting and investment discretion with respect to the common stock held by CFLL Sponsor, and each has individual voting and investment discretion with respect to the common stock held by CFLL Holdings. Read SEC document |
| April 29, 2019 Filed May 1, 2019 23:50 UTC |
Morgan Howard D.Director · 10% owner
|
GrantCommon Stock | 1,664,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-008468 · rdgdoc.xml · nonDerivative · entry 1 Morgan Howard D. · CIK 0001704377 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,067,825 F1 · kind: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F1 · price: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F1 · ownership.nature: CFLL Sponsor Holdings LLC (f/k/a Industrea Alexandria LLC) ("CFLL Sponsor") disposed of warrants to purchase 10,822,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 1,664,500 shares of common stock in an Issuer exchange offer. F2 · ownership.nature: 6,067,825 of such shares are held by CFLL Sponsor and 7,784,313 of such shares are held by CFLL Holdings, LLC ("CFLL Holdings"). Howard D. Morgan, Heather L. Faust, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the CFLL Sponsor and CFLL Holdings, share voting and investment discretion with respect to the common stock held by CFLL Sponsor, and each has individual voting and investment discretion with respect to the common stock held by CFLL Holdings. Read SEC document |
| April 29, 2019 Filed May 1, 2019 23:49 UTC |
Hall David GrahamDirector
|
Disposition to issuerWarrants · Derivative | 55,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-008467 · rdgdoc.xml · derivative · entry 2 Hall David Graham · CIK 0001705628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,500 shares Expires not disclosed F2 · derivative.exercise_price: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F1 · kind: The Reporting Person disposed of warrants to purchase 55,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 8,535 shares of common stock in an Issuer exchange offer. F2 · derivative.exercise_date: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F2 · derivative.expiration_date: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. Read SEC document |
| April 29, 2019 Filed May 1, 2019 23:49 UTC |
Hall David GrahamDirector
|
GrantCommon Stock | 8,535 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-008467 · rdgdoc.xml · nonDerivative · entry 1 Hall David Graham · CIK 0001705628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,285 F1 · kind: The Reporting Person disposed of warrants to purchase 55,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 8,535 shares of common stock in an Issuer exchange offer. F1 · price: The Reporting Person disposed of warrants to purchase 55,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 8,535 shares of common stock in an Issuer exchange offer. Read SEC document |
| April 29, 2019 Filed May 1, 2019 23:45 UTC |
Hodges BrianDirector
|
Disposition to issuerWarrants · Derivative | 55,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-008463 · rdgdoc.xml · derivative · entry 2 Hodges Brian · CIK 0001704608 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,500 shares Expires not disclosed F2 · derivative.exercise_price: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F1 · kind: The Reporting Person disposed of warrants to purchase 55,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 8,535 shares of common stock in an Issuer exchange offer. F2 · derivative.exercise_date: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. F2 · derivative.expiration_date: The warrants became exercisable on January 5, 2019 and had an expiration date of December 6, 2023. Each warrant was exercisable for one share of the Issuer's common stock at $11.50 per share. Read SEC document |
| April 29, 2019 Filed May 1, 2019 23:45 UTC |
Hodges BrianDirector
|
GrantCommon Stock | 8,535 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-19-008463 · rdgdoc.xml · nonDerivative · entry 1 Hodges Brian · CIK 0001704608 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,285 F1 · kind: The Reporting Person disposed of warrants to purchase 55,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 8,535 shares of common stock in an Issuer exchange offer. F1 · price: The Reporting Person disposed of warrants to purchase 55,500 shares of common stock, par value $0.0001 per share, of the Issuer ("common stock") in exchange for 8,535 shares of common stock in an Issuer exchange offer. Read SEC document |
| April 22, 2019 Filed Apr 23, 2019 18:23 UTC |
Young Bruce F.Director · Chief Executive Officer
|
Exercise / conversionOptions · Derivative | 459,770 | $0.00 Strike: $0.87 | $0.00 |
DisclosureSEC source: 0001437749-19-007756 · rdgdoc.xml · derivative · entry 2 Young Bruce F. · CIK 0001760704 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 736,810 Underlying: Common Stock · 459,770 shares Expires not disclosed 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 · derivative.exercise_date: Pursuant to that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp. ("Industrea"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative (the "Merger Agreement"), as well as that related Management Rollover Agreement, dated as of September 7, 2018, by and among the Issuer, Industrea, and the rollover holders party thereto (the "Rollover Agreement"), each incentive stock option to purchase a common share of CPH granted to the Reporting Person by CPH under its 2015 Equity Incentive Plan were converted into an incentive stock option to purchase approximately 2.877 common shares of the Issuer, rounded down to the nearest whole share. F2 · derivative.exercise_date: The exercise price per share for each converted incentive stock option is determined by dividing the exercise price of the original CPH stock option by the 2.877 exchange ratio, with such quotient rounded up to the nearest whole cent. Such converted incentive stock options to purchase Issuer common shares are fully vested in accordance with the Merger Agreement and the Rollover Agreement and will expire on March 7, 2026. F1 · derivative.expiration_date: Pursuant to that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp. ("Industrea"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative (the "Merger Agreement"), as well as that related Management Rollover Agreement, dated as of September 7, 2018, by and among the Issuer, Industrea, and the rollover holders party thereto (the "Rollover Agreement"), each incentive stock option to purchase a common share of CPH granted to the Reporting Person by CPH under its 2015 Equity Incentive Plan were converted into an incentive stock option to purchase approximately 2.877 common shares of the Issuer, rounded down to the nearest whole share. F2 · derivative.expiration_date: The exercise price per share for each converted incentive stock option is determined by dividing the exercise price of the original CPH stock option by the 2.877 exchange ratio, with such quotient rounded up to the nearest whole cent. Such converted incentive stock options to purchase Issuer common shares are fully vested in accordance with the Merger Agreement and the Rollover Agreement and will expire on March 7, 2026. Read SEC document |
