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Nasdaq · USD

BCDA

BioCardia, Inc.

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7752
SEC CIK
0000925741
Parsed reports
349

Last 12 months

Inside the activity.

32 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202520
Jan 202620
Feb 202610
Mar 202620
Apr 202630
May 202640
Jun 202650
Jul 202680
Aug 202620
Sep 202630
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
April 29, 2022 Filed May 2, 2022 12:00 UTC
Altman PeterDirector · President and CEO
PurchaseCommon Stock 2,700 $1.61 $4,347.00
Disclosure

SEC source: 0001437749-22-010339 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,143

F2 · price: This transaction was executed in multiple trades ranging from $1.60 to $1.63 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
April 28, 2022 Filed May 2, 2022 12:00 UTC
Altman PeterDirector · President and CEO
PurchaseCommon Stock 2,300 $1.59 $3,657.00
Disclosure

SEC source: 0001437749-22-010339 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,443

F1 · price: This transaction was executed in multiple trades ranging from $1.56 to $1.66 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
April 18, 2022 Filed Apr 19, 2022 01:17 UTC
Altman PeterDirector · President and CEO
PurchaseCommon Stock 13,500 $1.39 $18,700.20
Disclosure

SEC source: 0001437749-22-009166 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,143

F2 · price: This transaction was executed in multiple trades ranging from $1.37 to $1.40 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number of shares purchased at each separate price.

Read SEC document
April 14, 2022 Filed Apr 19, 2022 01:17 UTC
Altman PeterDirector · President and CEO
GrantStock Option (right to buy) · Derivative 141,000 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001437749-22-009166 · rdgdoc.xml · derivative · entry 3

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,000

Underlying: Common Stock · 141,000 shares

Expires 2032-04-14

F3 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on May 14, 2022, and each month thereafter, subject to the Reporting Person continuing as a service provider through such date.

Read SEC document
April 14, 2022 Filed Apr 19, 2022 01:17 UTC
Altman PeterDirector · President and CEO
GrantCommon Stock 76,734 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-009166 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,643

F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vested on April 14, 2022.

Read SEC document
April 14, 2022 Filed Apr 19, 2022 01:17 UTC
McClung DavidChief Financial Officer
GrantStock Option (right to buy) · Derivative 60,000 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001437749-22-009165 · rdgdoc.xml · derivative · entry 2

McClung David · CIK 0001686155 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2032-04-14

F2 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on May 14, 2022, and each month thereafter, subject to the Reporting Person continuing as a service provider through such date.

Read SEC document
April 14, 2022 Filed Apr 19, 2022 01:17 UTC
McClung DavidChief Financial Officer
GrantCommon Stock 50,345 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-009165 · rdgdoc.xml · nonDerivative · entry 1

McClung David · CIK 0001686155 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,150

F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vested on April 14, 2022.

Read SEC document
April 14, 2022 Filed Apr 19, 2022 01:16 UTC
GILLIS EDWARD MSenior Vice President, Devices
GrantStock Option (right to buy) · Derivative 38,000 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001437749-22-009164 · rdgdoc.xml · derivative · entry 2

GILLIS EDWARD M · CIK 0001241359 · Senior Vice President, Devices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2032-04-14

F2 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on May 14, 2022, and each month thereafter, subject to the Reporting Person continuing as a service provider through such date.

Read SEC document
April 14, 2022 Filed Apr 19, 2022 01:16 UTC
GILLIS EDWARD MSenior Vice President, Devices
GrantCommon Stock 30,155 $0.00 $0.00
Disclosure

SEC source: 0001437749-22-009164 · rdgdoc.xml · nonDerivative · entry 1

GILLIS EDWARD M · CIK 0001241359 · Senior Vice President, Devices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,237

F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vested on April 14, 2022.

