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Nasdaq · USD

CDLX

Cardlytics, Inc.

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Tapewire entity
7603
SEC CIK
0001666071
Parsed reports
677

Last 12 months

Inside the activity.

2 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202603
Feb 202602
Mar 202600
Apr 202604
May 202620
Jun 202600
Jul 202603
Aug 202602
Sep 202600
Oct 202602

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
January 03, 2025 Filed Jan 6, 2025 22:51 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
SaleCommon Stock 6,464 $3.67 $23,703.49
Disclosure

SEC source: 0001666071-25-000008 · wk-form4_1736203902.xml · nonDerivative · entry 4

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,771

F2 · shares: Shares were sold solely to satisfy tax withholding obligations that resulted from the delivery of shares of common stock for RSUs that vested on January 1, 2025. The Reporting Person did not sell shares for any other purpose.

F3 · price: The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $3.555 to $3.78, inclusive. 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 sold at each separate price within the range set forth in footnote (3).

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January 03, 2025 Filed Jan 6, 2025 22:48 UTC
Gupta AmitDirector · Chief Executive Officer
SaleCommon Stock 5,964 $3.67 $21,869.99
Disclosure

SEC source: 0001666071-25-000002 · wk-form4_1736203724.xml · nonDerivative · entry 2

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 186,904

F2 · shares: Shares were sold solely to satisfy tax withholding obligations that resulted from the delivery of shares of common stock for RSUs that vested on January 1, 2025. The Reporting Person did not sell shares for any other purpose.

F3 · price: The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $3.555 to $3.78, inclusive. 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 sold at each separate price within the range set forth in footnote (3).

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January 01, 2025 Filed Jan 6, 2025 22:49 UTC Exercise / conversionRestricted Stock Units · Derivative 4,310 $0.00 $0.00
Disclosure

SEC source: 0001666071-25-000004 · wk-form4_1736203793.xml · derivative · entry 2

Francis Jonathan Edward · CIK 0002004714 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,310 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: This RSU award was for 4,310 shares with a grant date of January 1, 2024. The RSUs vested in full on the one-year anniversary of the grant date.

F2 · derivative.expiration_date: This RSU award was for 4,310 shares with a grant date of January 1, 2024. The RSUs vested in full on the one-year anniversary of the grant date.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:49 UTC Exercise / conversionCommon Stock 4,310 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-25-000004 · wk-form4_1736203793.xml · nonDerivative · entry 1

Francis Jonathan Edward · CIK 0002004714 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,310

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:52 UTC
DeSieno AlexisChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 14,349 $0.00 $0.00
Disclosure

SEC source: 0001666071-25-000010 · wk-form4_1736203958.xml · derivative · entry 3

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,748

Underlying: Common Stock · 14,349 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award was originally for 114,796 shares. The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F4 · derivative.expiration_date: The RSU award was originally for 114,796 shares. The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:52 UTC
DeSieno AlexisChief Financial Officer
Exercise / conversionCommon Stock 14,349 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-25-000010 · wk-form4_1736203958.xml · nonDerivative · entry 1

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,830

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:51 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionRestricted Stock Unit · Derivative 10,630 $0.00 $0.00
Disclosure

SEC source: 0001666071-25-000008 · wk-form4_1736203902.xml · derivative · entry 7

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,147

Underlying: Common Stock · 10,630 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F6 · derivative.exercise_date: The RSU award was originally for 85,035 shares. The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F6 · derivative.expiration_date: The RSU award was originally for 85,035 shares. The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:51 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionRestricted Stock Units · Derivative 1,578 $0.00 $0.00
Disclosure

SEC source: 0001666071-25-000008 · wk-form4_1736203902.xml · derivative · entry 6

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,468

Underlying: Common Stock · 1,578 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F5 · derivative.exercise_date: This RSU award was originally for 25,247 shares. Twenty-five percent (25%) of the shares under this award vested on July 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.

F5 · derivative.expiration_date: This RSU award was originally for 25,247 shares. Twenty-five percent (25%) of the shares under this award vested on July 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:51 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionRestricted Stock Unit · Derivative 582 $0.00 $0.00
Disclosure

SEC source: 0001666071-25-000008 · wk-form4_1736203902.xml · derivative · entry 5

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,906

Underlying: Common Stock · 582 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award was originally for 9,299 shares. Twenty-five percent (25%) of the shares under this award vested on April 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.