| April 22, 2019 Filed Apr 23, 2019 18:23 UTC |
Young Bruce F.Director · Chief Executive Officer
|
Exercise / conversionCommon Stock | 459,770 | $0.87 | $399,999.90 |
DisclosureSEC source: 0001437749-19-007756 · rdgdoc.xml · nonDerivative · entry 1 Young Bruce F. · CIK 0001760704 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,668,639 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 |
| April 10, 2019 Filed Apr 12, 2019 19:57 UTC |
Young Bruce F.Director · Chief Executive Officer
|
GrantCommon Stock | 335,344 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007081 · rdgdoc.xml · nonDerivative · entry 2 Young Bruce F. · CIK 0001760704 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,472,059 F2 · shares: Represents restricted shares of common stock. Such shares will become available for vesting in three equal installments if the common stock closes at or above $13.00, $16.00 and $19.00 per share, respectively (each, a "stock price target"), for 30 consecutive business days. Upon the achievement of a stock price target, the related tranche of restricted common stock will vest in equal increments over the first, second and third anniversaries of the date on which such stock price target was achieved. If a stock price target is not achieved on or before December 6, 2023, then the related tranche of restricted shares will be forfeited. If a stock price target is achieved but the related tranche of restricted shares is not fully vested by December 6, 2023, such shares may, under certain circumstances, continue to vest after that date. Read SEC document |
| April 10, 2019 Filed Apr 12, 2019 19:57 UTC |
Young Bruce F.Director · Chief Executive Officer
|
GrantCommon Stock | 1,136,715 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007081 · rdgdoc.xml · nonDerivative · entry 1 Young Bruce F. · CIK 0001760704 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,136,715 F1 · shares: Represents restricted shares of common stock. 25% of such shares will vest in five substantially equal installments on each of December 6, 2019, December 6, 2020, December 6, 2021, December 6, 2022 and December 6, 2023, provided that the Reporting Person is in the employ of the Issuer or a subsidiary of the Issuer on the vesting dates. The remaining 75% will become available for vesting in three equal installments if the common stock closes at or above $13.00, $16.00 and $19.00 per share, respectively (each, a "stock price target"), for 30 consecutive business days. Upon the achievement of a stock price target, the related tranche of restricted common stock will vest in equal increments over the first, second and third anniversaries of the date on which such stock price target was achieved. If a stock price target is not achieved on or before December 6, 2023, then the related tranche of restricted shares will be forfeited. If a stock price target is achieved but the related tranche Read SEC document |
| April 10, 2019 Filed Apr 12, 2019 20:14 UTC |
Humphries IainDirector · CFO and Secretary
|
GrantCommon Stock | 25,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007085 · rdgdoc.xml · nonDerivative · entry 2 Humphries Iain · CIK 0001760635 · Director · CFO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 909,735 F2 · shares: Represents restricted shares of common stock. Such shares will become available for vesting in three equal installments if the common stock closes at or above $13.00, $16.00 and $19.00 per share, respectively (each, a "stock price target"), for 30 consecutive business days. Upon the achievement of a stock price target, the related tranche of restricted common stock will vest in equal increments over the first, second and third anniversaries of the date on which such stock price target was achieved. If a stock price target is not achieved on or before December 6, 2023, then the related tranche of restricted shares will be forfeited. If a stock price target is achieved but the related tranche of restricted shares is not fully vested by December 6, 2023, such shares may, under certain circumstances, continue to vest after that date. Read SEC document |
| April 10, 2019 Filed Apr 12, 2019 20:14 UTC |
Humphries IainDirector · CFO and Secretary
|
GrantCommon Stock | 884,111 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-007085 · rdgdoc.xml · nonDerivative · entry 1 Humphries Iain · CIK 0001760635 · Director · CFO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 884,111 F1 · shares: Represents restricted shares of common stock. 25% of such shares will vest in five substantially equal installments on each of December 6, 2019, December 6, 2020, December 6, 2021, December 6, 2022 and December 6, 2023, provided that the Reporting Person is in the employ of the Issuer or a subsidiary of the Issuer on the vesting dates. The remaining 75% will become available for vesting in three equal installments if the common stock closes at or above $13.00, $16.00 and $19.00 per share, respectively (each, a "stock price target"), for 30 consecutive business days. Upon the achievement of a stock price target, the related tranche of restricted common stock will vest in equal increments over the first, second and third anniversaries of the date on which such stock price target was achieved. If a stock price target is not achieved on or before December 6, 2023, then the related tranche of restricted shares will be forfeited. If a stock price target is achieved but the related tranche Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 17:22 UTC |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 453,501 | $0.75 Strike: $11.50 | $340,125.75 |
DisclosureSEC source: 0000902664-19-000258 · ownership.xml · derivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 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: 4,376,100 Underlying: Common Stock, par value $0.0001 per share · 453,501 shares Expires 2023-12-06 F1 · balance_after: The number of shares reported on this line reflects the corrected information set forth in the Form 4/A filed by the Reporting Persons on January 16, 2019. F2 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F3 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 16:33 UTC |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 29,975 | $0.75 Strike: $11.50 | $22,481.25 |
DisclosureSEC source: 0000902664-19-000146 · ownership.xml · derivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 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: 3,922,329 Underlying: Common Stock · 29,975 shares Expires 2023-12-06 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 16:33 UTC |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 516,254 | $0.75 Strike: $11.50 | $387,190.50 |
DisclosureSEC source: 0000902664-19-000146 · ownership.xml · derivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 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: 3,892,354 Underlying: Common Stock, par value $0.0001 per share ("Common Stock") · 516,254 shares Expires 2023-12-06 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| January 09, 2019 Filed Jan 16, 2019 17:10 UTC Amendment |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 516,524 | $0.75 Strike: $11.50 | $387,393.00 |
