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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

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
September 22, 2020 Filed Sep 24, 2020 16:43 UTC
Malhotra KanujEVP, Corp Dev; Pres, DSS
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 155,023 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001634117-20-000097 · wf-form4_160098017961959.xml · derivative · entry 2

Malhotra Kanuj · CIK 0001581718 · EVP, Corp Dev; Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,023

Underlying: Common Stock · 155,023 shares

Expires 2030-09-22

F2 · derivative.exercise_date: Non-qualified Stock Options granted with an exercise price of $2.46 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 22, 2021, September 22, 2022, September 22, 2023 and September 22, 2024 and will expire on September 22, 2030

Read SEC document
September 22, 2020 Filed Sep 24, 2020 16:43 UTC
Malhotra KanujEVP, Corp Dev; Pres, DSS
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 155,023 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0001634117-20-000097 · wf-form4_160098017961959.xml · derivative · entry 1

Malhotra Kanuj · CIK 0001581718 · EVP, Corp Dev; Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,023

Underlying: Common Stock · 155,023 shares

Expires 2030-09-22

F1 · derivative.exercise_date: Non-qualified Stock Options granted with an above market exercise price of $5 per share. These Options will vest in four equal installments on each of September 22, 2021, September 22, 2022, September 22, 2023 and September 22, 2024 and will expire on September 22, 2030.

Read SEC document
September 22, 2020 Filed Sep 24, 2020 20:43 UTC
Paul SeemaSVP, Chief Accounting Officer
GrantPhantom Share Unit · Derivative 50,813 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000099 · wf-form4_160098021298719.xml · derivative · entry 1

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,813

Underlying: Common Stock · 50,813 shares

Expires 2023-09-22

F1 · derivative.exercise_price: Each phantom share represents the economic equivalent to one share of common stock of the Company and will be settled in cash 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. The phantom shares vest and will be settled in three equal installments on each of September 22, 2021, September 22, 2022 and September 22, 2023, or in each case, if such date is not a business day, the business day immediately following such date.

F1 · derivative.exercise_date: Each phantom share represents the economic equivalent to one share of common stock of the Company and will be settled in cash 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. The phantom shares vest and will be settled in three equal installments on each of September 22, 2021, September 22, 2022 and September 22, 2023, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 22, 2020 Filed Sep 24, 2020 20:43 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
GrantPhantom Share Unit · Derivative 182,927 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000098 · wf-form4_160098019696951.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,927

Underlying: Common Stock · 182,927 shares

Expires 2023-09-22

F3 · derivative.exercise_price: Each phantom share represents the economic equivalent to one share of common stock of the Company and will be settled in cash based on the fair market value of a share of common stock of the Company at each vesting date in an amount not to exceed $7.38 per share. The phantom shares vest and will be settled in three equal installments on each of September 22, 2021, September 22, 2022 and September 22, 2023, or in each case, if such date is not a business day, the business day immediately following such date.

F3 · derivative.exercise_date: Each phantom share represents the economic equivalent to one share of common stock of the Company and will be settled in cash based on the fair market value of a share of common stock of the Company at each vesting date in an amount not to exceed $7.38 per share. The phantom shares vest and will be settled in three equal installments on each of September 22, 2021, September 22, 2022 and September 22, 2023, or in each case, if such date is not a business day, the business day immediately following such date.

Read SEC document
September 22, 2020 Filed Sep 24, 2020 20:43 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 155,023 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001634117-20-000098 · wf-form4_160098019696951.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,023

Underlying: Common Stock · 155,023 shares

Expires 2030-09-22

F2 · derivative.exercise_date: Non-qualified Stock Options granted with an exercise price of $2.46 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 22, 2021, September 22, 2022, September 22, 2023 and September 22, 2024 and will expire on September 22, 2030

Read SEC document
September 22, 2020 Filed Sep 24, 2020 20:43 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 155,023 $0.00 Strike: $5.00 $0.00
Disclosure

SEC source: 0001634117-20-000098 · wf-form4_160098019696951.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,023

Underlying: Common Stock · 155,023 shares

Expires 2030-09-22

F1 · derivative.exercise_date: Non-qualified Stock Options granted with an above market exercise price of $5 per share. These Options will vest in four equal installments on each of September 22, 2021, September 22, 2022, September 22, 2023 and September 22, 2024 and will expire on September 22, 2030.