F4 · derivative.expiration_date: The RSU award was originally for 9,299 shares. Twenty-five percent (25%) of the shares under this award vested on April 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:51 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionCommon Stock 10,630 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-25-000008 · wk-form4_1736203902.xml · nonDerivative · entry 3

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,235

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:51 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionCommon Stock 1,578 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-25-000008 · wk-form4_1736203902.xml · nonDerivative · entry 2

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,605

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:51 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionCommon Stock 582 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-25-000008 · wk-form4_1736203902.xml · nonDerivative · entry 1

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,027

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:50 UTC Exercise / conversionRestricted Stock Units · Derivative 4,310 $0.00 $0.00
Disclosure

SEC source: 0001666071-25-000006 · wk-form4_1736203843.xml · derivative · entry 2

Fernandez Andre J · CIK 0001447718 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,310 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: This RSU award was for 4,310 shares with a grant date of January 1, 2024. The RSUs vested in full on the one-year anniversary of the grant date.

F2 · derivative.expiration_date: This RSU award was for 4,310 shares with a grant date of January 1, 2024. The RSUs vested in full on the one-year anniversary of the grant date.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:50 UTC Exercise / conversionCommon Stock 4,310 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-25-000006 · wk-form4_1736203843.xml · nonDerivative · entry 1

Fernandez Andre J · CIK 0001447718 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,310

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:48 UTC
Gupta AmitDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 14,349 $0.00 $0.00
Disclosure

SEC source: 0001666071-25-000002 · wk-form4_1736203724.xml · derivative · entry 3

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,748

Underlying: Common Stock · 14,349 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award was originally for 114,796 shares. The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F4 · derivative.expiration_date: The RSU award was originally for 114,796 shares. The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
January 01, 2025 Filed Jan 6, 2025 22:48 UTC
Gupta AmitDirector · Chief Executive Officer
Exercise / conversionCommon Stock 14,349 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-25-000002 · wk-form4_1736203724.xml · nonDerivative · entry 1

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,868

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
December 31, 2024 Filed Jan 2, 2025 19:25 UTC SaleCommon Stock 15,650 $3.77 $58,939.47
Disclosure

SEC source: 0000921895-25-000013 · form412609002_01022025.xml · nonDerivative · entry 2

SOSIN CLIFFORD · CIK 0001697919 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 6,368,910

F1 · ownership.nature: 4,179,427 shares of the Issuer's Common Stock (the "Common Stock") are owned directly by Sosin Master, L.P. ("Sosin Master"). The Reporting Person, as the Managing Member of CAS Investment Partners, LLC ("CAS"), the investment manager to Sosin Master, may be deemed to beneficially own the securities directly owned by Sosin Master. The remaining 2,189,483 shares of Common Stock are owned directly by CSWR Partners, L.P. ("CSWR"). The Reporting Person, as the Managing Member of CAS, the investment manager to CSWR, may be deemed to beneficially own the securities directly owned by CSWR.

Read SEC document
December 31, 2024 Filed Jan 3, 2025 19:58 UTC OtherCommon Stock 754,032 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-25-000042 · form412609002_01032025.xml · nonDerivative · entry 1

SOSIN CLIFFORD · CIK 0001697919 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 5,614,878

F2 · kind: Represents a pro rata distribution of 754,032 shares of Common Stock by Sosin Master to its partners for no consideration.

F2 · price: Represents a pro rata distribution of 754,032 shares of Common Stock by Sosin Master to its partners for no consideration.

F1 · ownership.nature: 3,425,395 shares of the Issuer's Common Stock (the "Common Stock") are owned directly by Sosin Master, L.P. ("Sosin Master"). The Reporting Person, as the Managing Member of CAS Investment Partners, LLC ("CAS"), the investment manager to Sosin Master, may be deemed to beneficially own the securities directly owned by Sosin Master. The remaining 2,189,483 shares of Common Stock are owned directly by CSWR Partners, L.P. ("CSWR"). The Reporting Person, as the Managing Member of CAS, the investment manager to CSWR, may be deemed to beneficially own the securities directly owned by CSWR.