DisclosureSEC source: 0000902664-19-000255 · ownership.xml · derivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 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: 3,892,624 Underlying: Common Stock, par value $0.0001 per share ("Common Stock") · 516,524 shares Expires 2023-12-06 F3 · shares: The Form 4 filed on January 11, 2019 by the Reporting Persons incorrectly reported a purchase of 516,254 Warrants on January 9, 2019. The purchase on January 9, 2019 was in fact for 516,524 Warrants. F3 · derivative.underlying_shares: The Form 4 filed on January 11, 2019 by the Reporting Persons incorrectly reported a purchase of 516,254 Warrants on January 9, 2019. The purchase on January 9, 2019 was in fact for 516,524 Warrants. F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| January 07, 2019 Filed Jan 8, 2019 16:37 UTC |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 110,000 | $0.75 Strike: $11.50 | $82,500.00 |
DisclosureSEC source: 0000902664-19-000044 · ownership.xml · derivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 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: 3,376,100 Underlying: Common Stock · 110,000 shares Expires 2023-12-06 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| January 04, 2019 Filed Jan 8, 2019 16:37 UTC |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 390,000 | $0.76 Strike: $11.50 | $296,166.00 |
DisclosureSEC source: 0000902664-19-000044 · ownership.xml · derivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 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: 3,266,100 Underlying: Common Stock, par value $0.0001 per share ("Common Stock") · 390,000 shares Expires 2023-12-06 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| December 31, 2018 Filed Jan 2, 2019 17:01 UTC |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 240,400 | $0.75 Strike: $11.50 | $180,300.00 |
DisclosureSEC source: 0000902664-19-000011 · ownership.xml · derivative · entry 2 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 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: 2,876,100 Underlying: Common Stock · 240,400 shares Expires 2023-12-06 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 17:01 UTC |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 108,500 | $0.75 Strike: $11.50 | $81,114.60 |
DisclosureSEC source: 0000902664-19-000011 · ownership.xml · derivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 10% owner Owl Creek Credit Opportunities Master Fund, L.P. · CIK 0001651429 · 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: 2,635,700 Underlying: Common Stock, par value $0.0001 per share ("Common Stock") · 108,500 shares Expires 2023-12-06 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| December 21, 2018 Filed Dec 28, 2018 16:39 UTC |
Owl Creek Asset Management, L.P.10% owner
Owl Creek I, L.P.10% owner
Owl Creek II, L.P.10% owner
OWL CREEK ADVISORS, LLC10% owner
OWL CREEK OVERSEAS MASTER FUND, LTD.10% owner
OWL CREEK SRI MASTER FUND, LTD.10% owner
ALTMAN JEFFREY A10% owner
|
PurchaseWarrant (right to buy) · Derivative | 1,000,000 | $0.69 Strike: $11.50 | $694,400.00 |
DisclosureSEC source: 0000902664-18-004451 · ownership.xml · derivative · entry 1 Owl Creek Asset Management, L.P. · CIK 0001313756 · 10% owner Owl Creek I, L.P. · CIK 0001178254 · 10% owner Owl Creek II, L.P. · CIK 0001178296 · 10% owner OWL CREEK ADVISORS, LLC · CIK 0001531024 · 10% owner OWL CREEK OVERSEAS MASTER FUND, LTD. · CIK 0001531026 · 10% owner OWL CREEK SRI MASTER FUND, LTD. · CIK 0001531025 · 10% owner ALTMAN JEFFREY A · CIK 0001269751 · 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: 2,527,200 Underlying: Common Stock, par value $0.0001 per share · 1,000,000 shares Expires 2023-12-06 F1 · ownership.nature: The securities to which this relates are held directly by Owl Creek I, L.P., a Delaware limited partnership ("Owl Creek I"), Owl Creek II, L.P., a Delaware limited partnership ("Owl Creek II"), Owl Creek Overseas Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek Overseas"), Owl Creek SRI Master Fund, Ltd., a Cayman Islands exempted company ("Owl Creek SRI") and Owl Creek Credit Opportunities Master Fund, L.P., a Cayman Islands exempted limited partnership ("Owl Creek Credit Fund"). F2 · ownership.nature: Owl Creek Advisors, LLC ("Owl Creek Advisors") serves as the general partner of, and has the power to direct the affairs of, Owl Creek I, Owl Creek II and Owl Creek Credit Fund, and serves as manager of, and has the power to direct the affairs of, Owl Creek Overseas and Owl Creek SRI. Owl Creek Asset Management, L.P. (the "Investment Manager") serves as the investment manager to, and has the power to direct the investment activities of, Owl Creek I, Owl Creek II, Owl Creek Overseas, Owl Creek SRI and Owl Creek Credit Fund. Jeffrey A. Altman is the managing member of Owl Creek Advisors and the managing member of the general partner of the Investment Manager. Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 11:57 UTC |
Polar Asset Management Partners Inc.10% owner
|
SaleWarrants · Derivative | 250,000 | $0.65 Strike: $11.50 | $162,500.00 |
DisclosureSEC source: 0001062993-18-005146 · form4.xml · derivative · entry 1 Polar Asset Management Partners Inc. · CIK 0001326389 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,973,779 Underlying: Common Stock · 250,000 shares Expires 2023-12-06 F1 · ownership.nature: Polar Asset Management Partners Inc., a company incorporated under the laws of Ontario, Canada (the "Reporting Person"), serves as investment advisor to Polar Multi-Strategy Master Fund, a Cayman Islands exempted company ("PMSMF"), and certain managed accounts (together with PMSMF, the "Polar Vehicles") and has sole voting and investment discretion with respect to the securities reported herein which are held by the Polar Vehicles. The Reporting Person disclaims beneficial ownership of the securities reported herein, and this report shall not be deemed an admission that Reporting Person is the beneficial owner of the securities reported herein for the purpose of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose, except to the extent of Reporting Person's pecuniary interest therein. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:30 UTC |
BROWN DAVID A BDirector
|
OtherCommon Stock | 28,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063940 · tv508738_4.xml · nonDerivative · entry 1 BROWN DAVID A B · CIK 0001112508 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,750 F1 · kind: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination and into 28,750 shares of Issuer common stock upon consummation of the business combination. F1 · price: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination and into 28,750 shares of Issuer common stock upon consummation of the business combination. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:17 UTC |
BROWN DAVID A BDirector
|