Read SEC document
April 14, 2022 Filed May 13, 2023 00:21 UTC GrantStock Option (right to buy) · Derivative 31,085 $0.00 Strike: $1.49 $0.00
Disclosure

SEC source: 0001437749-23-014286 · rdgdoc.xml · derivative · entry 1

ZSEBO KRISZTINA M · CIK 0001590703 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,953

Underlying: Common stock · 31,085 shares

Expires 2032-04-14

F1 · derivative.exercise_date: The option vests and becomes exercisable as to one-third of the shares on December 22, 2021 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

Read SEC document
January 11, 2022 Filed Apr 14, 2023 23:52 UTC
Altman PeterDirector · President and CEO
PurchaseCommon Stock 100 $1.87 $187.00
Disclosure

SEC source: 0001437749-23-010354 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,715

Read SEC document
November 18, 2021 Filed Nov 18, 2021 22:28 UTC
Altman PeterDirector · President and CEO
PurchaseCommon Stock 5,000 $2.20 $11,000.00
Disclosure

SEC source: 0001437749-21-027108 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,909

Read SEC document
August 17, 2021 Filed Aug 18, 2021 22:43 UTC
Altman PeterDirector · President and CEO
PurchaseCommon Stock 3,500 $2.94 $10,290.00
Disclosure

SEC source: 0001437749-21-020444 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,909

F1 · shares: This transaction was executed in multiple trades from $2.93 to $2.96 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares sold at each separate price.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 00:49 UTC GrantStock Option (right to buy) · Derivative 12,434 $0.00 Strike: $4.43 $0.00
Disclosure

SEC source: 0001437749-21-014883 · rdgdoc.xml · derivative · entry 1

ZSEBO KRISZTINA M · CIK 0001590703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,434

Underlying: Common stock · 12,434 shares

Expires 2031-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 00:49 UTC GrantStock Option (right to buy) · Derivative 12,434 $0.00 Strike: $4.43 $0.00
Disclosure

SEC source: 0001437749-21-014882 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,642

Underlying: Common stock · 12,434 shares

Expires 2031-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 00:48 UTC GrantStock Option (right to buy) · Derivative 12,434 $0.00 Strike: $4.43 $0.00
Disclosure

SEC source: 0001437749-21-014881 · rdgdoc.xml · derivative · entry 1

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,434

Underlying: Common stock · 12,434 shares

Expires 2031-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 00:48 UTC GrantStock Option (right to buy) · Derivative 12,434 $0.00 Strike: $4.43 $0.00
Disclosure

SEC source: 0001437749-21-014880 · rdgdoc.xml · derivative · entry 1

Blank Andrew Scott · CIK 0001789894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,434

Underlying: Common stock · 12,434 shares

Expires 2031-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 00:48 UTC
Allen Jim L.Director
GrantStock Option (right to buy) · Derivative 12,434 $0.00 Strike: $4.43 $0.00
Disclosure

SEC source: 0001437749-21-014879 · rdgdoc.xml · derivative · entry 1

Allen Jim L. · CIK 0001789590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,434

Underlying: Common stock · 12,434 shares

Expires 2031-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 00:47 UTC
MOYES JAY MDirector
GrantStock Option (right to buy) · Derivative 12,434 $0.00 Strike: $4.43 $0.00
Disclosure

SEC source: 0001437749-21-014878 · rdgdoc.xml · derivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,355

Underlying: Common stock · 12,434 shares

Expires 2031-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant.

Read SEC document
June 10, 2021 Filed Jun 11, 2021 22:16 UTC
Altman PeterDirector · President and CEO
Tax withholdingCommon Stock 11,572 $4.35 $50,338.20
Disclosure

SEC source: 0001437749-21-014634 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,409

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested on April 21, 2021 and does not represent a sale by the Reporting Person.

Read SEC document
June 10, 2021 Filed Jun 11, 2021 22:16 UTC
McClung DavidChief Financial Officer
Tax withholdingCommon Stock 7,274 $4.35 $31,641.90
Disclosure

SEC source: 0001437749-21-014633 · rdgdoc.xml · nonDerivative · entry 1

McClung David · CIK 0001686155 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,805

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested on April 21, 2021 and does not represent a sale by the Reporting Person.

Read SEC document
June 10, 2021 Filed Jun 11, 2021 22:15 UTC
GILLIS EDWARD MSenior Vice President, Devices
Tax withholdingCommon Stock 9,953 $4.35 $43,295.55
Disclosure

SEC source: 0001437749-21-014632 · rdgdoc.xml · nonDerivative · entry 1

GILLIS EDWARD M · CIK 0001241359 · Senior Vice President, Devices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,082

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of RSUs vested on April 21, 2021 and does not represent a sale by the Reporting Person.