Read SEC document
September 19, 2020 Filed Sep 22, 2020 16:40 UTC
Culver StephenSVP, Chief Information Officer
Tax withholdingCommon Stock 2,746 $2.19 $6,013.74
Disclosure

SEC source: 0001634117-20-000081 · wf-form4_160080723143487.xml · nonDerivative · entry 1

Culver Stephen · CIK 0001649048 · SVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,019

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

Read SEC document
September 19, 2020 Filed Sep 22, 2020 16:42 UTC
Magill JoAnnSVP, Human Resources
Tax withholdingCommon Stock 2,036 $2.19 $4,458.84
Disclosure

SEC source: 0001634117-20-000085 · wf-form4_160080735739209.xml · nonDerivative · entry 1

Magill JoAnn · CIK 0001649060 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,199

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

Read SEC document
September 19, 2020 Filed Sep 22, 2020 16:41 UTC Tax withholdingCommon Stock 2,412 $2.19 $5,282.28
Disclosure

SEC source: 0001634117-20-000082 · wf-form4_160080724851779.xml · nonDerivative · entry 1

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,978

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

Read SEC document
September 19, 2020 Filed Sep 22, 2020 16:41 UTC
HUSEBY MICHAELDirector · Chairman and CEO
Tax withholdingCommon Stock 45,884 $2.19 $100,485.96
Disclosure

SEC source: 0001634117-20-000083 · wf-form4_160080726705270.xml · nonDerivative · entry 1

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,178,897

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

Read SEC document
September 19, 2020 Filed Sep 22, 2020 16:42 UTC
Malhotra KanujEVP, Corp Dev; Pres, DSS
Tax withholdingCommon Stock 7,234 $2.19 $15,842.46
Disclosure

SEC source: 0001634117-20-000084 · wf-form4_160080728615950.xml · nonDerivative · entry 1

Malhotra Kanuj · CIK 0001581718 · EVP, Corp Dev; Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,246

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

Read SEC document
September 19, 2020 Filed Sep 22, 2020 20:43 UTC
Paul SeemaSVP, Chief Accounting Officer
Tax withholdingCommon Stock 2,226 $2.19 $4,874.94
Disclosure

SEC source: 0001634117-20-000087 · wf-form4_160080739435106.xml · nonDerivative · entry 1

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,568

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

Read SEC document
September 19, 2020 Filed Sep 22, 2020 20:43 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
Tax withholdingCommon Stock 9,734 $2.19 $21,317.46
Disclosure

SEC source: 0001634117-20-000086 · wf-form4_160080737731209.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,391

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

Read SEC document
July 19, 2020 Filed Jul 20, 2020 16:31 UTC
HUSEBY MICHAELDirector · Chairman and CEO
Tax withholdingCommon Stock 40,194 $2.51 $100,886.94
Disclosure

SEC source: 0001634117-20-000059 · wf-form4_159527706232449.xml · nonDerivative · entry 2

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,224,781

F2 · shares: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 82,077 performance-based shares granted to the reporting person on June 19, 2017.

Read SEC document
July 19, 2020 Filed Jul 20, 2020 16:31 UTC
HUSEBY MICHAELDirector · Chairman and CEO
Disposition to issuerCommon Stock 129,461 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000059 · wf-form4_159527706232449.xml · nonDerivative · entry 1

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,264,975

F1 · shares: Forfeiture of unearned shares pursuant to July 19, 2017 Performance Share award based upon final achievement level of 38.8% of target. See Form 4 filed July 20, 2017 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and became fully vested on July 19, 2020 after the lapse of the required holding period.

Read SEC document
July 14, 2020 Filed Jul 14, 2020 17:09 UTC
Culver StephenSVP, Chief Information Officer
Disposition to issuerCommon Stock 10,171 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000051 · wf-form4_159476093125690.xml · nonDerivative · entry 3

Culver Stephen · CIK 0001649048 · SVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,765

F3 · shares: Forfeiture of unearned shares pursuant to July 19, 2018 Performance Share award based upon final achievement level below minimum threshold level of target. See Form 4 filed July 23, 2018 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and would have otherwise become fully vested on July 19, 2021 after the lapse of the required holding period.