Exercise / conversionClass B Common Stock · Derivative | 28,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-063921 · tv508761_4.xml · derivative · entry 3 BROWN DAVID A B · CIK 0001112508 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 28,750 shares Expires not disclosed 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 · derivative.exercise_price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination. F1 · shares: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination. F3 · derivative.exercise_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F3 · derivative.expiration_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:17 UTC |
BROWN DAVID A BDirector
|
OtherClass A Common Stock | 28,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063921 · tv508761_4.xml · nonDerivative · entry 2 BROWN DAVID A B · CIK 0001112508 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Reporting Person held 28,750 shares of Industrea common stock at the time of the business combination, which were exchanged for 28,750 shares of BBCP common stock upon consummation of the business combination. F2 · price: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Reporting Person held 28,750 shares of Industrea common stock at the time of the business combination, which were exchanged for 28,750 shares of BBCP common stock upon consummation of the business combination. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:17 UTC |
BROWN DAVID A BDirector
|
Exercise / conversionClass A Common Stock | 28,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063921 · tv508761_4.xml · nonDerivative · entry 1 BROWN DAVID A B · CIK 0001112508 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,750 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 · price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:30 UTC |
Faud David AnthonyManaging Director, U.K.
|
OtherCommon Stock | 220,026 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063941 · tv508741_4.xml · nonDerivative · entry 1 Faud David Anthony · CIK 0001760661 · Managing Director, U.K. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,026 F1 · kind: Shares acquired pursuant to that certain U.K. Share Purchase Agreement, dated as of September 7, 2018, by and among Lux Concrete Holdings II S.a.r.l., the Issuer, and the vendors party thereto (the "Share Purchase Agreement"). The Share Purchase Agreement was entered into in connection with that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp., Concrete Pumping Holdings, Inc., a Delaware corporation, certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative. F1 · price: Shares acquired pursuant to that certain U.K. Share Purchase Agreement, dated as of September 7, 2018, by and among Lux Concrete Holdings II S.a.r.l., the Issuer, and the vendors party thereto (the "Share Purchase Agreement"). The Share Purchase Agreement was entered into in connection with that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp., Concrete Pumping Holdings, Inc., a Delaware corporation, certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:31 UTC |
Faust Heather L.Director
|
OtherCommon Stock | 4,403,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063942 · tv508746_4.xml · nonDerivative · entry 1 Faust Heather L. · CIK 0001704620 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,403,325 F1 · kind: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person is a manager of Industrea Alexandria LLC (the "Sponsor"), which directly held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination and into 4,403,420 shares of Issuer common stock upon consummation of the business combination. F1 · price: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person is a manager of Industrea Alexandria LLC (the "Sponsor"), which directly held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination and into 4,403,420 shares of Issuer common stock upon consummation of the business combination. F2 · ownership.nature: The securities are held directly by the Sponsor. Ms. Heather Faust and Messrs. Howard Morgan, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Heather Faust and Messrs. Howard Morgan and Tariq Osman are the directors of the general partner of the general partner of each of the Funds. F3 · ownership.nature: Ms. Faust may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor and disclaims beneficial ownership of such securities except to the extent her pecuniary interest therein, and this Report shall not be deemed an admission that Ms. Faust is the beneficial owners of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:21 UTC |
Industrea Alexandria LLC10% owner
Morgan Howard D.Director · Chief Executive Officer · 10% owner
Faust Heather L.Director · Executive Vice President · 10% owner
Osman TariqDirector · Executive Vice President · 10% owner
Del Toro JosephChief Financial Officer · 10% owner
Burns Charles J.Secretary · 10% owner
|
Exercise / conversionClass B Common Stock · Derivative | 4,403,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-063925 · tv508765_4.xml · derivative · entry 4 Industrea Alexandria LLC · CIK 0001703902 · 10% owner Morgan Howard D. · CIK 0001704377 · Director · Chief Executive Officer · 10% owner Faust Heather L. · CIK 0001704620 · Director · Executive Vice President · 10% owner Osman Tariq · CIK 0001658446 · Director · Executive Vice President · 10% owner Del Toro Joseph · CIK 0001704343 · Chief Financial Officer · 10% owner Burns Charles J. · CIK 0001704204 · Secretary · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 4,403,325 shares Expires not disclosed 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 · derivative.exercise_price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share ("Founder Shares"), was converted into one share of Industrea Acquisition Corp.'s Class A common stock, par value $0.0001 ("Industrea common stock"). Industrea Alexandria LLC (the "Sponsor") held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination. F1 · shares: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share ("Founder Shares"), was converted into one share of Industrea Acquisition Corp.'s Class A common stock, par value $0.0001 ("Industrea common stock"). Industrea Alexandria LLC (the "Sponsor") held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination. F4 · derivative.exercise_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F4 · derivative.expiration_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F5 · ownership.direct: The securities are held directly by the Sponsor. Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Faust and Messrs. Morgan and Osman are the directors of the general partner of the general partner of each of the Funds. As a result, the Sponsor, the Funds, Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns (collectively, the "Reporting Persons") may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor. F6 · ownership.direct: Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its, his or her pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:21 UTC |
Industrea Alexandria LLC10% owner
Morgan Howard D.Director · Chief Executive Officer · 10% owner
Faust Heather L.Director · Executive Vice President · 10% owner
Osman TariqDirector · Executive Vice President · 10% owner
Del Toro JosephChief Financial Officer · 10% owner
Burns Charles J.Secretary · 10% owner
|
