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BNED

Barnes & Noble Education, Inc.

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5624
SEC CIK
0001634117
Parsed reports
425

Last 12 months

Inside the activity.

0 purchase rows · 11 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202602
Apr 202600
May 202600
Jun 202600
Jul 202607
Aug 202600
Sep 202602
Oct 202600

Latest available

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 24, 2021 Filed Sep 27, 2021 17:19 UTC
RYAN JOHN RDirector
GrantCommon Stock 11,804 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000111 · wf-form4_163277757409833.xml · nonDerivative · entry 1

RYAN JOHN R · CIK 0001243319 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,927

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest on September 24, 2022; however, the reporting person has elected to defer settlement and receipt of such shares until the date specified in the applicable deferral election.

Read SEC document
September 24, 2021 Filed Sep 27, 2021 21:17 UTC
CHIU EMILY CDirector
GrantCommon Stock 11,804 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000106 · wf-form4_163277744505373.xml · nonDerivative · entry 1

CHIU EMILY C · CIK 0001744684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,187

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest on September 24, 2022; however, the reporting person has elected to defer settlement and receipt of such shares until the date specified in the applicable deferral election.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 17:14 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 51,346 $0.00 Strike: $13.30 $0.00
Disclosure

SEC source: 0001634117-21-000099 · wf-form4_163277723322777.xml · derivative · entry 4

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,346

Underlying: Common Stock · 51,346 shares

Expires 2031-09-23

F4 · derivative.exercise_date: Non-qualified Stock Options granted with an above market exercise price of $13.30 per share. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 22, 2025 and will expire on September 23, 2031.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 17:14 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 47,484 $0.00 Strike: $10.80 $0.00
Disclosure

SEC source: 0001634117-21-000099 · wf-form4_163277723322777.xml · derivative · entry 3

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,484

Underlying: Common Stock · 47,484 shares

Expires 2031-09-23

F3 · derivative.exercise_date: Non-qualified Stock Options granted with an exercise price of $10.80 per share, which was the fair market value on the date of grant. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 23, 2025 and will expire on September 23, 2031

Read SEC document
September 23, 2021 Filed Sep 27, 2021 17:14 UTC GrantCommon Stock 55,556 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000099 · wf-form4_163277723322777.xml · nonDerivative · entry 1

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,335

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest and will be settled in three equal installments on each of September 23, 2022, September 23, 2023 and September 23, 2024, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 17:15 UTC
HUSEBY MICHAELDirector · Chairman and CEO
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 141,200 $0.00 Strike: $13.30 $0.00
Disclosure

SEC source: 0001634117-21-000101 · wf-form4_163277728412711.xml · derivative · entry 4

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,200

Underlying: Common Stock · 141,200 shares

Expires 2031-09-23

F4 · derivative.exercise_date: Non-qualified Stock Options granted with an above market exercise price of $13.30 per share. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 22, 2025 and will expire on September 23, 2031.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 17:15 UTC
HUSEBY MICHAELDirector · Chairman and CEO
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 130,580 $0.00 Strike: $10.80 $0.00
Disclosure

SEC source: 0001634117-21-000101 · wf-form4_163277728412711.xml · derivative · entry 3

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,580

Underlying: Common Stock · 130,580 shares

Expires 2031-09-23

F3 · derivative.exercise_date: Non-qualified Stock Options granted with an exercise price of $10.80 per share, which was the fair market value on the date of grant. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 23, 2025 and will expire on September 23, 2031

Read SEC document
September 23, 2021 Filed Sep 27, 2021 17:15 UTC
HUSEBY MICHAELDirector · Chairman and CEO
GrantCommon Stock 152,778 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000101 · wf-form4_163277728412711.xml · nonDerivative · entry 1

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,182,760

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest and will be settled in three equal installments on each of September 23, 2022, September 23, 2023 and September 23, 2024, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:17 UTC
SHAR JONATHANEVP, Retail
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 42,788 $0.00 Strike: $13.30 $0.00
Disclosure

SEC source: 0001634117-21-000105 · wf-form4_163277741996772.xml · derivative · entry 4

SHAR JONATHAN · CIK 0001829618 · EVP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,788

Underlying: Common Stock · 42,788 shares

Expires 2031-09-23

F4 · derivative.exercise_date: Non-qualified Stock Options granted with an above market exercise price of $13.30 per share. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 22, 2025 and will expire on September 23, 2031.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:17 UTC
SHAR JONATHANEVP, Retail
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 39,570 $0.00 Strike: $10.80 $0.00
Disclosure