Read SEC document
April 21, 2021 Filed Apr 28, 2021 00:24 UTC
McClung DavidChief Financial Officer
GrantStock Option (right to buy) · Derivative 75,850 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0001437749-21-009942 · rdgdoc.xml · derivative · entry 2

McClung David · CIK 0001686155 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,850

Underlying: Common Stock · 75,850 shares

Expires 2031-04-21

F2 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on May 21, 2021 and each month thereafter, subject to the Reporting Person continuing as a service provider through such date.

Read SEC document
April 21, 2021 Filed Apr 28, 2021 00:24 UTC
McClung DavidChief Financial Officer
GrantCommon Stock 21,370 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-009942 · rdgdoc.xml · nonDerivative · entry 1

McClung David · CIK 0001686155 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,079

F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vested on April 21, 2021.

Read SEC document
April 21, 2021 Filed Apr 28, 2021 00:24 UTC
Altman PeterDirector · President and CEO
GrantStock Option (right to buy) · Derivative 177,470 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0001437749-21-009941 · rdgdoc.xml · derivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,470

Underlying: Common Stock · 177,470 shares

Expires 2031-04-21

F2 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on May 21, 2021 and each month thereafter, subject to the Reporting Person continuing as a service provider through such date.

Read SEC document
April 21, 2021 Filed Apr 28, 2021 00:24 UTC
Altman PeterDirector · President and CEO
GrantCommon Stock 33,581 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-009941 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,981

F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vested on April 21, 2021.

Read SEC document
April 21, 2021 Filed Apr 28, 2021 00:24 UTC
GILLIS EDWARD MSenior Vice President, Devices
GrantStock Option (right to buy) · Derivative 48,670 $0.00 Strike: $3.49 $0.00
Disclosure

SEC source: 0001437749-21-009940 · rdgdoc.xml · derivative · entry 2

GILLIS EDWARD M · CIK 0001241359 · Senior Vice President, Devices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,670

Underlying: Common Stock · 48,670 shares

Expires 2031-04-21

F2 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on May 21, 2021 and each month thereafter, subject to the Reporting Person continuing as a service provider through such date.

Read SEC document
April 21, 2021 Filed Apr 28, 2021 00:24 UTC
GILLIS EDWARD MSenior Vice President, Devices
GrantCommon Stock 9,953 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-009940 · rdgdoc.xml · nonDerivative · entry 1

GILLIS EDWARD M · CIK 0001241359 · Senior Vice President, Devices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,953

F1 · shares: The reported securities are represented by restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. 100% of the RSUs vested on April 21, 2021.

Read SEC document
March 31, 2021 Filed Apr 8, 2021 00:24 UTC GrantCommon Stock 2,736 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-008508 · rdgdoc.xml · nonDerivative · entry 1

ZSEBO KRISZTINA M · CIK 0001590703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,980

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

Read SEC document
March 31, 2021 Filed Apr 8, 2021 00:23 UTC GrantCommon Stock 4,752 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-008507 · rdgdoc.xml · nonDerivative · entry 1

Blank Andrew Scott · CIK 0001789894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,192

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

Read SEC document
March 31, 2021 Filed Apr 8, 2021 00:23 UTC GrantCommon Stock 3,024 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-008506 · rdgdoc.xml · nonDerivative · entry 1

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,187

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

Read SEC document
March 31, 2021 Filed Apr 8, 2021 00:22 UTC
MOYES JAY MDirector
GrantCommon Stock 3,456 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-008505 · rdgdoc.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,267

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

Read SEC document
March 31, 2021 Filed Apr 8, 2021 00:22 UTC
Allen Jim L.Director
GrantCommon Stock 2,520 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-008504 · rdgdoc.xml · nonDerivative · entry 1

Allen Jim L. · CIK 0001789590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 681,722