OtherClass B Common Stock · Derivative | 1,202,925 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-063925 · tv508765_4.xml · derivative · entry 3 Industrea Alexandria LLC · CIK 0001703902 · 10% owner Morgan Howard D. · CIK 0001704377 · Director · Chief Executive Officer · 10% owner Faust Heather L. · CIK 0001704620 · Director · Executive Vice President · 10% owner Osman Tariq · CIK 0001658446 · Director · Executive Vice President · 10% owner Del Toro Joseph · CIK 0001704343 · Chief Financial Officer · 10% owner Burns Charles J. · CIK 0001704204 · Secretary · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,403,325 Underlying: Class A Common Stock · 1,202,925 shares Expires not disclosed F4 · derivative.exercise_price: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F3 · shares: Forfeiture of Founder Shares to Industrea Acquisition Corp. for no consideration. F4 · derivative.exercise_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F4 · derivative.expiration_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F5 · ownership.direct: The securities are held directly by the Sponsor. Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Faust and Messrs. Morgan and Osman are the directors of the general partner of the general partner of each of the Funds. As a result, the Sponsor, the Funds, Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns (collectively, the "Reporting Persons") may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor. F6 · ownership.direct: Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its, his or her pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:21 UTC |
Industrea Alexandria LLC10% owner
Morgan Howard D.Director · Chief Executive Officer · 10% owner
Faust Heather L.Director · Executive Vice President · 10% owner
Osman TariqDirector · Executive Vice President · 10% owner
Del Toro JosephChief Financial Officer · 10% owner
Burns Charles J.Secretary · 10% owner
|
OtherClass A Common Stock | 4,403,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063925 · tv508765_4.xml · nonDerivative · entry 2 Industrea Alexandria LLC · CIK 0001703902 · 10% owner Morgan Howard D. · CIK 0001704377 · Director · Chief Executive Officer · 10% owner Faust Heather L. · CIK 0001704620 · Director · Executive Vice President · 10% owner Osman Tariq · CIK 0001658446 · Director · Executive Vice President · 10% owner Del Toro Joseph · CIK 0001704343 · Chief Financial Officer · 10% owner Burns Charles J. · CIK 0001704204 · Secretary · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Sponsor held 4,403,325 shares of Industrea common stock at the time of the business combination, which were exchanged for 4,403,325 shares of BBCP common stock upon consummation of the business combination. F2 · price: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Sponsor held 4,403,325 shares of Industrea common stock at the time of the business combination, which were exchanged for 4,403,325 shares of BBCP common stock upon consummation of the business combination. F5 · ownership.direct: The securities are held directly by the Sponsor. Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Faust and Messrs. Morgan and Osman are the directors of the general partner of the general partner of each of the Funds. As a result, the Sponsor, the Funds, Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns (collectively, the "Reporting Persons") may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor. F6 · ownership.direct: Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its, his or her pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:21 UTC |
Industrea Alexandria LLC10% owner
Morgan Howard D.Director · Chief Executive Officer · 10% owner
Faust Heather L.Director · Executive Vice President · 10% owner
Osman TariqDirector · Executive Vice President · 10% owner
Del Toro JosephChief Financial Officer · 10% owner
Burns Charles J.Secretary · 10% owner
|
Exercise / conversionClass A Common Stock | 4,403,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063925 · tv508765_4.xml · nonDerivative · entry 1 Industrea Alexandria LLC · CIK 0001703902 · 10% owner Morgan Howard D. · CIK 0001704377 · Director · Chief Executive Officer · 10% owner Faust Heather L. · CIK 0001704620 · Director · Executive Vice President · 10% owner Osman Tariq · CIK 0001658446 · Director · Executive Vice President · 10% owner Del Toro Joseph · CIK 0001704343 · Chief Financial Officer · 10% owner Burns Charles J. · CIK 0001704204 · Secretary · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,403,325 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 · price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share ("Founder Shares"), was converted into one share of Industrea Acquisition Corp.'s Class A common stock, par value $0.0001 ("Industrea common stock"). Industrea Alexandria LLC (the "Sponsor") held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination. F5 · ownership.direct: The securities are held directly by the Sponsor. Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Faust and Messrs. Morgan and Osman are the directors of the general partner of the general partner of each of the Funds. As a result, the Sponsor, the Funds, Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns (collectively, the "Reporting Persons") may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor. F6 · ownership.direct: Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its, his or her pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:33 UTC |
Osman TariqDirector
|
OtherCommon Stock | 4,403,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063949 · tv508753_4.xml · nonDerivative · entry 1 Osman Tariq · CIK 0001658446 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,403,325 F1 · kind: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person is a manager of Industrea Alexandria LLC (the "Sponsor"), which directly held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination and into 4,403,325 shares of Issuer common stock upon consummation of the business combination. F1 · price: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person is a manager of Industrea Alexandria LLC (the "Sponsor"), which directly held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination and into 4,403,325 shares of Issuer common stock upon consummation of the business combination. F2 · ownership.nature: The securities are held directly by the Sponsor. Ms. Heather Faust and Messrs. Howard Morgan, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Heather Faust and Messrs. Howard Morgan and Tariq Osman are the directors of the general partner of the general partner of each of the Funds. F3 · ownership.nature: the Reporting Person may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor and disclaims beneficial ownership of such securities except to the extent his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:15 UTC |
ARMSTRONG THOMAS K JRDirector
|
Exercise / conversionClass B Common Stock · Derivative | 28,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-063919 · tv508759_4.xml · derivative · entry 3 ARMSTRONG THOMAS K JR · CIK 0001242926 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 28,750 shares Expires not disclosed 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 · derivative.exercise_price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination. F1 · shares: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination. F3 · derivative.exercise_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F3 · derivative.expiration_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:15 UTC |