SEC source: 0001634117-21-000105 · wf-form4_163277741996772.xml · derivative · entry 3

SHAR JONATHAN · CIK 0001829618 · EVP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,570

Underlying: Common Stock · 39,570 shares

Expires 2031-09-23

F3 · derivative.exercise_date: Non-qualified Stock Options granted with an exercise price of $10.80 per share, which was the fair market value on the date of grant. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 23, 2025 and will expire on September 23, 2031

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:17 UTC
SHAR JONATHANEVP, Retail
GrantCommon Stock 46,297 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000105 · wf-form4_163277741996772.xml · nonDerivative · entry 1

SHAR JONATHAN · CIK 0001829618 · EVP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,214

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest and will be settled in three equal installments on each of September 23, 2022, September 23, 2023 and September 23, 2024, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:16 UTC
Paul SeemaSVP, Chief Accounting Officer
GrantCommon Stock 25,463 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000104 · wf-form4_163277738996749.xml · nonDerivative · entry 1

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,383

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest and will be settled in three equal installments on each of September 23, 2022, September 23, 2023 and September 23, 2024, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:16 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 51,346 $0.00 Strike: $13.30 $0.00
Disclosure

SEC source: 0001634117-21-000103 · wf-form4_163277735722695.xml · derivative · entry 4

MILLER MICHAEL CONNOLLY · CIK 0001643505 · CLO, EVP, Corp Aff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,346

Underlying: Common Stock · 51,346 shares

Expires 2031-09-23

F4 · derivative.exercise_date: Non-qualified Stock Options granted with an above market exercise price of $13.30 per share. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 22, 2025 and will expire on September 23, 2031.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:16 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 47,484 $0.00 Strike: $10.80 $0.00
Disclosure

SEC source: 0001634117-21-000103 · wf-form4_163277735722695.xml · derivative · entry 3

MILLER MICHAEL CONNOLLY · CIK 0001643505 · CLO, EVP, Corp Aff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,484

Underlying: Common Stock · 47,484 shares

Expires 2031-09-23

F3 · derivative.exercise_date: Non-qualified Stock Options granted with an exercise price of $10.80 per share, which was the fair market value on the date of grant. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 23, 2025 and will expire on September 23, 2031

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:16 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
GrantCommon Stock 55,556 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000103 · wf-form4_163277735722695.xml · nonDerivative · entry 1

MILLER MICHAEL CONNOLLY · CIK 0001643505 · CLO, EVP, Corp Aff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,978

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest and will be settled in three equal installments on each of September 23, 2022, September 23, 2023 and September 23, 2024, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:15 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 42,788 $0.00 Strike: $13.30 $0.00
Disclosure

SEC source: 0001634117-21-000102 · wf-form4_163277732219723.xml · derivative · entry 3

NENKE DAVID W. B. · CIK 0001885077 · Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,788

Underlying: Common Stock · 42,788 shares

Expires 2031-09-23

F3 · derivative.exercise_date: Non-qualified Stock Options granted with an above market exercise price of $13.30 per share. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 22, 2025 and will expire on September 23, 2031.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:15 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 39,570 $0.00 Strike: $10.80 $0.00
Disclosure

SEC source: 0001634117-21-000102 · wf-form4_163277732219723.xml · derivative · entry 2

NENKE DAVID W. B. · CIK 0001885077 · Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,570

Underlying: Common Stock · 39,570 shares

Expires 2031-09-23

F2 · derivative.exercise_date: Non-qualified Stock Options granted with an exercise price of $10.80 per share, which was the fair market value on the date of grant. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 23, 2025 and will expire on September 23, 2031

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:15 UTC GrantCommon Stock 46,297 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000102 · wf-form4_163277732219723.xml · nonDerivative · entry 1

NENKE DAVID W. B. · CIK 0001885077 · Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,297

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest and will be settled in three equal installments on each of September 23, 2022, September 23, 2023 and September 23, 2024, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:14 UTC
HENDERSON DAVID GORDONPres, MBS; EVP, Strat Services
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 19,255 $0.00 Strike: $13.30 $0.00
Disclosure

SEC source: 0001634117-21-000100 · wf-form4_163277725029606.xml · derivative · entry 4

HENDERSON DAVID GORDON · CIK 0001830135 · Pres, MBS; EVP, Strat Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,255