Read SEC document
December 30, 2024 Filed Jan 2, 2025 19:25 UTC SaleCommon Stock 15,650 $3.78 $59,131.96
Disclosure

SEC source: 0000921895-25-000013 · form412609002_01022025.xml · nonDerivative · entry 1

SOSIN CLIFFORD · CIK 0001697919 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 6,384,560

F1 · ownership.nature: 4,179,427 shares of the Issuer's Common Stock (the "Common Stock") are owned directly by Sosin Master, L.P. ("Sosin Master"). The Reporting Person, as the Managing Member of CAS Investment Partners, LLC ("CAS"), the investment manager to Sosin Master, may be deemed to beneficially own the securities directly owned by Sosin Master. The remaining 2,189,483 shares of Common Stock are owned directly by CSWR Partners, L.P. ("CSWR"). The Reporting Person, as the Managing Member of CAS, the investment manager to CSWR, may be deemed to beneficially own the securities directly owned by CSWR.

Read SEC document
December 19, 2024 Filed Dec 23, 2024 18:53 UTC Sale4.25% Convertible Senior Notes due 2029 · Derivative 2,700,000 $1,518,750.00 $4,100,625,000,000.00
Disclosure

SEC source: 0000921895-24-003015 · form412609002_12232024.xml · derivative · entry 2

SOSIN CLIFFORD · CIK 0001697919 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 21,300,000

Underlying: Common Stock · 149,833 shares

Expires not disclosed

F2 · derivative.exercise_price: Sosin Master directly holds $13,798,366 principal amount of the Issuer's 4.25% Convertible Senior Notes due April 1, 2029 (the "Notes") and CSWR directly holds $7,501,634 principal amount of the Notes. Subject to conditions described in the indenture governing the Notes, the Notes have an initial conversion rate of 55.4939 shares of Common Stock per $1,000 principal amount of Notes, subject to adjustment as described in the indenture.

F3 · derivative.exercise_price: As the Issuer has the option, at its sole discretion, to settle conversions of the Notes in cash, shares of Common Stock or a combination of cash and shares of Common Stock, none of the Reporting Person, Sosin Master or CSWR are deemed to be beneficial owners of any shares of Common Stock underlying the Notes for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: Sosin Master directly holds $13,798,366 principal amount of the Issuer's 4.25% Convertible Senior Notes due April 1, 2029 (the "Notes") and CSWR directly holds $7,501,634 principal amount of the Notes. Subject to conditions described in the indenture governing the Notes, the Notes have an initial conversion rate of 55.4939 shares of Common Stock per $1,000 principal amount of Notes, subject to adjustment as described in the indenture.

F3 · derivative.exercise_date: As the Issuer has the option, at its sole discretion, to settle conversions of the Notes in cash, shares of Common Stock or a combination of cash and shares of Common Stock, none of the Reporting Person, Sosin Master or CSWR are deemed to be beneficial owners of any shares of Common Stock underlying the Notes for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended.

F2 · derivative.expiration_date: Sosin Master directly holds $13,798,366 principal amount of the Issuer's 4.25% Convertible Senior Notes due April 1, 2029 (the "Notes") and CSWR directly holds $7,501,634 principal amount of the Notes. Subject to conditions described in the indenture governing the Notes, the Notes have an initial conversion rate of 55.4939 shares of Common Stock per $1,000 principal amount of Notes, subject to adjustment as described in the indenture.

F3 · derivative.expiration_date: As the Issuer has the option, at its sole discretion, to settle conversions of the Notes in cash, shares of Common Stock or a combination of cash and shares of Common Stock, none of the Reporting Person, Sosin Master or CSWR are deemed to be beneficial owners of any shares of Common Stock underlying the Notes for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended.

F2 · derivative.underlying_shares: Sosin Master directly holds $13,798,366 principal amount of the Issuer's 4.25% Convertible Senior Notes due April 1, 2029 (the "Notes") and CSWR directly holds $7,501,634 principal amount of the Notes. Subject to conditions described in the indenture governing the Notes, the Notes have an initial conversion rate of 55.4939 shares of Common Stock per $1,000 principal amount of Notes, subject to adjustment as described in the indenture.