ARMSTRONG THOMAS K JRDirector
|
OtherClass A Common Stock | 28,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063919 · tv508759_4.xml · nonDerivative · entry 2 ARMSTRONG THOMAS K JR · CIK 0001242926 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Reporting Person held 28,750 shares of Industrea common stock at the time of the business combination, which were exchanged for 28,750 shares of BBCP common stock upon consummation of the business combination. The Reporting Person is not a member of the board of directors of Concrete Pumping Holdings, Inc., the successor entity to Industrea Acquisition Corp. F2 · price: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Reporting Person held 28,750 shares of Industrea common stock at the time of the business combination, which were exchanged for 28,750 shares of BBCP common stock upon consummation of the business combination. The Reporting Person is not a member of the board of directors of Concrete Pumping Holdings, Inc., the successor entity to Industrea Acquisition Corp. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:15 UTC |
ARMSTRONG THOMAS K JRDirector
|
Exercise / conversionClass A Common Stock | 28,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063919 · tv508759_4.xml · nonDerivative · entry 1 ARMSTRONG THOMAS K JR · CIK 0001242926 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,750 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 · price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:22 UTC |
Argand Partners Fund, LP10% owner
Argand Partners SEA Fund AI, LP10% owner
Argand Partners SEA Fund QP, LP10% owner
|
Exercise / conversionClass B Common Stock · Derivative | 4,403,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-063926 · tv508766_4.xml · derivative · entry 4 Argand Partners Fund, LP · CIK 0001663099 · 10% owner Argand Partners Institutional Co-Invest Fund, LP · CIK 0001663094 · 10% owner Argand Partners SEA Fund AI, LP · CIK 0001663083 · 10% owner Argand Partners SEA Fund QP, LP · CIK 0001663088 · 10% owner Argand Partners Team Co-Invest Fund LP · CIK 0001712426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 4,403,325 shares Expires not disclosed 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 · derivative.exercise_price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share ("Founder Shares"), was converted into one share of Industrea Acquisition Corp.'s Class A common stock, par value $0.0001 ("Industrea common stock"). Industrea Alexandria LLC (the "Sponsor") held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination. F1 · shares: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share ("Founder Shares"), was converted into one share of Industrea Acquisition Corp.'s Class A common stock, par value $0.0001 ("Industrea common stock"). Industrea Alexandria LLC (the "Sponsor") held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination. F6 · derivative.exercise_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F6 · derivative.expiration_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:22 UTC |
Argand Partners Fund, LP10% owner
Argand Partners SEA Fund AI, LP10% owner
Argand Partners SEA Fund QP, LP10% owner
|
OtherClass B Common Stock · Derivative | 1,202,925 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-063926 · tv508766_4.xml · derivative · entry 3 Argand Partners Fund, LP · CIK 0001663099 · 10% owner Argand Partners Institutional Co-Invest Fund, LP · CIK 0001663094 · 10% owner Argand Partners SEA Fund AI, LP · CIK 0001663083 · 10% owner Argand Partners SEA Fund QP, LP · CIK 0001663088 · 10% owner Argand Partners Team Co-Invest Fund LP · CIK 0001712426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,403,325 Underlying: Class A Common Stock · 1,202,925 shares Expires not disclosed F6 · derivative.exercise_price: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F3 · shares: Forfeiture of Founder Shares to Industrea Acquisition Corp. for no consideration. F6 · derivative.exercise_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F6 · derivative.expiration_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:22 UTC |
Argand Partners Fund, LP10% owner
Argand Partners SEA Fund AI, LP10% owner
Argand Partners SEA Fund QP, LP10% owner
|
OtherClass A Common Stock | 4,403,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063926 · tv508766_4.xml · nonDerivative · entry 2 Argand Partners Fund, LP · CIK 0001663099 · 10% owner Argand Partners Institutional Co-Invest Fund, LP · CIK 0001663094 · 10% owner Argand Partners SEA Fund AI, LP · CIK 0001663083 · 10% owner Argand Partners SEA Fund QP, LP · CIK 0001663088 · 10% owner Argand Partners Team Co-Invest Fund LP · CIK 0001712426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Industrea Alexandria LLC Disclosed balance after: 0 F2 · kind: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Sponsor held 4,403,325 shares of Industrea common stock at the time of the business combination, which were exchanged for 4,403,325 shares of BBCP common stock upon consummation of the business combination. F2 · price: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Sponsor held 4,403,325 shares of Industrea common stock at the time of the business combination, which were exchanged for 4,403,325 shares of BBCP common stock upon consummation of the business combination. F4 · ownership.nature: The securities are held directly by the Sponsor. Howard D. Morgan, Heather Faust, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Faust and Messrs. Morgan and Osman are the directors of the general partner of the general partner of each of the Funds. As a result, the Sponsor, the Funds, Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns (collectively, the "Reporting Persons") may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor. F5 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its, his or her pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 21:22 UTC |
Argand Partners Fund, LP10% owner
Argand Partners SEA Fund AI, LP10% owner
Argand Partners SEA Fund QP, LP10% owner
|
Exercise / conversionClass A Common Stock | 4,403,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063926 · tv508766_4.xml · nonDerivative · entry 1 Argand Partners Fund, LP · CIK 0001663099 · 10% owner Argand Partners Institutional Co-Invest Fund, LP · CIK 0001663094 · 10% owner Argand Partners SEA Fund AI, LP · CIK 0001663083 · 10% owner Argand Partners SEA Fund QP, LP · CIK 0001663088 · 10% owner Argand Partners Team Co-Invest Fund LP · CIK 0001712426 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Industrea Alexandria LLC Disclosed balance after: 4,403,325 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 · price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share ("Founder Shares"), was converted into one share of Industrea Acquisition Corp.'s Class A common stock, par value $0.0001 ("Industrea common stock"). Industrea Alexandria LLC (the "Sponsor") held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination. F4 · ownership.nature: The securities are held directly by the Sponsor. Howard D. Morgan, Heather Faust, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Faust and Messrs. Morgan and Osman are the directors of the general partner of the general partner of each of the Funds. As a result, the Sponsor, the Funds, Ms. Faust and Messrs. Morgan, Osman, Del Toro and Burns (collectively, the "Reporting Persons") may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor. F5 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its, his or her pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:34 UTC |