Underlying: Common Stock · 19,255 shares

Expires 2031-09-23

F4 · derivative.exercise_date: Non-qualified Stock Options granted with an above market exercise price of $13.30 per share. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 22, 2025 and will expire on September 23, 2031.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:14 UTC
HENDERSON DAVID GORDONPres, MBS; EVP, Strat Services
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 17,807 $0.00 Strike: $10.80 $0.00
Disclosure

SEC source: 0001634117-21-000100 · wf-form4_163277725029606.xml · derivative · entry 3

HENDERSON DAVID GORDON · CIK 0001830135 · Pres, MBS; EVP, Strat Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,807

Underlying: Common Stock · 17,807 shares

Expires 2031-09-23

F3 · derivative.exercise_date: Non-qualified Stock Options granted with an exercise price of $10.80 per share, which was the fair market value on the date of grant. These Options will vest in four equal installments on each of September 23, 2022, September 23, 2023, September 23, 2024 and September 23, 2025 and will expire on September 23, 2031

Read SEC document
September 23, 2021 Filed Sep 27, 2021 21:14 UTC
HENDERSON DAVID GORDONPres, MBS; EVP, Strat Services
GrantCommon Stock 20,834 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000100 · wf-form4_163277725029606.xml · nonDerivative · entry 1

HENDERSON DAVID GORDON · CIK 0001830135 · Pres, MBS; EVP, Strat Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,044

F1 · shares: Grant of restricted stock units (RSUs). Each RSU represents the contingent right to receive one share of common stock, par value $0.01, of the Company. The RSUs vest and will be settled in three equal installments on each of September 23, 2022, September 23, 2023 and September 23, 2024, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 16:40 UTC Exercise / conversionPhantom Share Unit · Derivative 60,975 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000077 · wf-form4_163251599313062.xml · derivative · entry 3

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,952

Underlying: Common Stock · 60,975 shares

Expires 2023-09-22

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 16:40 UTC Disposition to issuerCommon Stock 60,975 $7.38 $449,995.50
Disclosure

SEC source: 0001634117-21-000077 · wf-form4_163251599313062.xml · nonDerivative · entry 2

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,779

F1 · price: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 16:40 UTC Exercise / conversionCommon Stock 60,975 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000077 · wf-form4_163251599313062.xml · nonDerivative · entry 1

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,754

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 16:40 UTC
HUSEBY MICHAELDirector · Chairman and CEO
Exercise / conversionPhantom Share Unit · Derivative 223,577 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000079 · wf-form4_163251604205831.xml · derivative · entry 3

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 447,155

Underlying: Common Stock · 223,577 shares

Expires 2023-09-22

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 16:40 UTC
HUSEBY MICHAELDirector · Chairman and CEO
Disposition to issuerCommon Stock 223,577 $7.38 $1,649,998.26
Disclosure

SEC source: 0001634117-21-000079 · wf-form4_163251604205831.xml · nonDerivative · entry 2

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,029,982

F1 · price: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 16:40 UTC
HUSEBY MICHAELDirector · Chairman and CEO
Exercise / conversionCommon Stock 223,577 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000079 · wf-form4_163251604205831.xml · nonDerivative · entry 1

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,253,559

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 20:41 UTC
SHAR JONATHANEVP, Retail
Exercise / conversionPhantom Share Unit · Derivative 79,268 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000082 · wf-form4_163251610019726.xml · derivative · entry 3

SHAR JONATHAN · CIK 0001829618 · EVP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,537

Underlying: Common Stock · 79,268 shares

Expires 2023-09-22

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 20:41 UTC
SHAR JONATHANEVP, Retail
Disposition to issuerCommon Stock 79,268 $7.38 $584,997.84
Disclosure

SEC source: 0001634117-21-000082 · wf-form4_163251610019726.xml · nonDerivative · entry 2

SHAR JONATHAN · CIK 0001829618 · EVP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,917

F1 · price: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 20:41 UTC
SHAR JONATHANEVP, Retail
Exercise / conversionCommon Stock 79,268 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000082 · wf-form4_163251610019726.xml · nonDerivative · entry 1

SHAR JONATHAN · CIK 0001829618 · EVP, Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,185

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 20:41 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
Exercise / conversionPhantom Share Unit · Derivative 60,975 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000080 · wf-form4_163251606223080.xml · derivative · entry 3

MILLER MICHAEL CONNOLLY · CIK 0001643505 · CLO, EVP, Corp Aff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,952