F3 · derivative.underlying_shares: As the Issuer has the option, at its sole discretion, to settle conversions of the Notes in cash, shares of Common Stock or a combination of cash and shares of Common Stock, none of the Reporting Person, Sosin Master or CSWR are deemed to be beneficial owners of any shares of Common Stock underlying the Notes for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Sosin Master directly holds $13,798,366 principal amount of the Issuer's 4.25% Convertible Senior Notes due April 1, 2029 (the "Notes") and CSWR directly holds $7,501,634 principal amount of the Notes. Subject to conditions described in the indenture governing the Notes, the Notes have an initial conversion rate of 55.4939 shares of Common Stock per $1,000 principal amount of Notes, subject to adjustment as described in the indenture.

F3 · balance_after: As the Issuer has the option, at its sole discretion, to settle conversions of the Notes in cash, shares of Common Stock or a combination of cash and shares of Common Stock, none of the Reporting Person, Sosin Master or CSWR are deemed to be beneficial owners of any shares of Common Stock underlying the Notes for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended.

F1 · ownership.nature: 4,210,727 shares of the Issuer's Common Stock (the "Common Stock") are owned directly by Sosin Master, L.P. ("Sosin Master"). The Reporting Person, as the Managing Member of CAS Investment Partners, LLC ("CAS"), the investment manager to Sosin Master, may be deemed to beneficially own the securities directly owned by Sosin Master. The remaining 2,189,483 shares of Common Stock are owned directly by CSWR Partners, L.P. ("CSWR"). The Reporting Person, as the Managing Member of CAS, the investment manager to CSWR, may be deemed to beneficially own the securities directly owned by CSWR.

F2 · ownership.nature: Sosin Master directly holds $13,798,366 principal amount of the Issuer's 4.25% Convertible Senior Notes due April 1, 2029 (the "Notes") and CSWR directly holds $7,501,634 principal amount of the Notes. Subject to conditions described in the indenture governing the Notes, the Notes have an initial conversion rate of 55.4939 shares of Common Stock per $1,000 principal amount of Notes, subject to adjustment as described in the indenture.

F3 · ownership.nature: As the Issuer has the option, at its sole discretion, to settle conversions of the Notes in cash, shares of Common Stock or a combination of cash and shares of Common Stock, none of the Reporting Person, Sosin Master or CSWR are deemed to be beneficial owners of any shares of Common Stock underlying the Notes for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 03, 2024 Filed Dec 5, 2024 18:42 UTC SaleCommon Stock 19,523 $3.95 $77,174.42
Disclosure

SEC source: 0000921895-24-002888 · form412609002_12052024.xml · nonDerivative · entry 1

SOSIN CLIFFORD · CIK 0001697919 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 6,400,210

F1 · ownership.nature: 4,210,727 shares of the Issuer's Common Stock (the "Common Stock") are owned directly by Sosin Master, L.P. ("Sosin Master"). The Reporting Person, as the Managing Member of CAS Investment Partners, LLC ("CAS"), the investment manager to Sosin Master, may be deemed to beneficially own the securities directly owned by Sosin Master. The remaining 2,189,483 shares of Common Stock are owned directly by CSWR Partners, L.P. ("CSWR"). The Reporting Person, as the Managing Member of CAS, the investment manager to CSWR, may be deemed to beneficially own the securities directly owned by CSWR.

Read SEC document
November 15, 2024 Filed Nov 15, 2024 23:30 UTC
DeSieno AlexisChief Financial Officer
SaleCommon Stock 25,118 $3.43 $86,154.74
Disclosure

SEC source: 0001666071-24-000171 · wk-form4_1731713436.xml · nonDerivative · entry 2

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,481

F2 · shares: Shares were sold solely to satisfy withholding tax obligations that resulted from the delivery of shares of common stock for RSUs that vested on November 15, 2024. The Reporting Person did not sell shares for any other purpose.

