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BW

Babcock & Wilcox Enterprises, Inc.

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4934
SEC CIK
0001630805
Parsed reports
443

Last 12 months

Inside the activity.

7 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202530
Dec 202500
Jan 202600
Feb 202601
Mar 202620
Apr 202600
May 202600
Jun 202600
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Aug 202620
Sep 202600
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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 30, 2018 Filed May 2, 2018 19:00 UTC
Hoehn Daniel WVice President and CAO
OtherCommon Stock 3,276 $2.00 $6,552.00
Disclosure

SEC source: 0001644925-18-000011 · edgar.xml · nonDerivative · entry 1

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,011

F1 · shares: The reporting person exercised 1,170 subscription rights (each subscription right entitling the reporting person to purchase 2.8 shares of Babcock & Wilcox Enterprises, Inc. ("BW") common stock, par value $0.01 per share, at a subscription price of $2.00 per share), issued on a pro rata basis to holders of BW common stock on March 15, 2018.

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April 30, 2018 Filed May 2, 2018 19:33 UTC OtherSubscription rights (right to buy) · Derivative 8,232 $0.00 Strike: $2.00 $0.00
Disclosure

SEC source: 0001726956-18-000006 · edgar.xml · derivative · entry 2

Bartoli Henry E · CIK 0001726956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,049 shares

Expires 2018-04-30

F1 · shares: The reporting person exercised 8,232 subscription rights (each subscription right entitling the reporting person to purchase 2.8 shares of Babcock & Wilcox Enterprises, Inc. ("BW") common stock, par value $0.01 per share, at a subscription price of $2.00 per share), issued on a pro rata basis to holders of BW common stock on March 15, 2018.

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April 30, 2018 Filed May 2, 2018 19:33 UTC OtherCommon Stock 23,049 $2.00 $46,098.00
Disclosure

SEC source: 0001726956-18-000006 · edgar.xml · nonDerivative · entry 1

Bartoli Henry E · CIK 0001726956 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,281

F1 · shares: The reporting person exercised 8,232 subscription rights (each subscription right entitling the reporting person to purchase 2.8 shares of Babcock & Wilcox Enterprises, Inc. ("BW") common stock, par value $0.01 per share, at a subscription price of $2.00 per share), issued on a pro rata basis to holders of BW common stock on March 15, 2018.

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March 17, 2018 Filed Mar 20, 2018 21:00 UTC
Hoehn Daniel WVice President and CAO
Exercise / conversionRestricted Stock Units · Derivative 752 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001644925-18-000009 · edgar.xml · derivative · entry 4

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 752 shares

Expires 2018-03-17

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.

F2 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 17, 2016.

Read SEC document
March 17, 2018 Filed Mar 20, 2018 21:00 UTC
Hoehn Daniel WVice President and CAO
Exercise / conversionRestricted Stock Units · Derivative 2,325 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001644925-18-000009 · edgar.xml · derivative · entry 3

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,325 shares

Expires 2018-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: 100% of the RSUs vest on March 17, 2018

Read SEC document
March 17, 2018 Filed Mar 20, 2018 21:00 UTC
Hoehn Daniel WVice President and CAO
Tax withholdingCommon Stock 897 $4.45 $3,991.65
Disclosure

SEC source: 0001644925-18-000009 · edgar.xml · nonDerivative · entry 2

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,735

Read SEC document
March 17, 2018 Filed Mar 20, 2018 21:00 UTC
Hoehn Daniel WVice President and CAO
Exercise / conversionCommon Stock 3,077 $0.00 $0.00
Disclosure

SEC source: 0001644925-18-000009 · edgar.xml · nonDerivative · entry 1

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,632

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 13, 2018 Filed Mar 15, 2018 23:02 UTC
SPH Group LLC10% owner
PurchaseCommon Stock, par value $0.01 182,794 $6.25 $1,142,334.54
Disclosure

SEC source: 0000921895-18-000992 · form404197070_03152018.xml · nonDerivative · entry 1

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

Steel Excel Inc. · CIK 0000709804 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Steel Excel Inc.