Underlying: Common Stock · 60,975 shares

Expires 2023-09-22

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 20:41 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
Disposition to issuerCommon Stock 60,975 $7.38 $449,995.50
Disclosure

SEC source: 0001634117-21-000080 · wf-form4_163251606223080.xml · nonDerivative · entry 2

MILLER MICHAEL CONNOLLY · CIK 0001643505 · CLO, EVP, Corp Aff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,422

F1 · price: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

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September 22, 2021 Filed Sep 24, 2021 20:41 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
Exercise / conversionCommon Stock 60,975 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000080 · wf-form4_163251606223080.xml · nonDerivative · entry 1

MILLER MICHAEL CONNOLLY · CIK 0001643505 · CLO, EVP, Corp Aff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,397

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

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September 22, 2021 Filed Sep 24, 2021 20:41 UTC
Paul SeemaSVP, Chief Accounting Officer
Exercise / conversionPhantom Share Unit · Derivative 16,937 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000081 · wf-form4_163251607805910.xml · derivative · entry 3

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,876

Underlying: Common Stock · 16,937 shares

Expires 2023-09-22

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

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September 22, 2021 Filed Sep 24, 2021 20:41 UTC
Paul SeemaSVP, Chief Accounting Officer
Disposition to issuerCommon Stock 16,937 $7.38 $124,995.06
Disclosure

SEC source: 0001634117-21-000081 · wf-form4_163251607805910.xml · nonDerivative · entry 2

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,920

F1 · price: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 20:41 UTC
Paul SeemaSVP, Chief Accounting Officer
Exercise / conversionCommon Stock 16,937 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000081 · wf-form4_163251607805910.xml · nonDerivative · entry 1

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,857

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

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September 22, 2021 Filed Sep 24, 2021 20:40 UTC
HENDERSON DAVID GORDONPres, MBS; EVP, Strat Services
Exercise / conversionPhantom Share Unit · Derivative 39,634 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000078 · wf-form4_163251602009402.xml · derivative · entry 3

HENDERSON DAVID GORDON · CIK 0001830135 · Pres, MBS; EVP, Strat Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,268

Underlying: Common Stock · 39,634 shares

Expires 2023-09-22

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

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September 22, 2021 Filed Sep 24, 2021 20:40 UTC
HENDERSON DAVID GORDONPres, MBS; EVP, Strat Services
Disposition to issuerCommon Stock 39,634 $7.38 $292,498.92
Disclosure

SEC source: 0001634117-21-000078 · wf-form4_163251602009402.xml · nonDerivative · entry 2

HENDERSON DAVID GORDON · CIK 0001830135 · Pres, MBS; EVP, Strat Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,210

F1 · price: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

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September 22, 2021 Filed Sep 24, 2021 20:40 UTC
HENDERSON DAVID GORDONPres, MBS; EVP, Strat Services
Exercise / conversionCommon Stock 39,634 $0.00 $0.00
Disclosure

SEC source: 0001634117-21-000078 · wf-form4_163251602009402.xml · nonDerivative · entry 1

HENDERSON DAVID GORDON · CIK 0001830135 · Pres, MBS; EVP, Strat Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,844

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: Each share of phantom stock is the economic equivalent of one share of common stock of the Company and was settled in cash at a value of $7.38 per share. The terms of the phantom stock provide that the shares will be settled based on the fair market value of a share of common stock at each vesting date in an amount not to exceed $7.38 per share.

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September 17, 2021 Filed Sep 17, 2021 16:34 UTC SaleCommon Stock 36,052 $11.04 $398,057.34
Disclosure

SEC source: 0001634117-21-000067 · wf-form4_163191085851463.xml · nonDerivative · entry 1

WILSON DAVID A · CIK 0001242919 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,458

F1 · price: Represents the weighted average price of multiple transactions with prices between $11.03 and $11.10. The Reporting Person, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, undertakes to provide further information regarding the number of securities purchased at each separate price.

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September 15, 2021 Filed Sep 16, 2021 09:27 UTC Amendment PurchaseCommon Stock 12,866 $10.40 $133,806.40
Disclosure

SEC source: 0001634117-21-000065 · wf-form4a_163179886222688.xml · nonDerivative · entry 3

LEVENICK ZACHARY · CIK 0001816579 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by THG Securities Advisors LLC

Disclosed balance after: 200,000

F1 · date: This Form 4/A is being filed to correct an error in the original Form 4 (the "Original Form 4") filed on September 15, 2021. This Form 4/A corrects the date of the third transaction reported in Column 2 of Table I of this Form 4/A to reflect the correct transaction date of September 15, 2021. The Original Form 4 had incorrectly listed the date of the third transaction reported in Column 2 of Table I as September 13, 2021.