F3 · price: The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $3.32 to $3.58, inclusive. 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 sold at each separate price within the range set forth in this footnote (3)

Read SEC document
November 14, 2024 Filed Nov 15, 2024 23:30 UTC
DeSieno AlexisChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 43,750 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000171 · wk-form4_1731713436.xml · derivative · entry 3

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,250

Underlying: Common Stock · 43,750 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award was originally for 350,000 shares. 50% of the RSUs vested on August 14, 2024 (the "Anniversary Date"), with the remaining 50% having vested or vesting in equal amounts quarterly over the one year period following the Anniversary Date, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F4 · derivative.expiration_date: The RSU award was originally for 350,000 shares. 50% of the RSUs vested on August 14, 2024 (the "Anniversary Date"), with the remaining 50% having vested or vesting in equal amounts quarterly over the one year period following the Anniversary Date, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
November 14, 2024 Filed Nov 15, 2024 23:30 UTC
DeSieno AlexisChief Financial Officer
Exercise / conversionCommon Stock 43,750 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000171 · wk-form4_1731713436.xml · nonDerivative · entry 1

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,599

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
October 30, 2024 Filed Nov 4, 2024 21:06 UTC GrantRestricted Stock Unit · Derivative 6,148 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000160 · wk-form4_1730754366.xml · derivative · entry 1

Gupta Srishti A. · CIK 0002043227 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,148

Underlying: Common Stock · 6,148 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer, or at the election of the Issuer, its cash equivalent.

F2 · derivative.exercise_date: The RSUs shall vest in full on the one-year anniversary of the date of grant, provided that the Reporting Person remains a director of the Issuer on such vesting date.

F2 · derivative.expiration_date: The RSUs shall vest in full on the one-year anniversary of the date of grant, provided that the Reporting Person remains a director of the Issuer on such vesting date.

Read SEC document
October 24, 2024 Filed Oct 25, 2024 00:01 UTC
Gupta AmitDirector · Chief Executive Officer
SaleCommon Stock 22,607 $3.85 $86,923.92
Disclosure

SEC source: 0001666071-24-000154 · wk-form4_1729814488.xml · nonDerivative · entry 2

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 178,519

F2 · kind: Shares were sold solely to satisfy tax withholding obligations that resulted from the delivery of shares of common stock for RSUs that vested on October 23, 2024. The Reporting Person did not sell shares for any other purpose.

F3 · price: The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $3.75 to $3.98, inclusive. 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 sold at each separate price within the range set forth in this footnote (3).

Read SEC document
October 23, 2024 Filed Oct 25, 2024 00:01 UTC
Gupta AmitDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 43,750 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000154 · wk-form4_1729814488.xml · derivative · entry 3

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,750

Underlying: Common Stock · 43,750 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award was originally for 350,000 shares. 50% of the shares underlying the RSU award vested on January 23, 2024 (the "Anniversary Date"), with the remaining 50% vesting in equal amounts quarterly over the one year period following the Anniversary Date, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F4 · derivative.expiration_date: The RSU award was originally for 350,000 shares. 50% of the shares underlying the RSU award vested on January 23, 2024 (the "Anniversary Date"), with the remaining 50% vesting in equal amounts quarterly over the one year period following the Anniversary Date, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
October 23, 2024 Filed Oct 25, 2024 00:01 UTC
Gupta AmitDirector · Chief Executive Officer
Exercise / conversionCommon Stock 43,750 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-24-000154 · wk-form4_1729814488.xml · nonDerivative · entry 1

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,126

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
October 02, 2024 Filed Oct 3, 2024 11:09 UTC
DeSieno AlexisChief Financial Officer
SaleCommon Stock 7,487 $3.09 $23,097.40
Disclosure

SEC source: 0001666071-24-000150 · wk-form4_1727953768.xml · nonDerivative · entry 2

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,849

F2 · shares: Shares were sold solely to satisfy tax withholding obligations that resulted from the delivery of shares of common stock for RSUs that vested on October 1, 2024. The Reporting Person did not sell shares for any other purpose.

F3 · price: The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $3.05 to $3.145, inclusive. 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 sold at each separate price within the range set forth in footnote (3).

Read SEC document
October 02, 2024 Filed Oct 3, 2024 11:07 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
SaleCommon Stock 5,936 $3.09 $18,312.56
Disclosure

SEC source: 0001666071-24-000148 · wk-form4_1727953640.xml · nonDerivative · entry 4

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,445

F2 · shares: Shares were sold solely to satisfy tax withholding obligations that resulted from the delivery of shares of common stock for RSUs that vested on October 1, 2024. The Reporting Person did not sell shares for any other purpose.

F3 · price: The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $3.05 to $3.145, inclusive. 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 sold at each separate price within the range set forth in footnote (3).