Read SEC document
July 14, 2020 Filed Jul 14, 2020 17:10 UTC
Magill JoAnnSVP, Human Resources
Disposition to issuerCommon Stock 10,171 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000054 · wf-form4_159476098604253.xml · nonDerivative · entry 3

Magill JoAnn · CIK 0001649060 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,235

F3 · shares: Forfeiture of unearned shares pursuant to July 19, 2018 Performance Share award based upon final achievement level below minimum threshold level of target. See Form 4 filed July 23, 2018 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and would have otherwise become fully vested on July 19, 2021 after the lapse of the required holding period.

Read SEC document
July 14, 2020 Filed Jul 14, 2020 17:09 UTC Disposition to issuerCommon Stock 11,302 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000052 · wf-form4_159476095001179.xml · nonDerivative · entry 3

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,390

F3 · shares: Forfeiture of unearned shares pursuant to July 19, 2018 Performance Share award based upon final achievement level below minimum threshold level of target. See Form 4 filed July 23, 2018 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and would have otherwise become fully vested on July 19, 2021 after the lapse of the required holding period.

Read SEC document
July 14, 2020 Filed Jul 14, 2020 17:09 UTC
HUSEBY MICHAELDirector · Chairman and CEO
Disposition to issuerCommon Stock 180,834 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000053 · wf-form4_159476097014561.xml · nonDerivative · entry 1

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,394,436

F1 · shares: Forfeiture of unearned shares pursuant to July 19, 2018 Performance Share award based upon final achievement level below minimum threshold level of target. See Form 4 filed July 23, 2018 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and would have otherwise become fully vested on July 19, 2021 after the lapse of the required holding period.

Read SEC document
July 14, 2020 Filed Jul 14, 2020 17:10 UTC
Malhotra KanujEVP, Corp Dev; Pres, DSS
Disposition to issuerCommon Stock 31,646 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000055 · wf-form4_159476100278210.xml · nonDerivative · entry 3

Malhotra Kanuj · CIK 0001581718 · EVP, Corp Dev; Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,480

F3 · shares: Forfeiture of unearned shares pursuant to July 19, 2018 Performance Share award based upon final achievement level below minimum threshold level of target. See Form 4 filed July 23, 2018 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and would have otherwise become fully vested on July 19, 2021 after the lapse of the required holding period.

Read SEC document
July 14, 2020 Filed Jul 14, 2020 21:10 UTC
MILLER MICHAEL CONNOLLYCLO, EVP, Corp Aff & Secretary
Disposition to issuerCommon Stock 22,603 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000056 · wf-form4_159476101957487.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,125

F1 · shares: Forfeiture of unearned shares pursuant to July 19, 2018 Performance Share award based upon final achievement level below minimum threshold level of target. See Form 4 filed July 23, 2018 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and would have otherwise become fully vested on July 19, 2021 after the lapse of the required holding period.

Read SEC document
July 14, 2020 Filed Jul 15, 2020 09:00 UTC
LEVENICK ZACHARYSee Explanation of Responses
PurchaseCommon Stock, par value $0.01 per share 25,000 $1.85 $46,322.50
Disclosure

SEC source: 0000921895-20-001983 · form412733002_07152020.xml · nonDerivative · entry 1

LEVENICK ZACHARY · CIK 0001816579 · See Explanation of Responses

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,000

F1 · security: Zachary Levenick may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Mr. Levenick disclaims beneficial ownership of the securities of the Issuer owned directly by other members of the Section 13(d) group and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · price: The price reported in Column 4 is a weighted average price. These shares of Common Stock were purchased in multiple transactions at prices ranging from $1.85 to $1.87 per share, excluding commissions. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth in this footnote.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 17:09 UTC
Culver StephenSVP, Chief Information Officer
Tax withholdingCommon Stock 1,819 $2.03 $3,692.57
Disclosure

SEC source: 0001634117-20-000051 · wf-form4_159476093125690.xml · nonDerivative · entry 2