Hall David GrahamDirector
|
OtherCommon Stock | 28,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063951 · tv508758_4.xml · nonDerivative · entry 1 Hall David Graham · CIK 0001705628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,750 F1 · kind: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination and into 28,750 shares of Issuer common stock upon consummation of the business combination. F1 · price: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination and into 28,750 shares of Issuer common stock upon consummation of the business combination. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:33 UTC |
Young Bruce F.Director · Chief Executive Officer
|
GrantOptions · Derivative | 1,196,580 | $0.00 Strike: $0.87 | $0.00 |
DisclosureSEC source: 0001144204-18-063950 · tv508756_4.xml · derivative · entry 1 Young Bruce F. · CIK 0001760704 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,196,580 Underlying: Common Stock · 1,196,580 shares Expires not disclosed F2 · derivative.exercise_price: The exercise price per share for each converted incentive stock option is determined by dividing the exercise price of the original CPH stock option by the 2.877 exchange ratio, with such quotient rounded up to the nearest whole cent. Such converted incentive stock options to purchase Issuer common shares are fully vested in accordance with the Merger Agreement and the Rollover Agreement and will expire on March 7, 2026. F1 · shares: Pursuant to that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp. ("Industrea"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative (the "Merger Agreement"), as well as that related Management Rollover Agreement, dated as of September 7, 2018, by and among the Issuer, Industrea, and the rollover holders party thereto (the "Rollover Agreement"), each incentive stock option to purchase a common share of CPH granted to the Reporting Person by CPH under its 2015 Equity Incentive Plan were converted into an incentive stock option to purchase approximately 2.877 common shares of the Issuer, rounded down to the nearest whole share. F1 · derivative.exercise_date: Pursuant to that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp. ("Industrea"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative (the "Merger Agreement"), as well as that related Management Rollover Agreement, dated as of September 7, 2018, by and among the Issuer, Industrea, and the rollover holders party thereto (the "Rollover Agreement"), each incentive stock option to purchase a common share of CPH granted to the Reporting Person by CPH under its 2015 Equity Incentive Plan were converted into an incentive stock option to purchase approximately 2.877 common shares of the Issuer, rounded down to the nearest whole share. F2 · derivative.exercise_date: The exercise price per share for each converted incentive stock option is determined by dividing the exercise price of the original CPH stock option by the 2.877 exchange ratio, with such quotient rounded up to the nearest whole cent. Such converted incentive stock options to purchase Issuer common shares are fully vested in accordance with the Merger Agreement and the Rollover Agreement and will expire on March 7, 2026. F1 · derivative.expiration_date: Pursuant to that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp. ("Industrea"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative (the "Merger Agreement"), as well as that related Management Rollover Agreement, dated as of September 7, 2018, by and among the Issuer, Industrea, and the rollover holders party thereto (the "Rollover Agreement"), each incentive stock option to purchase a common share of CPH granted to the Reporting Person by CPH under its 2015 Equity Incentive Plan were converted into an incentive stock option to purchase approximately 2.877 common shares of the Issuer, rounded down to the nearest whole share. F2 · derivative.expiration_date: The exercise price per share for each converted incentive stock option is determined by dividing the exercise price of the original CPH stock option by the 2.877 exchange ratio, with such quotient rounded up to the nearest whole cent. Such converted incentive stock options to purchase Issuer common shares are fully vested in accordance with the Merger Agreement and the Rollover Agreement and will expire on March 7, 2026. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:33 UTC |
Morgan Howard D.Director
|
OtherCommon Stock | 4,403,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063946 · tv508751_4.xml · nonDerivative · entry 1 Morgan Howard D. · CIK 0001704377 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,403,325 F1 · kind: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person is a manager of Industrea Alexandria LLC (the "Sponsor"), which directly held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination and into 4,403,325 shares of Issuer common stock upon consummation of the business combination. F1 · price: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person is a manager of Industrea Alexandria LLC (the "Sponsor"), which directly held 4,403,325 Founder Shares prior to the business combination, which were converted into 4,403,325 shares of Industrea common stock immediately prior to the business combination and into 4,403,325 shares of Issuer common stock upon consummation of the business combination. F2 · ownership.nature: The securities are held directly by the Sponsor. Ms. Heather Faust and Messrs. Howard Morgan, Tariq Osman, Joseph Del Toro and Charles Burns are the managers of the Sponsor and share voting and dispositive power over the securities held directly by the Sponsor by approval of a majority of the managers. Argand Partners Fund, LP, Argand Partners Institutional Co-Invest Fund, LP, Argand Partners SEA Fund AI, LP, Argand Partners SEA Fund QP, LP and Argand Partners Team Co-Invest Fund LP (collectively, the "Funds") are the members of the Sponsor. Ms. Heather Faust and Messrs. Howard Morgan and Tariq Osman are the directors of the general partner of the general partner of each of the Funds. F3 · ownership.nature: Mr. Morgan may be deemed to have or share beneficial ownership of the securities held directly by the Sponsor and disclaims beneficial ownership of such securities except to the extent his pecuniary interest therein, and this Report shall not be deemed an admission that Mr. Morgan is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:32 UTC |
Humphries IainDirector · CFO and Secretary
|
GrantOptions · Derivative | 249,287 | $0.00 Strike: $6.09 | $0.00 |