Read SEC document
October 02, 2024 Filed Oct 3, 2024 11:06 UTC
Gupta AmitDirector · Chief Executive Officer
SaleCommon Stock 7,543 $3.09 $23,270.16
Disclosure

SEC source: 0001666071-24-000146 · wk-form4_1727953563.xml · nonDerivative · entry 2

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,376

F2 · shares: Shares were sold solely to satisfy tax withholding obligations that resulted from the delivery of shares of common stock for RSUs that vested on October 1, 2024. The Reporting Person did not sell shares for any other purpose.

F3 · price: The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $3.05 to $3.145, inclusive. 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 sold at each separate price within the range set forth in footnote (3).

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:09 UTC
DeSieno AlexisChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 14,350 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000150 · wk-form4_1727953768.xml · derivative · entry 3

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,097

Underlying: Common Stock · 14,350 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F4 · derivative.expiration_date: The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:09 UTC
DeSieno AlexisChief Financial Officer
Exercise / conversionCommon Stock 14,350 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-24-000150 · wk-form4_1727953768.xml · nonDerivative · entry 1

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,336

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:07 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionRestricted Stock Unit · Derivative 10,629 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000148 · wk-form4_1727953640.xml · derivative · entry 7

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,777

Underlying: Common Stock · 10,629 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F6 · derivative.exercise_date: The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F6 · derivative.expiration_date: The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:07 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionRestricted Stock Units · Derivative 1,578 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000148 · wk-form4_1727953640.xml · derivative · entry 6

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,091

Underlying: Common Stock · 1,578 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F5 · derivative.exercise_date: This RSU award was originally for 38,222 shares. Twenty-five percent (25%) of the shares under this award vested on July 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.

F5 · derivative.expiration_date: This RSU award was originally for 38,222 shares. Twenty-five percent (25%) of the shares under this award vested on July 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:07 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionRestricted Stock Unit · Derivative 581 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000148 · wk-form4_1727953640.xml · derivative · entry 5

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,488

Underlying: Common Stock · 581 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award was originally for 9,299 shares. Twenty-five percent (25%) of the shares under this award vested on April 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.

F4 · derivative.expiration_date: The RSU award was originally for 9,299 shares. Twenty-five percent (25%) of the shares under this award vested on April 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:07 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionCommon Stock 10,629 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-24-000148 · wk-form4_1727953640.xml · nonDerivative · entry 3

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,381

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:07 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionCommon Stock 1,578 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-24-000148 · wk-form4_1727953640.xml · nonDerivative · entry 2

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,752

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:07 UTC
Lynton Nicholas HollmeyerChief Legal & Privacy Officer
Exercise / conversionCommon Stock 581 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-24-000148 · wk-form4_1727953640.xml · nonDerivative · entry 1

Lynton Nicholas Hollmeyer · CIK 0001941467 · Chief Legal & Privacy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,174

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:06 UTC
Gupta AmitDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 14,350 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000146 · wk-form4_1727953563.xml · derivative · entry 3

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,097

Underlying: Common Stock · 14,350 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F4 · derivative.expiration_date: The RSU award vested or will vest in eight equal installments on July 1, 2024, October 1, 2024, January 1, 2025, April 1, 2025, July 1, 2025, October 1, 2025, January 1, 2026 and April 1, 2026, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
October 01, 2024 Filed Oct 3, 2024 11:06 UTC
Gupta AmitDirector · Chief Executive Officer
Exercise / conversionCommon Stock 14,350 Not disclosed Not disclosed
Disclosure

SEC source: 0001666071-24-000146 · wk-form4_1727953563.xml · nonDerivative · entry 1

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,919

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
September 05, 2024 Filed Sep 9, 2024 20:02 UTC
Hill Scott ADirector
Exercise / conversionRestricted Stock Units · Derivative 6,748 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000144 · wk-form4_1725912167.xml · derivative · entry 2

Hill Scott A · CIK 0001397778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,748 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer, or at the election of the Issuer, its cash equivalent.

F2 · derivative.exercise_date: The RSU award was originally for 6,748 shares. The RSUs vested in full on the one-year anniversary of the date of grant.

F2 · derivative.expiration_date: The RSU award was originally for 6,748 shares. The RSUs vested in full on the one-year anniversary of the date of grant.