Disclosed balance after: 6,993,219

F1 · security: This Form 4 is filed jointly by Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings"), Steel Partners Holdings GP Inc. ("Steel Holdings GP") and Steel Excel Inc. ("Steel Excel") (collectively, the "Reporting Persons"). Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock.

F2 · ownership.nature: Represents securities owned directly by Steel Excel. By virtue of their relationships with Steel Excel discussed in Footnote 1, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the securities owned directly by Steel Excel. Each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP disclaims beneficial ownership of the securities owned directly by Steel Excel, except to the extent of its pecuniary interest therein.

Read SEC document
March 09, 2018 Filed Mar 10, 2018 00:02 UTC
SPH Group LLC10% owner
PurchaseCommon Stock, par value $0.01 277,066 $6.18 $1,712,434.12
Disclosure

SEC source: 0000921895-18-000926 · form404197070_03092018.xml · nonDerivative · entry 3

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

Steel Excel Inc. · CIK 0000709804 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Steel Excel Inc.

Disclosed balance after: 6,810,425

F1 · security: This Form 4 is filed jointly by Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings"), Steel Partners Holdings GP Inc. ("Steel Holdings GP") and Steel Excel Inc. ("Steel Excel") (collectively, the "Reporting Persons"). Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock.

F2 · ownership.nature: Represents securities owned directly by Steel Excel. By virtue of their relationships with Steel Excel discussed in Footnote 1, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the securities owned directly by Steel Excel. Each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP disclaims beneficial ownership of the securities owned directly by Steel Excel, except to the extent of its pecuniary interest therein.

Read SEC document
March 08, 2018 Filed Mar 10, 2018 00:02 UTC
SPH Group LLC10% owner
PurchaseCommon Stock, par value $0.01 212,930 $6.08 $1,295,189.31
Disclosure

SEC source: 0000921895-18-000926 · form404197070_03092018.xml · nonDerivative · entry 2

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

Steel Excel Inc. · CIK 0000709804 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Steel Excel Inc.

Disclosed balance after: 6,533,359

F1 · security: This Form 4 is filed jointly by Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings"), Steel Partners Holdings GP Inc. ("Steel Holdings GP") and Steel Excel Inc. ("Steel Excel") (collectively, the "Reporting Persons"). Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock.

F2 · ownership.nature: Represents securities owned directly by Steel Excel. By virtue of their relationships with Steel Excel discussed in Footnote 1, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the securities owned directly by Steel Excel. Each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP disclaims beneficial ownership of the securities owned directly by Steel Excel, except to the extent of its pecuniary interest therein.

Read SEC document
March 07, 2018 Filed Mar 10, 2018 00:02 UTC
SPH Group LLC10% owner
PurchaseCommon Stock, par value $0.01 5,800 $5.65 $32,751.44
Disclosure

SEC source: 0000921895-18-000926 · form404197070_03092018.xml · nonDerivative · entry 1

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

Steel Excel Inc. · CIK 0000709804 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Steel Excel Inc.

Disclosed balance after: 6,320,429

F1 · security: This Form 4 is filed jointly by Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings"), Steel Partners Holdings GP Inc. ("Steel Holdings GP") and Steel Excel Inc. ("Steel Excel") (collectively, the "Reporting Persons"). Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock.

F2 · ownership.nature: Represents securities owned directly by Steel Excel. By virtue of their relationships with Steel Excel discussed in Footnote 1, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the securities owned directly by Steel Excel. Each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP disclaims beneficial ownership of the securities owned directly by Steel Excel, except to the extent of its pecuniary interest therein.

Read SEC document
March 06, 2018 Filed Mar 7, 2018 00:34 UTC
SPH Group LLC10% owner
PurchaseCommon Stock, par value $0.01 446,200 $5.64 $2,515,407.88
Disclosure

SEC source: 0000921895-18-000862 · form404197070_03062018.xml · nonDerivative · entry 2

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

Steel Excel Inc. · CIK 0000709804 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Steel Excel Inc.

Disclosed balance after: 6,314,629

F1 · security: This Form 4 is filed jointly by Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings"), Steel Partners Holdings GP Inc. ("Steel Holdings GP") and Steel Excel Inc. ("Steel Excel") (collectively, the "Reporting Persons"). Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock.