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September 14, 2021 Filed Sep 15, 2021 16:45 UTC PurchaseCommon Stock 2,134 $10.24 $21,852.16
Disclosure

SEC source: 0001634117-21-000063 · wf-form4_163173869103577.xml · nonDerivative · entry 2

LEVENICK ZACHARY · CIK 0001816579 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by THG Securities Advisors LLC

Disclosed balance after: 187,134

Read SEC document
September 14, 2021 Filed Sep 16, 2021 09:27 UTC Amendment PurchaseCommon Stock 2,134 $10.24 $21,852.16
Disclosure

SEC source: 0001634117-21-000065 · wf-form4a_163179886222688.xml · nonDerivative · entry 2

LEVENICK ZACHARY · CIK 0001816579 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by THG Securities Advisors LLC

Disclosed balance after: 187,134

Read SEC document
September 13, 2021 Filed Sep 15, 2021 16:45 UTC PurchaseCommon Stock 12,866 $10.40 $133,806.40
Disclosure

SEC source: 0001634117-21-000063 · wf-form4_163173869103577.xml · nonDerivative · entry 3

LEVENICK ZACHARY · CIK 0001816579 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by THG Securities Advisors LLC

Disclosed balance after: 200,000

Read SEC document
September 13, 2021 Filed Sep 15, 2021 16:45 UTC PurchaseCommon Stock 15,000 $9.97 $149,550.00
Disclosure

SEC source: 0001634117-21-000063 · wf-form4_163173869103577.xml · nonDerivative · entry 1

LEVENICK ZACHARY · CIK 0001816579 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by THG Securities Advisors LLC

Disclosed balance after: 185,000

Read SEC document
September 13, 2021 Filed Sep 16, 2021 09:27 UTC Amendment PurchaseCommon Stock 15,000 $9.97 $149,550.00
Disclosure

SEC source: 0001634117-21-000065 · wf-form4a_163179886222688.xml · nonDerivative · entry 1

LEVENICK ZACHARY · CIK 0001816579 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by THG Securities Advisors LLC

Disclosed balance after: 185,000

Read SEC document
September 10, 2021 Filed Sep 13, 2021 16:34 UTC PurchaseCommon Stock 10,000 $10.10 $101,000.00
Disclosure

SEC source: 0001634117-21-000060 · wf-form4_163156525591905.xml · nonDerivative · entry 2

LEVENICK ZACHARY · CIK 0001816579 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by THG Securities Advisors LLC

Disclosed balance after: 170,000

Read SEC document
September 09, 2021 Filed Sep 10, 2021 20:39 UTC
HENDERSON DAVID GORDONPres, MBS; EVP, Strat Services
SaleCommon Stock 41,000 $10.13 $415,330.00
Disclosure

SEC source: 0001634117-21-000058 · wf-form4_163130631217838.xml · nonDerivative · entry 1

HENDERSON DAVID GORDON · CIK 0001830135 · Pres, MBS; EVP, Strat Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,210

F1 · price: Represents the weighted average price of multiple transactions with prices between $10.01 and $10.26. The Reporting Person, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, undertakes to provide further information regarding the number of securities purchased at each separate price.

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September 09, 2021 Filed Sep 13, 2021 16:34 UTC PurchaseCommon Stock 15,000 $10.18 $152,700.00
Disclosure

SEC source: 0001634117-21-000060 · wf-form4_163156525591905.xml · nonDerivative · entry 1

LEVENICK ZACHARY · CIK 0001816579 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by THG Securities Advisors LLC

Disclosed balance after: 160,000

Read SEC document
September 07, 2021 Filed Sep 7, 2021 20:36 UTC
Paul SeemaSVP, Chief Accounting Officer
SaleCommon Stock 10,000 $10.40 $104,000.00
Disclosure

SEC source: 0001634117-21-000056 · wf-form4_163104694735083.xml · nonDerivative · entry 1

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,920

F1 · price: Represents the weighted average price of multiple transactions with prices between $10.37 and $10.42. The Reporting Person, upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, undertakes to provide further information regarding the number of securities purchased 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.