Culver Stephen · CIK 0001649048 · SVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,936

F2 · shares: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 4,868 performance-based shares granted to the reporting person on June 13, 2017.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 17:09 UTC
Culver StephenSVP, Chief Information Officer
Disposition to issuerCommon Stock 7,679 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000051 · wf-form4_159476093125690.xml · nonDerivative · entry 1

Culver Stephen · CIK 0001649048 · SVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,755

F1 · shares: Forfeiture of unearned shares pursuant to July 13, 2017 Performance Share award based upon final achievement level of 38.8% of target. See Form 4 filed July 17, 2017 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and became fully vested on July 13, 2020 after the lapse of the required holding period.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 17:10 UTC
Magill JoAnnSVP, Human Resources
Tax withholdingCommon Stock 1,745 $2.03 $3,542.35
Disclosure

SEC source: 0001634117-20-000054 · wf-form4_159476098604253.xml · nonDerivative · entry 2

Magill JoAnn · CIK 0001649060 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,406

F2 · shares: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 6,085 performance-based shares granted to the reporting person on June 13, 2017.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 17:10 UTC
Magill JoAnnSVP, Human Resources
Disposition to issuerCommon Stock 9,598 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000054 · wf-form4_159476098604253.xml · nonDerivative · entry 1

Magill JoAnn · CIK 0001649060 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,151

F1 · shares: Forfeiture of unearned shares pursuant to July 13, 2017 Performance Share award based upon final achievement level of 38.8% of target. See Form 4 filed July 17, 2017 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and became fully vested on July 13, 2020 after the lapse of the required holding period.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 17:09 UTC Tax withholdingCommon Stock 2,068 $2.03 $4,198.04
Disclosure

SEC source: 0001634117-20-000052 · wf-form4_159476095001179.xml · nonDerivative · entry 2

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,692

F2 · shares: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 6,085 performance-based shares granted to the reporting person on June 13, 2017.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 17:09 UTC Disposition to issuerCommon Stock 9,598 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000052 · wf-form4_159476095001179.xml · nonDerivative · entry 1

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,760

F1 · shares: Forfeiture of unearned shares pursuant to July 13, 2017 Performance Share award based upon final achievement level of 38.8% of target. See Form 4 filed July 17, 2017 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and became fully vested on July 13, 2020 after the lapse of the required holding period.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 17:10 UTC
Malhotra KanujEVP, Corp Dev; Pres, DSS
Tax withholdingCommon Stock 6,202 $2.03 $12,590.06
Disclosure

SEC source: 0001634117-20-000055 · wf-form4_159476100278210.xml · nonDerivative · entry 2

Malhotra Kanuj · CIK 0001581718 · EVP, Corp Dev; Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,126

F2 · shares: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 18,256 performance-based shares granted to the reporting person on June 13, 2017.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 17:10 UTC
Malhotra KanujEVP, Corp Dev; Pres, DSS
Disposition to issuerCommon Stock 28,795 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000055 · wf-form4_159476100278210.xml · nonDerivative · entry 1

Malhotra Kanuj · CIK 0001581718 · EVP, Corp Dev; Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,328

F1 · shares: Forfeiture of unearned shares pursuant to July 13, 2017 Performance Share award based upon final achievement level of 38.8% of target. See Form 4 filed July 17, 2017 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and became fully vested on July 13, 2020 after the lapse of the required holding period.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 21:10 UTC
Paul SeemaSVP, Chief Accounting Officer
Tax withholdingCommon Stock 1,874 $2.03 $3,804.22
Disclosure

SEC source: 0001634117-20-000057 · wf-form4_159476103803064.xml · nonDerivative · entry 2

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,794

F2 · shares: Represents shares withheld by the Company to satisfy tax withholding obligations in connection with the vesting of 6,085 performance-based shares granted to the reporting person on June 13, 2017.