F2 · ownership.nature: Represents securities owned directly by Steel Excel. By virtue of their relationships with Steel Excel discussed in Footnote 1, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the securities owned directly by Steel Excel. Each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP disclaims beneficial ownership of the securities owned directly by Steel Excel, except to the extent of its pecuniary interest therein.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 16:16 UTC
Kass Leslie CPresident and CEO
GrantRestricted Stock Units · Derivative 173,611 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001707399-18-000006 · edgar.xml · derivative · entry 2

Kass Leslie C · CIK 0001707399 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,611

Underlying: Common Stock · 173,611 shares

Expires 2021-03-06

F3 · kind: Grant of restricted stock units pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of BW common stock or, at the Issuer's election, the cash value thereof.

F4 · derivative.exercise_date: RSUs vest in two annual installments beginning March 6, 2020.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 16:16 UTC
Kass Leslie CPresident and CEO
GrantStock Options (right to buy) · Derivative 138,504 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001707399-18-000006 · edgar.xml · derivative · entry 1

Kass Leslie C · CIK 0001707399 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,504

Underlying: Common Stock · 138,504 shares

Expires 2028-03-06

F1 · kind: Grant of stock options pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan.

F2 · derivative.exercise_date: 100% of the stock options vest March 6, 2019.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 16:23 UTC
Muckley James J.Senior Vice President
GrantStock Options (right to buy) · Derivative 18,467 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001692154-18-000005 · edgar.xml · derivative · entry 1

Muckley James J. · CIK 0001692154 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,467

Underlying: Common Stock · 18,467 shares

Expires 2028-03-06

F1 · kind: Grant of stock options pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan.

F2 · derivative.exercise_date: 100% of the stock options vest March 6, 2019.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 16:41 UTC
APKER JENNY LSenior Vice President and CFO
GrantStock Options (right to buy) · Derivative 69,252 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001644999-18-000024 · edgar.xml · derivative · entry 1

APKER JENNY L · CIK 0001242619 · Senior Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,252

Underlying: Common Stock · 69,252 shares

Expires 2028-03-06

F1 · kind: Grant of stock options pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan.

F2 · derivative.exercise_date: 100% of the stock options vest March 6, 2019.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 21:38 UTC
Carano Mark ASenior Vice President
GrantStock Options (right to buy) · Derivative 55,401 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001584346-18-000005 · edgar.xml · derivative · entry 1

Carano Mark A · CIK 0001584346 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,401

Underlying: Common Stock · 55,401 shares

Expires 2028-03-06

F1 · kind: Grant of stock options pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan.

F2 · derivative.exercise_date: 100% of the stock options vest March 6, 2019.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 21:35 UTC
Hall J. AndreSVP & General Counsel
GrantStock Options (right to buy) · Derivative 32,317 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001644999-18-000022 · edgar.xml · derivative · entry 1

Hall J. Andre · CIK 0001644999 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,317

Underlying: Commo Stock · 32,317 shares

Expires 2028-03-06

F1 · kind: Grant of stock options pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan.

F2 · derivative.exercise_date: 100% of the stock options vest March 6, 2019.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 21:29 UTC
Morgan Jimmy BSenior Vice President
GrantStock Options (right to buy) · Derivative 43,397 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001681626-18-000004 · edgar.xml · derivative · entry 1

Morgan Jimmy B · CIK 0001681626 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,397

Underlying: Common Stock · 43,397 shares

Expires 2028-03-06

F1 · kind: Grant of stock options pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan.

F2 · derivative.exercise_date: 100% of the stock options vest March 6, 2019.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 21:32 UTC
Low Mark SSenior Vice President
GrantStock Options (right to buy) · Derivative 43,397 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001644980-18-000005 · edgar.xml · derivative · entry 1

Low Mark S · CIK 0001644980 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,397

Underlying: Common Stock · 43,397 shares

Expires 2028-03-06

F1 · kind: Grant of stock options pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan.

F2 · derivative.exercise_date: 100% of the stock options vest March 6, 2019.