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

Read SEC document
March 31, 2021 Filed Apr 8, 2021 00:21 UTC
STERTZER SIMON HDirector · 10% owner
GrantCommon Stock 2,304 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-008503 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,554

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

Read SEC document
December 31, 2020 Filed Jan 6, 2021 02:54 UTC
STERTZER SIMON HDirector · 10% owner
GrantCommon Stock 2,968 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000196 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,250

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

Read SEC document
December 31, 2020 Filed Jan 6, 2021 02:54 UTC
STERTZER SIMON HDirector · 10% owner
GrantCommon Stock 2,800 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000196 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,282

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

Read SEC document
December 31, 2020 Filed Jan 6, 2021 02:54 UTC GrantCommon Stock 2,734 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000195 · rdgdoc.xml · nonDerivative · entry 2

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,163

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

Read SEC document
December 31, 2020 Filed Jan 6, 2021 02:54 UTC GrantCommon Stock 2,800 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000195 · rdgdoc.xml · nonDerivative · entry 1

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,429

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

Read SEC document
December 31, 2020 Filed Jan 6, 2021 02:54 UTC
MOYES JAY MDirector
GrantCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000194 · rdgdoc.xml · nonDerivative · entry 2

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,811

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

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December 31, 2020 Filed Jan 6, 2021 02:54 UTC
MOYES JAY MDirector
GrantCommon Stock 2,800 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000194 · rdgdoc.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,061

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

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December 31, 2020 Filed Jan 6, 2021 02:53 UTC GrantCommon Stock 4,843 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000192 · rdgdoc.xml · nonDerivative · entry 2

Blank Andrew Scott · CIK 0001789894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,440

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

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December 31, 2020 Filed Jan 6, 2021 02:53 UTC GrantCommon Stock 2,800 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000192 · rdgdoc.xml · nonDerivative · entry 1

Blank Andrew Scott · CIK 0001789894 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,597

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

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December 31, 2020 Filed Jan 6, 2021 02:53 UTC
Allen Jim L.Director
GrantCommon Stock 2,734 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000193 · rdgdoc.xml · nonDerivative · entry 2

Allen Jim L. · CIK 0001789590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 679,202

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

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December 31, 2020 Filed Jan 6, 2021 02:53 UTC
Allen Jim L.Director
GrantCommon Stock 2,800 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000193 · rdgdoc.xml · nonDerivative · entry 1

Allen Jim L. · CIK 0001789590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 676,468

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

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December 31, 2020 Filed Jan 6, 2021 02:52 UTC GrantCommon Stock 3,125 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000191 · rdgdoc.xml · nonDerivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,970

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

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December 31, 2020 Filed Jan 6, 2021 02:52 UTC GrantCommon Stock 2,800 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000191 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,845

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

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December 31, 2020 Filed Jan 19, 2021 11:05 UTC GrantCommon Stock 244 $0.00 $0.00
Disclosure

SEC source: 0001437749-21-000796 · rdgdoc.xml · nonDerivative · entry 1

ZSEBO KRISZTINA M · CIK 0001590703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

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December 01, 2020 Filed Dec 2, 2020 02:34 UTC
Altman PeterDirector · President and CEO
PurchaseCommon Stock 1,000 $2.49 $2,487.70
Disclosure

SEC source: 0001437749-20-024679 · rdgdoc.xml · nonDerivative · entry 3

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,400

F3 · price: This transaction was executed in multiple trades ranging from $2.48 to $2.49 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

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November 27, 2020 Filed Dec 2, 2020 02:34 UTC
Altman PeterDirector · President and CEO
PurchaseCommon Stock 3,200 $2.37 $7,580.16
Disclosure

SEC source: 0001437749-20-024679 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,400

F2 · price: This transaction was executed in multiple trades ranging from $2.36 to $2.38 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

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November 27, 2020 Filed Dec 2, 2020 02:34 UTC
Altman PeterDirector · President and CEO
SaleCommon Stock 3,200 $2.31 $7,379.84
Disclosure

SEC source: 0001437749-20-024679 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,200

F1 · price: This transaction was executed in multiple trades ranging from $2.28 to $2.32 per share. The price reported above reflects the weighted average per share sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares sold at each separate price.

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