Read SEC document
July 13, 2020 Filed Jul 14, 2020 21:10 UTC
Paul SeemaSVP, Chief Accounting Officer
Disposition to issuerCommon Stock 9,598 $0.00 $0.00
Disclosure

SEC source: 0001634117-20-000057 · wf-form4_159476103803064.xml · nonDerivative · entry 1

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,668

F1 · shares: Forfeiture of unearned shares pursuant to July 13, 2017 Performance Share award based upon final achievement level of 38.8% of target. See Form 4 filed July 17, 2017 for additional performance and vesting information. These performance share grants were originally issued at 100% of target and became fully vested on July 13, 2020 after the lapse of the required holding period.

Read SEC document
July 09, 2020 Filed Jul 10, 2020 12:25 UTC
LEVENICK ZACHARYSee Explanation of Responses
PurchaseCommon Stock, par value $0.01 per share 61,471 $1.84 $113,180.41
Disclosure

SEC source: 0001193805-20-000815 · e619769_4-levenick.xml · nonDerivative · entry 2

LEVENICK ZACHARY · CIK 0001816579 · See Explanation of Responses

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,000

F1 · security: Zachary Levenick may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Mr. Levenick disclaims beneficial ownership of the securities of the Issuer owned directly by other members of the Section 13(d) group and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3 · price: The price reported in Column 4 is a weighted average price. These shares of Common Stock were purchased in multiple transactions at prices ranging from $1.82 to $1.85 per share, excluding commissions. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth in this footnote.

Read SEC document
July 08, 2020 Filed Jul 10, 2020 12:25 UTC
LEVENICK ZACHARYSee Explanation of Responses
PurchaseCommon Stock, par value $0.01 per share 38,529 $1.86 $71,486.71
Disclosure

SEC source: 0001193805-20-000815 · e619769_4-levenick.xml · nonDerivative · entry 1

LEVENICK ZACHARY · CIK 0001816579 · See Explanation of Responses

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,529

F1 · security: Zachary Levenick may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of Common Stock. Mr. Levenick disclaims beneficial ownership of the securities of the Issuer owned directly by other members of the Section 13(d) group and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · price: The price reported in Column 4 is a weighted average price. These shares of Common Stock were purchased in multiple transactions at prices ranging from $1.85 to $1.87 per share, excluding commissions. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth in this footnote.

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June 19, 2020 Filed Jun 23, 2020 16:49 UTC Tax withholdingCommon Stock 5,932 $1.70 $10,084.40
Disclosure

SEC source: 0001634117-20-000029 · wf-form4_159294536825074.xml · nonDerivative · entry 1

Donohue Thomas D. · CIK 0001649062 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,358

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

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June 19, 2020 Filed Jun 23, 2020 16:50 UTC
HUSEBY MICHAELDirector · Chairman and CEO
Tax withholdingCommon Stock 51,302 $1.70 $87,213.40
Disclosure

SEC source: 0001634117-20-000030 · wf-form4_159294539010936.xml · nonDerivative · entry 1

HUSEBY MICHAEL · CIK 0001274572 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,575,270

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

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June 19, 2020 Filed Jun 23, 2020 16:50 UTC
Malhotra KanujEVP, Corp Dev; Pres, DSS
Tax withholdingCommon Stock 7,010 $1.70 $11,917.00
Disclosure

SEC source: 0001634117-20-000031 · wf-form4_159294541304960.xml · nonDerivative · entry 1

Malhotra Kanuj · CIK 0001581718 · EVP, Corp Dev; Pres, DSS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 398,123

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

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June 19, 2020 Filed Jun 23, 2020 20:50 UTC
MILLER MICHAEL CONNOLLYEVP, Corp Aff, CLO & Secretary
Tax withholdingCommon Stock 8,551 $1.70 $14,536.70
Disclosure

SEC source: 0001634117-20-000032 · wf-form4_159294543700260.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,728

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

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June 19, 2020 Filed Jun 23, 2020 20:51 UTC
Paul SeemaSVP, Chief Accounting Officer
Tax withholdingCommon Stock 4,350 $1.70 $7,395.00
Disclosure

SEC source: 0001634117-20-000033 · wf-form4_159294545953554.xml · nonDerivative · entry 1

Paul Seema · CIK 0001651858 · SVP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,266

F1 · shares: Shares withheld by the Issuer on vesting of restricted stock units (payable solely in common stock of the Issuer on each vesting date) to cover applicable withholding taxes.