Read SEC document
March 06, 2018 Filed Mar 8, 2018 21:19 UTC
Hoehn Daniel WVice President and CAO
GrantStock Options (right to buy) · Derivative 12,003 $0.00 Strike: $5.76 $0.00
Disclosure

SEC source: 0001644925-18-000006 · edgar.xml · derivative · entry 1

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,003

Underlying: Common Stock · 12,003 shares

Expires 2028-03-06

F1 · kind: Grant of stock options pursuant to the Babcock & Wilcox Enterprises, Inc. Amended and Restated 2015 Long-Term Incentive Plan.

F2 · derivative.exercise_date: 100% of the stock options vest March 6, 2019.

Read SEC document
March 05, 2018 Filed Mar 7, 2018 00:34 UTC
SPH Group LLC10% owner
PurchaseCommon Stock, par value $0.01 46,467 $5.59 $259,787.70
Disclosure

SEC source: 0000921895-18-000862 · form404197070_03062018.xml · nonDerivative · entry 1

STEEL PARTNERS HOLDINGS L.P. · CIK 0001452857 · 10% owner

SPH Group LLC · CIK 0001522067 · 10% owner

SPH Group Holdings LLC · CIK 0001522066 · 10% owner

Steel Partners Holdings GP Inc. · CIK 0001537666 · 10% owner

Steel Excel Inc. · CIK 0000709804 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Steel Excel Inc.

Disclosed balance after: 5,868,429

F1 · security: This Form 4 is filed jointly by Steel Partners Holdings L.P. ("Steel Holdings"), SPH Group LLC ("SPHG"), SPH Group Holdings LLC ("SPHG Holdings"), Steel Partners Holdings GP Inc. ("Steel Holdings GP") and Steel Excel Inc. ("Steel Excel") (collectively, the "Reporting Persons"). Steel Holdings owns 99% of the membership interests of SPHG. SPHG is the sole member of SPHG Holdings. Steel Holdings GP is the general partner of Steel Holdings, the managing member of SPHG and the manager of SPHG Holdings. SPHG Holdings owns 100% of the outstanding shares of common stock of Steel Excel. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock.

F2 · ownership.nature: Represents securities owned directly by Steel Excel. By virtue of their relationships with Steel Excel discussed in Footnote 1, each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP may be deemed to beneficially own the securities owned directly by Steel Excel. Each of Steel Holdings, SPHG, SPHG Holdings and Steel Holdings GP disclaims beneficial ownership of the securities owned directly by Steel Excel, except to the extent of its pecuniary interest therein.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 17:50 UTC
Kass Leslie CPresident and CEO
Exercise / conversionRestricted Stock Units · Derivative 3,476 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001707399-18-000004 · edgar.xml · derivative · entry 8

Kass Leslie C · CIK 0001707399 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,952

Underlying: Common Stock · 3,476 shares

Expires 2020-03-03

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.

F4 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 17:50 UTC
Kass Leslie CPresident and CEO
Tax withholdingCommon Stock 1,046 $5.53 $5,784.38
Disclosure

SEC source: 0001707399-18-000004 · edgar.xml · nonDerivative · entry 4

Kass Leslie C · CIK 0001707399 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,446

Read SEC document
March 03, 2018 Filed Mar 6, 2018 17:50 UTC
Kass Leslie CPresident and CEO
Exercise / conversionCommon Stock 3,476 $0.00 $0.00
Disclosure

SEC source: 0001707399-18-000004 · edgar.xml · nonDerivative · entry 3

Kass Leslie C · CIK 0001707399 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,492

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 18:22 UTC
Muckley James J.Senior Vice President
Exercise / conversionRestricted Stock Units · Derivative 2,780 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001692154-18-000004 · edgar.xml · derivative · entry 7

Muckley James J. · CIK 0001692154 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,560

Underlying: Common Stock · 2,780 shares

Expires 2020-03-03

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.