Read SEC document
September 05, 2024 Filed Sep 9, 2024 20:02 UTC
Hill Scott ADirector
Exercise / conversionCommon Stock 6,748 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000144 · wk-form4_1725912167.xml · nonDerivative · entry 1

Hill Scott A · CIK 0001397778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,748

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer, or at the election of the Issuer, its cash equivalent.

Read SEC document
August 21, 2024 Filed Aug 22, 2024 20:52 UTC
Gupta AmitDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 500,000 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000142 · wk-form4_1724359919.xml · derivative · entry 1

Gupta Amit · CIK 0001961238 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer, or at the election of the Issuer, its cash equivalent.

F2 · derivative.exercise_date: The RSU award is for 500,000 shares that were granted on August 21, 2024. The RSUs will vest in four installments over a period of 24 months following August 16, 2024, the date the Reporting Person assumed the role of Chief Executive Officer, with 25% of the RSUs vesting on each of the six-, twelve-, eighteen- and twenty-four-month anniversaries, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F2 · derivative.expiration_date: The RSU award is for 500,000 shares that were granted on August 21, 2024. The RSUs will vest in four installments over a period of 24 months following August 16, 2024, the date the Reporting Person assumed the role of Chief Executive Officer, with 25% of the RSUs vesting on each of the six-, twelve-, eighteen- and twenty-four-month anniversaries, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
August 15, 2024 Filed Aug 16, 2024 20:22 UTC
DeSieno AlexisChief Financial Officer
SaleCommon Stock 90,912 $3.71 $337,101.70
Disclosure

SEC source: 0001666071-24-000138 · wk-form4_1723839735.xml · nonDerivative · entry 2

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,986

F2 · shares: Shares were sold solely to satisfy withholding tax obligations that resulted from the delivery of shares of common stock for RSUs that vested on August 14, 2024. The Reporting Person did not sell shares for any other purpose.

F3 · price: The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $3.535 to $3.89, inclusive. 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 sold at each separate price within the range set forth in this footnote (2).

Read SEC document
August 14, 2024 Filed Aug 16, 2024 20:22 UTC
DeSieno AlexisChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 175,000 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000138 · wk-form4_1723839735.xml · derivative · entry 3

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

F4 · derivative.exercise_date: The RSU award was originally for 350,000 shares. 50% of the RSUs vested on August 14, 2024 (the "Anniversary Date"), with the remaining 50% vesting in equal amounts quarterly over the one year period following the Anniversary Date, provided that the Reporting Person remains employed by the Issuer on such vesting date.

F4 · derivative.expiration_date: The RSU award was originally for 350,000 shares. 50% of the RSUs vested on August 14, 2024 (the "Anniversary Date"), with the remaining 50% vesting in equal amounts quarterly over the one year period following the Anniversary Date, provided that the Reporting Person remains employed by the Issuer on such vesting date.

Read SEC document
August 14, 2024 Filed Aug 16, 2024 20:22 UTC
DeSieno AlexisChief Financial Officer
Exercise / conversionCommon Stock 175,000 $0.00 $0.00
Disclosure

SEC source: 0001666071-24-000138 · wk-form4_1723839735.xml · nonDerivative · entry 1

DeSieno Alexis · CIK 0001987391 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,898

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 restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.

Read SEC document
August 12, 2024 Filed Aug 12, 2024 21:46 UTC
Hill Scott ADirector
PurchaseCommon Stock 40,000 $3.58 $143,200.00
Disclosure

SEC source: 0001666071-24-000136 · wk-form4_1723499191.xml · nonDerivative · entry 1

Hill Scott A · CIK 0001397778 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Read SEC document
August 12, 2024 Filed Aug 12, 2024 21:45 UTC PurchaseCommon Stock 10,000 $3.59 $35,900.00
Disclosure

SEC source: 0001666071-24-000135 · wk-form4_1723499150.xml · nonDerivative · entry 1

Hornsey Liane · CIK 0002018790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Read SEC document
August 12, 2024 Filed Aug 12, 2024 21:39 UTC PurchaseCommon Stock 14,000 $3.49 $48,860.00
Disclosure

SEC source: 0001666071-24-000134 · wk-form4_1723498752.xml · nonDerivative · entry 1

Klinck John L. Jr. · CIK 0001302674 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,593

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.