DisclosureSEC source: 0001144204-18-063945 · tv508749_4.xml · derivative · entry 1 Humphries Iain · CIK 0001760635 · Director · CFO and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,287 Underlying: Common Stock · 249,287 shares Expires not disclosed F2 · derivative.exercise_price: The exercise price per share for each converted incentive stock option is determined by dividing the exercise price of the original CPH stock option by the 2.877 exchange ratio, with such quotient rounded up to the nearest whole cent. Such converted incentive stock options to purchase Issuer common shares are fully vested in accordance with the Merger Agreement and the Rollover Agreement and will expire on March 7, 2026. F1 · shares: Pursuant to that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp. ("Industrea"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative (the "Merger Agreement"), as well as that related Management Rollover Agreement, dated as of September 7, 2018, by and among the Issuer, Industrea, and the rollover holders party thereto (the "Rollover Agreement"), each incentive stock option to purchase a common share of CPH granted to the Reporting Person by CPH under its 2015 Equity Incentive Plan were converted into an incentive stock option to purchase approximately 2.877 common shares of the Issuer, rounded down to the nearest whole share. F1 · derivative.exercise_date: Pursuant to that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp. ("Industrea"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative (the "Merger Agreement"), as well as that related Management Rollover Agreement, dated as of September 7, 2018, by and among the Issuer, Industrea, and the rollover holders party thereto (the "Rollover Agreement"), each incentive stock option to purchase a common share of CPH granted to the Reporting Person by CPH under its 2015 Equity Incentive Plan were converted into an incentive stock option to purchase approximately 2.877 common shares of the Issuer, rounded down to the nearest whole share. F2 · derivative.exercise_date: The exercise price per share for each converted incentive stock option is determined by dividing the exercise price of the original CPH stock option by the 2.877 exchange ratio, with such quotient rounded up to the nearest whole cent. Such converted incentive stock options to purchase Issuer common shares are fully vested in accordance with the Merger Agreement and the Rollover Agreement and will expire on March 7, 2026. F1 · derivative.expiration_date: Pursuant to that certain Agreement and Plan of Merger, dated September 7, 2018, by and among the Issuer, Industrea Acquisition Corp. ("Industrea"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of the Issuer, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative (the "Merger Agreement"), as well as that related Management Rollover Agreement, dated as of September 7, 2018, by and among the Issuer, Industrea, and the rollover holders party thereto (the "Rollover Agreement"), each incentive stock option to purchase a common share of CPH granted to the Reporting Person by CPH under its 2015 Equity Incentive Plan were converted into an incentive stock option to purchase approximately 2.877 common shares of the Issuer, rounded down to the nearest whole share. F2 · derivative.expiration_date: The exercise price per share for each converted incentive stock option is determined by dividing the exercise price of the original CPH stock option by the 2.877 exchange ratio, with such quotient rounded up to the nearest whole cent. Such converted incentive stock options to purchase Issuer common shares are fully vested in accordance with the Merger Agreement and the Rollover Agreement and will expire on March 7, 2026. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:32 UTC |
Hodges BrianDirector
|
OtherCommon Stock | 28,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063944 · tv508747_4.xml · nonDerivative · entry 1 Hodges Brian · CIK 0001704608 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,750 F1 · kind: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination and into 28,750 shares of Issuer common stock upon consummation of the business combination. F1 · price: Immediately prior to the consummation of the Issuer's initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Issuer's common stock, par value $0.0001 per share ("Issuer common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination and into 28,750 shares of Issuer common stock upon consummation of the business combination. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:19 UTC |
Hall David GrahamDirector
|
Exercise / conversionClass B Common Stock · Derivative | 28,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-063924 · tv508764_4.xml · derivative · entry 3 Hall David Graham · CIK 0001705628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 28,750 shares Expires not disclosed 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 · derivative.exercise_price: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination. F1 · shares: Immediately prior to the consummation of the Concrete Pumping Holding, Inc.'s initial business combination on December 6, 2018 (the "business combination"), each outstanding share of Industrea Acquisition Corp.'s Class B common stock, par value $0.0001 per share (the "Founder Shares"), was converted into one share of the Industrea's Class A common stock, par value $0.0001 ("Industrea common stock"). The Reporting Person held 28,750 Founder Shares prior to the business combination, which were converted into 28,750 shares of Industrea common stock immediately prior to the business combination. F3 · derivative.exercise_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. F3 · derivative.expiration_date: The Founder Shares were convertible for shares of Industrea Acquisition Corp.'s Class A common stock as described under the heading "Description of Securities - Founder Shares" in Industrea Acquisition Corp.'s registration statement on Form S-1 (File No. 333-219053) and had no expiration date. Read SEC document |
| December 06, 2018 Filed Dec 11, 2018 02:19 UTC |
Hall David GrahamDirector
|
OtherClass A Common Stock | 28,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-18-063924 · tv508764_4.xml · nonDerivative · entry 2 Hall David Graham · CIK 0001705628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Reporting Person held 28,750 shares of Industrea common stock at the time of the business combination, which were exchanged for 28,750 shares of BBCP common stock upon consummation of the business combination. F2 · price: Upon consummation of the business combination, each share of outstanding Industrea common stock was exchanged for one share of the Concrete Pumping Holding, Inc.'s common stock, par value $0.0001 per share ("BBCP common stock"), and Industrea Acquisition Corp. became a wholly owned subsidiary of Concrete Pumping Holdings, Inc. The Reporting Person held 28,750 shares of Industrea common stock at the time of the business combination, which were exchanged for 28,750 shares of BBCP common stock upon consummation of the business combination. 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.