F3 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 18:22 UTC
Muckley James J.Senior Vice President
Tax withholdingCommon Stock 843 $5.53 $4,661.79
Disclosure

SEC source: 0001692154-18-000004 · edgar.xml · nonDerivative · entry 4

Muckley James J. · CIK 0001692154 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,663

Read SEC document
March 03, 2018 Filed Mar 6, 2018 18:22 UTC
Muckley James J.Senior Vice President
Exercise / conversionCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0001692154-18-000004 · edgar.xml · nonDerivative · entry 3

Muckley James J. · CIK 0001692154 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,506

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:45 UTC Exercise / conversionRestricted Stock Units · Derivative 44,490 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001644999-18-000021 · edgar.xml · derivative · entry 8

Ferland E James Jr · CIK 0001404512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,983

Underlying: Common Stock · 44,490 shares

Expires 2020-03-03

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.

F4 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:45 UTC Tax withholdingCommon Stock 13,324 $5.53 $73,681.72
Disclosure

SEC source: 0001644999-18-000021 · edgar.xml · nonDerivative · entry 4

Ferland E James Jr · CIK 0001404512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,587

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:45 UTC Exercise / conversionCommon Stock 44,490 $0.00 $0.00
Disclosure

SEC source: 0001644999-18-000021 · edgar.xml · nonDerivative · entry 3

Ferland E James Jr · CIK 0001404512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372,911

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 17:11 UTC
APKER JENNY LSenior Vice President and CFO
Exercise / conversionRestricted Stock Units · Derivative 10,427 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001644999-18-000017 · edgar.xml · derivative · entry 8

APKER JENNY L · CIK 0001242619 · Senior Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,854

Underlying: Common Stock · 10,427 shares

Expires 2020-03-03

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.

F4 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 17:11 UTC
APKER JENNY LSenior Vice President and CFO
Tax withholdingCommon Stock 3,122 $5.53 $17,264.66
Disclosure

SEC source: 0001644999-18-000017 · edgar.xml · nonDerivative · entry 4

APKER JENNY L · CIK 0001242619 · Senior Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,761

Read SEC document
March 03, 2018 Filed Mar 6, 2018 17:11 UTC
APKER JENNY LSenior Vice President and CFO
Exercise / conversionCommon Stock 10,427 $0.00 $0.00
Disclosure

SEC source: 0001644999-18-000017 · edgar.xml · nonDerivative · entry 3

APKER JENNY L · CIK 0001242619 · Senior Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,883

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 21:31 UTC
Carano Mark ASenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 8,342 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001584346-18-000004 · edgar.xml · derivative · entry 8

Carano Mark A · CIK 0001584346 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,684

Underlying: Common Stock · 8,342 shares

Expires 2020-03-03

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.

F6 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 21:31 UTC
Carano Mark ASenior Vice President
Tax withholdingCommon Stock 2,498 $5.53 $13,813.94
Disclosure

SEC source: 0001584346-18-000004 · edgar.xml · nonDerivative · entry 4

Carano Mark A · CIK 0001584346 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,663

Read SEC document
March 03, 2018 Filed Mar 6, 2018 21:31 UTC
Carano Mark ASenior Vice President
Exercise / conversionCommon Stock 8,342 $0.00 $0.00
Disclosure

SEC source: 0001584346-18-000004 · edgar.xml · nonDerivative · entry 3

Carano Mark A · CIK 0001584346 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,161

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:29 UTC
Morgan Jimmy BSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 4,518 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001681626-18-000003 · edgar.xml · derivative · entry 3

Morgan Jimmy B · CIK 0001681626 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,036

Underlying: Common Stock · 4,518 shares

Expires 2020-03-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:29 UTC
Morgan Jimmy BSenior Vice President
Tax withholdingCommon Stock 1,312 $5.53 $7,255.36
Disclosure

SEC source: 0001681626-18-000003 · edgar.xml · nonDerivative · entry 2

Morgan Jimmy B · CIK 0001681626 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,068

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:29 UTC
Morgan Jimmy BSenior Vice President
Exercise / conversionCommon Stock 4,518 $0.00 $0.00
Disclosure

SEC source: 0001681626-18-000003 · edgar.xml · nonDerivative · entry 1

Morgan Jimmy B · CIK 0001681626 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,380

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:06 UTC
Low Mark SSenior Vice President
Exercise / conversionRestricted Stock Units · Derivative 5,561 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001644980-18-000004 · edgar.xml · derivative · entry 8

Low Mark S · CIK 0001644980 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,122

Underlying: Common Stock · 5,561 shares

Expires 2020-03-03

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.