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December 19, 2019 Filed Dec 20, 2019 21:42 UTC
MILLER MICHAEL CONNOLLYEVP, Corp Strat & Gen Counsel
SaleCommon Stock 6,500 $4.58 $29,770.00
Disclosure

SEC source: 0001643505-19-000004 · wf-form4_157687815268384.xml · nonDerivative · entry 1

MILLER MICHAEL CONNOLLY · CIK 0001643505 · EVP, Corp Strat & Gen Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,279

F1 · price: Represents the weighted average price of multiple transactions with prices of $4.40 and $4.74 made pursuant to a 10b5-1 automatic trading plan that provides for periodic sales for purposes of liquidity and diversification. 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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October 09, 2019 Filed Oct 10, 2019 16:37 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 12,321 $3.26 $40,215.74
Disclosure

SEC source: 0000919574-19-006347 · ownership.xml · nonDerivative · entry 3

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,499,621

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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October 09, 2019 Filed Oct 10, 2019 16:37 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 35,691 $3.20 $114,361.10
Disclosure

SEC source: 0000919574-19-006347 · ownership.xml · nonDerivative · entry 2

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,487,300

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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October 08, 2019 Filed Oct 10, 2019 16:37 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 54,714 $3.18 $173,957.69
Disclosure

SEC source: 0000919574-19-006347 · ownership.xml · nonDerivative · entry 1

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,451,609

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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October 04, 2019 Filed Oct 4, 2019 20:54 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 175,987 $3.09 $544,450.98
Disclosure

SEC source: 0000919574-19-006241 · ownership.xml · nonDerivative · entry 4

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,396,895

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
October 03, 2019 Filed Oct 4, 2019 20:54 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 100,000 $2.94 $293,920.00
Disclosure

SEC source: 0000919574-19-006241 · ownership.xml · nonDerivative · entry 3

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,220,908

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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October 02, 2019 Filed Oct 4, 2019 20:54 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 50,000 $2.98 $148,900.00
Disclosure

SEC source: 0000919574-19-006241 · ownership.xml · nonDerivative · entry 2

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,120,908

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
October 02, 2019 Filed Oct 4, 2019 20:54 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 150,000 $2.97 $444,840.00
Disclosure

SEC source: 0000919574-19-006241 · ownership.xml · nonDerivative · entry 1

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,070,908

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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September 30, 2019 Filed Oct 1, 2019 20:41 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 50,000 $3.15 $157,295.00
Disclosure

SEC source: 0000919574-19-006130 · ownership.xml · nonDerivative · entry 2

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,920,908

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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September 27, 2019 Filed Oct 1, 2019 20:41 UTC
Wallace Rory10% owner
PurchaseCommon Stock, par value $0.01 per share 9,328 $3.11 $28,984.89
Disclosure

SEC source: 0000919574-19-006130 · ownership.xml · nonDerivative · entry 1

Outerbridge Master Fund LP · CIK 0001789260 · 10% owner

Outerbridge Capital Management LLC · CIK 0001781377 · 10% owner

Outerbridge GP, LLC · CIK 0001789131 · 10% owner

Wallace Rory · CIK 0001789229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,870,908

F1 · ownership.direct: The Common Stock, par value $0.01 per share reported herein ("Common Stock") is held in the account of Outerbridge Master Fund LP (the "Fund"), a private investment fund managed by Outerbridge Capital Management, LLC (the "Investment Manager"), and may be deemed to be beneficially owned by the Investment Manager, the general partner of the Fund, Outerbridge GP, LLC (the "General Partner"), and by Rory Wallace, managing member of the General Partner and the Investment Manager. Each of the Fund, the Investment Manager, the General Partner and Rory Wallace (collectively, the "Reporting Persons") disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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September 26, 2019 Filed Sep 30, 2019 16:51 UTC GrantCommon Stock 38,096 $0.00 $0.00
Disclosure

SEC source: 0001634117-19-000109 · wf-form4_156987664004242.xml · nonDerivative · entry 1

DEMATTEO DANIEL A · CIK 0001166817 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,893

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 26, 2020; however, the reporting person has elected to defer settlement and receipt of such shares until the date specified in the applicable deferral election.

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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.