F4 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:06 UTC
Low Mark SSenior Vice President
Tax withholdingCommon Stock 1,673 $5.53 $9,251.69
Disclosure

SEC source: 0001644980-18-000004 · edgar.xml · nonDerivative · entry 4

Low Mark S · CIK 0001644980 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,625

Read SEC document
March 03, 2018 Filed Mar 6, 2018 23:06 UTC
Low Mark SSenior Vice President
Exercise / conversionCommon Stock 5,561 $0.00 $0.00
Disclosure

SEC source: 0001644980-18-000004 · edgar.xml · nonDerivative · entry 3

Low Mark S · CIK 0001644980 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,298

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 22:31 UTC
Hall J. AndreSVP & General Counsel
Exercise / conversionRestricted Stock Units · Derivative 4,518 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001644999-18-000019 · edgar.xml · derivative · entry 8

Hall J. Andre · CIK 0001644999 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,036

Underlying: Common Stock · 4,518 shares

Expires 2020-03-03

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.

F4 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 22:31 UTC
Hall J. AndreSVP & General Counsel
Tax withholdingCommon Stock 1,351 $5.53 $7,471.03
Disclosure

SEC source: 0001644999-18-000019 · edgar.xml · nonDerivative · entry 4

Hall J. Andre · CIK 0001644999 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,255

Read SEC document
March 03, 2018 Filed Mar 6, 2018 22:31 UTC
Hall J. AndreSVP & General Counsel
Exercise / conversionCommon Stock 4,518 $0.00 $0.00
Disclosure

SEC source: 0001644999-18-000019 · edgar.xml · nonDerivative · entry 3

Hall J. Andre · CIK 0001644999 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,606

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 21:46 UTC
Hoehn Daniel WVice President and CAO
Exercise / conversionRestricted Stock Units · Derivative 240 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001644925-18-000004 · edgar.xml · derivative · entry 3

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,181

Underlying: Common Stock · 240 shares

Expires 2020-03-03

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 · kind: The reporting person elected to defer receipt of all shares underlying the RSUs. On March 3, 2018, 1,807 RSUs vested and 240 of those shares were withheld to fulfill tax obligations. In accordance with his deferral election, vested shares will be delivered to the reporting person in one lump sum 12 months following termination of employment.

F2 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 3, 2018.

F1 · balance_after: The reporting person elected to defer receipt of all shares underlying the RSUs. On March 3, 2018, 1,807 RSUs vested and 240 of those shares were withheld to fulfill tax obligations. In accordance with his deferral election, vested shares will be delivered to the reporting person in one lump sum 12 months following termination of employment.

Read SEC document
March 03, 2018 Filed Mar 6, 2018 21:46 UTC
Hoehn Daniel WVice President and CAO
Tax withholdingCommon Stock 240 $5.53 $1,327.20
Disclosure

SEC source: 0001644925-18-000004 · edgar.xml · nonDerivative · entry 2

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,555

Read SEC document
March 03, 2018 Filed Mar 6, 2018 21:46 UTC
Hoehn Daniel WVice President and CAO
Exercise / conversionCommon Stock 240 $0.00 $0.00
Disclosure

SEC source: 0001644925-18-000004 · edgar.xml · nonDerivative · entry 1

Hoehn Daniel W · CIK 0001644925 · Vice President and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,795

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 02, 2018 Filed Mar 6, 2018 17:50 UTC
Kass Leslie CPresident and CEO
Exercise / conversionRestricted Stock Units · Derivative 959 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001707399-18-000004 · edgar.xml · derivative · entry 7

Kass Leslie C · CIK 0001707399 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 959 shares

Expires 2018-03-02

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.

F3 · derivative.exercise_date: RSUs vest in three equal annual installments beginning March 2, 2016.

Read SEC document

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